The Faculty of Education
RESEARCH INTEGRITY AND ETHICS
Ethical Principles,
Guidelines and
Procedures
FOR RESEARCH & TEACHING
March 2015
1
1.
2.
3.
4.
5.
6.
i
ii
iii
iv
v
vi
vii
viii
ix
x
xi
xii
xiii
xiv
CONTENTS
Page
No.
Introduction
Ethical principles for research activity in the Faculty of Education
Penalties for non-compliance
How the process works
Ethical application to approval/rejection flowchart
Faculty of Education Ethics Committee – Terms of Reference
3
4
6
6
8
9
APPENDICES
Page
No.
11
15
18
21
22
23
24
25
26
27
31
32
33
34
A proforma for staff and students beginning a research project
A proforma for staff designing a teaching module/programme
Procedures for Obtaining Informed Consent
Sample Consent Form for Participants
Sample Consent Form for Institutions/Organisations
Sample Consent Form for Parents/ Guardians
Sample Consent Form for Participants (Interviews)
Sample Consent Form for Participants (Other)
Witness Certifications
Code of Practice on Research Misconduct
Image Permission Form
Permission to Proceed Notice
Student Confirmation of ethics protocol
Programme Contacts – Administration and Committee Representative
2014/15V2
(Published 18/03/15)
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
2
Introduction
The Faculty of Education believes that research integrity and ethical considerations are
important and integral and parts of practice and planning in research and teaching. This
booklet outlines our ethical policies and provides a guide for their implementation.
The principles, guidelines and procedures contained here are informed by and compliant
with the Concordat to Support Research Integrity (Universities UK, 2013) which
represents the UK’s collective response to the ethical practices and responsibilities
detailed in the Singapore Statement on Research Integrity (2010) and the European
Code of Conduct for Research Integrity (2011). Ethics principles must be considered by
anyone engaged in any area of research activity at all stages, including publication and
authorship, and teaching. Faculty policy is based upon the five core principles contained
in the Concordat which means that we are fully committed to:
1. maintaining the highest standards of rigour and integrity in all aspects of research
2. ensuring that research is conducted according to appropriate ethical, legal and
professional frameworks, obligations and standards
3. supporting a research environment that is underpinned by a culture of integrity and
based on good governance, best practice and support for the development of
researchers
4. using transparent, robust and fair processes to deal with allegations of research
misconduct should they arise
5. working together to strengthen the integrity of research and to reviewing progress
regularly and openly (Universities UK, 2013, p.4)
This booklet is not intended to hamper the progress of any research or teaching
proposal but to ensure its quality and ethical acceptability. The flow chart and principles
included within it should act as guides by which to evaluate your proposals, whilst the
sample letters should help as templates upon which your personalised letters can be
modelled. The ethical pro-forma takes very little time to complete and the sample letters
seeking informed consent from the participants should, in the majority of cases, be easy
to complete and/or adapt you suit the needs of you work. Time taken considering these
requirements should also help you identify any problems which need to be dealt with
before any research or teaching is undertaken.
This is the ninth edition of this booklet, revised on the basis of experience and feedback
and in the light of the Concordat to Support Research Integrity (Universities UK, 2013).
Should you feel that there are things in this booklet and/or processes which require
clarification or review, please pass your comments to the Chair or members of the
Faculty Ethics Committee.
Thank you for your help and co-operation on this matter.
Dr Gary Wilkinson
Chair
Faculty of Education Ethics Committee
March, 2015
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
3
ETHICAL PRINCIPLES FOR RESEARCH ACTIVITY IN THE
FACULTY OF EDUCATION
These ethical principles apply to all research which involves human participants.
They also apply to any teaching which involves data gathering by lecturer or
students, or which requires the consent of any external organisation
1.
Research and teaching should be carried out with the best interests of the
individuals who are the subject of the research or of the teaching being the primary
consideration.
2.
Where research is carried out by students it is the joint responsibility of the student
and the supervisors to ensure its ethical acceptability.
3.
Where possible, collaborative decision-making in research partnerships between
researchers and those being researched should be developed.
4.
In planning a study, researchers and lecturers must carefully evaluate its ethical
acceptability and obtain independent approval from the FoE Ethics Committee
following the procedures laid out in this booklet. Approval must also be sought for
the re-use and/or dual use of research data.
5.
The primary ethical concern of all researchers/lecturers lies in considering whether a
participant will in any way be a 'subject at risk'.
6.
The researcher/lecturer always retains the responsibility for ensuring ethical practice
in the research/teaching. They are also the person/s responsible for the ethical
treatment of participants by collaborators, assistants, other students, and
employees.
7.
These other collaborators, assistants, students, and employees still, however, incur
similar ethical obligations to those of the principal researchers/lecturers.
8.
The researchers/lecturer must provide for participants, and prior to their
participation, a clear and fair description of the research/teaching in writing so that
they are fully informed as to what they are consenting to. The researchers/lecturer
must honour all promises and commitments included in that agreement. The
researchers/lecturer must inform all participants, in ways that can be understood by
them, of all aspects that might reasonably be expected to influence their willingness
to participate, as well as explain all other aspects about which the participants
enquire.
9.
Special attention needs to be given to procedures to ensure informed consent is
obtained from children or from participants who have impairments that would limit
understanding and/or the communication required to safeguard procedures. This
should be backed up by parental/legal guardian agreement. Where there appear
to be no major ethical problems, a minimal requirement is that parents/legal
guardians be informed by letter, and their comments invited. Only in wholly
exceptional circumstances should agreement be given solely by those in a
position of care and authority for such individuals, and where this occurs, the
researcher/lecturer should inform the chair of the research committee of such
proposals.
10. There are two exceptional cases where informed consent need not be obtained for
children or from participants who have impairments. This is when (i) the research is
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
4
a part of the normal professional practice of the individual, as consent has already
been granted as part of their professional role; and (ii) when materials to be used in
research are already in the public domain e.g. school SATs results. .
11. Procedures to protect confidentiality should be outlined in documentation initially
given to the participant while informed consent is obtained. Information obtained
about a participant during the course of an investigation must be treated as
confidential unless otherwise agreed upon in advance. When the possibility exists
that others may obtain access to such information, this possibility, together with the
plans for protecting confidentiality, should be explained to the participant as part of
the procedure for obtaining informed consent.
12. Transparency of purpose is an important principle of educational research/teaching.
However, in exceptional circumstances, the researcher/lecturer may require (a) the
withholding of full disclosure to participants prior to obtaining informed consent, or
(b) the use of concealment or deception. Before doing so, however, the
researcher/lecturer must (i) determine whether the use of such techniques is
justified by the study's prospective scientific, educational, or applied value; (ii)
determine whether alternative procedures are available that do not require such
procedures; and (iii) ensure that the participants are provided with sufficient
explanation as soon as possible. In any case, any such proposal should be an
automatic object of scrutiny by the Ethics Committee.
13. After the data has been collected, participants should be provided with any relevant
further information about the nature of the study such that any misconceptions that
may have arisen be removed. Where scientific or humane values justify delaying or
withholding this information, the researcher/lecturer has a special responsibility to
monitor the research and to ensure that there are no damaging consequences for
the participant.
14. The implications of research with participants of a different cultural background to
that of the researcher/lecturer should be considered at a very early stage. This
consideration should include partnership with an informed member of the population
from which the research sample is to be drawn, in order to check for foreseeable
threats to psychological well-being, health, values and dignity. The proposal should
then, after such initial vetting, go to the Ethics Committee.
15. The researcher/lecturer must respect the individual's freedom to decline to
participate in, or to withdraw from the research or teaching situation at any time.
The researcher/lecturer must take particular account of the fact that they are
normally in a position of authority or influence over the participant during the
investigation, and that this may prevent the participant from voicing such wishes.
16. The researcher/lecturer must protect the participant from physical and psychological
discomfort, harm and danger that may arise from the procedures used. If a risk of
such consequences does exist, the proposal should automatically go to the Ethics
Committee, and the researcher/lecturer must inform the participant of that fact. The
participant should be informed of procedures for contacting the researcher/lecturer
within a reasonable time period following participation, if stress, potential harm, or
related questions or concerns arise.
17.
Where research/lecturing procedures could result in undesirable consequences for
the individual participant, the researcher/ lecturer has the responsibility to detect and
remove or correct these consequences, including long-term effects.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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18.
Researchers need to be aware, and take account, of the fact that researching the
'powerful' can impose particular constraints, which do not always pertain to other
research groups. In particular, researchers need to consider that the account they
gain may well be a function of the access to data provided by these powerful
individuals, and that they therefore need to make this clear in any report.
19.
Ownership of any research material, and its use, should be agreed at the start of the
research, and such agreement should obtain after the close of the research.
Permission to use the data gained in the research should therefore follow these prior
agreements.
PENALTIES FOR NON-COMPLIANCE WITH ETHICAL
PROCEDURES
Non-compliance with ethical procedures is a very serious matter subject to severe
penalties and so it is essential that staff and students adhere to the procedures outlined
in this guidance. It is therefore important that you ensure that you are fully aware of your
responsibilities in this matter and that you apply for ethical approval, where required to
do so, in good time to enable the application to be processed before your wish to begin
your work. Remember that you may not start any empirical work until the application is
signed by a member of the Ethics Committee.
Failure to comply with the ethical guidelines will result in you being subject to
investigation for unfair means and, if found guilty, subject to disciplinary action. The
maximum penalty for such offences is termination of your course with no awarded
credits.
Further information on unfair means can be found in your programme handbook and on
the university portal.
HOW THE PROCESS WORKS
1.
When students, supervisors, or research staff, are contemplating the beginning of a
piece of research, or when staff are designing a new teaching module, they need to
consider whether any ethical issues need to be addressed before it is started. This
guidance booklet, especially the chart and the principles, should be read before
completing the proforma as at stage 2 below. Appendix (xiii) is a proforma that
should be signed by students at the beginning of a module.
2.
The relevant proformas, appended i (research) and ii (teaching), should be
completed and signed by the researcher/lecturer and then agreed and signed by
your supervisor or, for teaching, your line manager or Programme Director prior to
the beginning of any empirical research or the teaching of a new module.
Failure to do so may result in serious penalties including disciplinary action
being taken (see page 8).
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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4.
Any letters/ statements obtaining informed consent and outlining ethical protocols
should be drafted and included with the ethical proforma before any empirical work
begins. A copy of any research proposal should be included.
5.
When the proforma has been agreed and signed by the supervisor, it, along with
any informed consent letters and associated documentation, should be sent to the
relevant Ethics Committee representative for the programme or department for
'approval recommendation'. Where this is approved, the work may now be
carried out.
6.
A separate declaration will need to be added to the dissertation/thesis, declaring
that ethical procedures have been followed. It is in any case good practice to
address and discuss the ethical aspects of research in any write-up.
7.
The approved proposal and proforma will be sent to the Secretary of the Faculty of
Education Ethics Committee, for formal approval by the Faculty of Education Ethics
Committee at its next meeting. Subsequent to this, the Secretary will send the list of
approvals to the Faculty of Education Board and the University Ethics Committee
(the list will be brief -staff/student name and a brief description of the proposal).
8.
Where proposals are not given approval recommendation, they will be discussed
informally with the proposer, by the relevant member of the Ethics Committee; if this
fails to resolve the issue they will be discussed with the Chair and, if necessary, at a
full Ethics Committee meeting. After further consultation with the module/ research
proposer, a decision will be made which will be forwarded to either Faculty of
Education Teaching and Learning Committee, or Faculty of Education Research
Committee
9.
Where ethical issues cannot be resolved, the Faculty of Education Ethics
Committee will recommend that the proposal be abandoned, re-thought or redrafted.
10. Where proposers do not agree with this decision, they may appeal to the Faculty of
Education Teaching and Learning, or the Faculty of Education Research Committee
for further consideration.
11. Where the proposal is also rejected by the Faculty of Education Teaching and
Learning, or Research Committee the proposer may make a final appeal to the
University Ethics Committee.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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A FLOW CHART OF ETHICAL CONSIDERATION FOR
RESEARCH AND TEACHING IN THE FACULTY OF EDUCATION
Lecturer/student develops proposal and completes ethical proforma. Appendix xiii
should be signed by all students at the start of any module requiring ethical approval
Proforma agreed and signed by research supervisor or line manager
Scrutiny of proforma by relevant Ethics Committee member
If no
Does completion
produce problems?
If yes
PROCEED: Ethics
Committee member signs
proforma and submits a
copy to Secretary:
empirical work may now
commence.
Proforma + summary of
research/module problem sent to the
Faculty of Education Ethics Committee
Ethics Committee consults with
proposer, teachers decision, informs
LTAC/ Faculty Board of decision
If approved
Researcher/teacher
informed of decision
PROCEED
Either
Or
If rejected
Appeal to either
LTAC/ Faculty
Board of decision
Abandon or re-think
project/module
Either
If appeal
rejected
Abandon or rethink project
PROCEED
Or
Appeal to University
Ethics Committee
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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TERMS OF REFERENCE: Faculty of Education Ethics Committee
Chair
Dr Gary Wilkinson
Secretary
Clare McKinlay
Reports to
Faculty of Education Board; Faculty of Education Learning,
Teaching and Assessment Committee; Faculty of Education
Research Committee
Terms of Reference
Responsible for


scrutinising any ethical problems from proposals for new modules, programme
and research proposals, recommending either: acceptance, modification, or
rejection.
other ongoing ethical issues that may arise, and forward these deliberations to
other relevant committees.
Consulted on

module/research proposals
Mode of Operation

The Faculty of Education Ethics Committee will support equality of opportunity
and good relations between staff and students whatever their race, gender,
disability, sexual orientation, religion and belief, age or socio-economic
background. This support will include participating in university activities, such as
equality monitoring, impact assessment and other measures as appropriate, in
line with the University’s legal obligations.

The Faculty of Education Ethics Committee will meet three times per year
(October, February and June).
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Composition
Title and Category
Chair
Membership
Name
Dr Gary Wilkinson
Secretary
Clare McKinlay
Ex-Officio Members
Dean
Director of Research
Disability Tutor (Hull Education Studies)
Disability Tutor (Hull Teacher Education)
Disability Tutor (Scarborough)
Dina Lewis
Professor Mike Bottery
Dr Azumah Dennis
Janet Gibbs
Sue Rolfe
Appointed Members
Representative of another Faculty
An external representative
Professor Wayne Rodgers, HUBS
Jon Ashbridge, Hull City Council
A Programme Director or their
nominee representing the following:
BA ChIPS & BA Education Suite (Hull)
Sharron Wilkinson
BA Educational Studies (Scarborough)
Dr Sam Shields
BA Primary Teaching
Dr Megan Murray
Foundation Degree Childhood Studies
BA Early Childhood Education and Care
Jayne Knott
BA Education and Learning
Diversity Tutor
Sarah James
Masters in Education
Postgraduate Certificate in Academic
Practice (LEAP)
Postgraduate Cert and Dip Professional
Management in Higher Education (SDS)
Dr Rania Filippakou
PhD/ EdD
Members of Staff
Dr Gary Wilkinson
Professor Mike Bottery
Dr Max Hope
N.B. Where proposers do not agree with this decision, they may appeal to the Faculty of
Education Learning, Teaching and Assessment Committee for further consideration.
Where the proposal is also rejected by the Faculty of Education Learning, Teaching
and Assessment Committee, the proposer may make a final appeal through the
Faculty Board to the University Ethics Committee.
March, 2015
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix i:
A PROFORMA FOR STAFF AND STUDENTS
BEGINNING A RESEARCH PROJECT
PROFORMA FOR
STAFF AND STUDENTS BEGINNING A RESEARCH PROJECT
FACULTY OF EDUCATION
Research
Proposer(s): ……………………………………………………..................................
Programme of
Study: ………………………………………………………………………………..
Student No:
:.......................................................................
Research (Working Dissertation/Thesis)
Title: ……………………………………………….................
……………………………………………………………………………………………………
……………………………………………………………………………………………………
Description of research (please include (a) aims of the research; (b)principal research
question(s) (c) methodology or methodologies to be used (d) who are the participants in
this research, and how are they to be selected.
….................………………………………………………………………………………………………….
…………………….…………………………………………………………………………………………..
…………………….…………………………………………………………………………………………..
……………………….………………………………………………………………………………………..
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
Proforma Completion
Date: …………………………………………………………………………….....
This proforma should be read in conjunction with the Faculty of Education research
principles, and the Faculty of Education flow chart of ethical considerations. It should be
completed by the researchers. If it raises problems, it should be sent on completion,
together with a brief (maximum one page) summary of the problems in the research, or
in the module preparation, for approval to the Chair of the Faculty of Education Ethics
Committee prior to the beginning of any research.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
11
Part A
1.
Does your research/teaching involve animal experimentation?
Y/N.
If the answer is 'YES' then the research/teaching proposal should be sent
direct to the University Ethics Committee to be assessed.
2.
Does your teaching/research use confidential sources of information Y/N
(E.g. medical records)?
3.
Does your research involve human participants?
Y/N
If your answers to 2 and 3 is 'NO', there is no need to proceed further with this
proforma, and research may proceed now. If the answer is 'YES' to either of
questions 2 or 3 please answer all further relevant questions in part B.
Part B
4.
Is the research population under 18 years of age?
Y/N
If yes, will you taking the following or similar measures to deal with this issue?
5.


(i) Informed the participants of the research?
(ii) Ensured their understanding?
(iii) Gained the non-coerced consent of their parents/guardians?
Y/N
Y/N
Y/N
Will you obtain written informed consent from all participants?
Y/N
If yes, please include a copy of the information letters and forms requesting
consent
If no, what measures will you take to deal with obtaining consent/ not gaining
consent?
6.
Has there been any withholding of disclosure of information
regarding the research to the participants?
Y/N
If yes, please describe the measures you have taken to deal with this.
7.
Issues for participants. Please answer the following and state how you will
manage perceived risks:
a) Do any aspects of the study pose a possible risk to
participants’ physical well-being (e.g. use of substances such
as alcohol or extreme situations such as sleep deprivation)?
b) Are there any aspects of the study that participants might
find humiliating, embarrassing, ego-threatening, in conflict with
their values, or be otherwise emotionally upsetting?*
Y/N
Y/N
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
12
c) Are there any aspects of the study that might threaten
participants’ privacy (e.g. questions of a very personal nature;
observation of individuals in situations which are not obviously
‘public’)?*
d) Could the intended participants for the study be expected to
be more than usually emotionally vulnerable (e.g. medical
patients, bereaved individuals)?
e) Will the study take place in a setting other than the
University campus or residential buildings?
f) Will the intended participants of the study be individuals who
are not members of the University community?
Y/N
Y/N
Y/N
Y/N
*Note: if the intended participants are of a different social, racial, cultural, age or sex
group to the researcher(s) and there is any doubt about the possible impact of the
planned procedures, then opinion should be sought from members of the relevant group.
8.
Might conducting the study expose the researcher to any risks
(e.g. collecting data in potentially dangerous environments)?
9.
Is the research being conducted on a group culturally different from the
researcher/student/supervisors?
Y/N
If yes, are sensitivities and problems likely to arise?
Y/N
If yes, please describe how you have addressed/will address them.
10.
Does the research/teaching conflict with any of the Faculty of Education’s
research principles?(please see attached list).
Y/N
If yes, describe what action you have taken to address this?
11.
12.
Are you conducting research in the organisation within which you work?
Y/N
a)
If yes, are there any issues arising from this .e.g. ones of confidentiality,
anonymity or power, because of your role in the organisation
b)
If there are, what actions have you taken to address these?
If the research/teaching requires the consent of any organisation,
will you obtaining it?
Y/N
Y/N
If no, describe what action you have taken to overcome this problem.
13.
Have you needed to discuss the likelihood of ethical problems with this
research, with an informed colleague?
Y/N.
If yes, please name the colleague, and provide the date and results of the discussion.
If you have now completed the proforma, before sending it in, just check:
Have I included a letter to participants for gaining informed consent?
Y/N
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
13
a. If I needed any organisational consent for this research, have I
Y/N
included evidence of this with the proforma?
b. If I needed consent from the participants, have I included evidence
for the different kinds that were required?
Y/N
c. If I am taking images, have I completed the Image Permission Form
Y/N
Lack of proof of consent attached to proformas has been the major reason why
proformas have been returned to their authors.
This form must be signed by your supervisor and the Faculty of Education Ethics
Committee representative for your area. Once signed, copies of this form, and your
proposal must be sent to the programme administrator for your degree course (see
page 35), including examples of letters describing the purposes and implications of the
research, and any Consent Forms (see appendices).
Name of
Student/Researcher ………………………………………………………………………….
Signature ………………………………………… Date …………………………….................
Name of
Supervisor/Colleague ………………………………………………………………………….
Signature ………………………………………… Date ……………………………................
Name of Ethics Committee
member …………………………………………………………………….
Signature ……………………………………… Date ………………………………………...
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
14
Appendix ii:
A PROFORMA FOR STAFF DESIGNING A
TEACHING MODULE/PROGRAMME
A PROFORMA FOR
STAFF WRITING A NEW TEACHING MODULE/PROGRAMME
FACULTY OF EDUCATION
Teaching
Proposer(s): ……………………………………………………..............................................
Module/Programme
Title: ………………………………………….....…………………………………………………
………………………………………………………………………………………………………
Module/Programme
Description: ………………………………………………………………………………………
….................………………………………………………………………………………………
………….……………….…………………………………………………………………………
……………………..………………….……………………………………………………………
………………………………..…………………….………………………………………………
…………………………………………..…………………….……………………………………
……………………………………………………..……………………….………………………
………………………………………………………………..
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
………………………………………………………………………………………………………
……………………………………………………
Proforma Completion
Date: …………………………………………………………………………….....
This proforma should be read in conjunction with the Faculty of Education research
principles, and the Faculty of Education flow chart of ethical considerations. It should be
completed by the staff involved. If it raises problems, it should be sent on completion,
together with a brief (maximum one page) summary of the problems in the module or
programme preparation, for approval to the Chair of the Faculty of Education Ethics
Committee prior to the beginning of any teaching.
1.
Will your teaching involve animal experimentation?
Y/N
If the answer is 'YES' then the teaching proposal should be sent direct to the
University Ethics Committee to be assessed.
2.
Will the teaching involve
(a) Data gathering by yourself or the students?
(b) The consent of any external organisation?
Y/N
Y/N
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
15
(c) Activity in a place outside university premises?
3.
Will the research population be under 18 years of age?
Y/N
If yes, have you taken the following or similar measures to deal with this issue?
(i) Informed the participants of the research?
Y/N
(ii) Ensured their understanding?
Y/N
(iii) Gained the non-coerced consent of their parents/guardians? Y/N
If no to any answers for i, ii or iii, please give further details
4.
Will you obtain written informed consent from the participants?
Y/N
If yes, please include a copy of the information letter requesting consent
If not, what measures will you take to deal with obtaining consent/ not obtaining
consent?
5.
Will there be any withholding of disclosure of information
regarding the research/teaching to the participants?
Y/N
If yes, please describe the measures you have taken to deal with this.
6.
Issues for participants. Please answer the following and state how you will manage
perceived risks:
a) Do any aspects of the study pose a possible risk to participants’
physical well-being (e.g. use of substances such as alcohol or
extreme situations such as sleep deprivation)?
b) Are there any aspects of the study that participants might find
humiliating, embarrassing, ego-threatening, in conflict with their
values, or be otherwise emotionally upsetting?*
YES
NO
YES
NO
YES
NO
YES
NO
YES
NO
f) Will the study take place in a setting other than the University
campus or residential buildings?
YES
NO
g) Will the intended participants of the study be individuals who are
not members of the University community?
YES
NO
c) Are there any aspects of the study that might threaten participants’
privacy (e.g. questions of a very personal nature; observation of
individuals in situations which are not obviously ‘public’)?*
d) Does the study require access to confidential sources of
information (e.g. medical records)?
e) Could the intended participants for the study be expected to be
more than usually emotionally vulnerable (e.g. medical patients,
bereaved individuals)?
*Note: if the intended participants are of a different social, racial, cultural, age or sex
group to the researcher(s) and there is any doubt about the possible impact of the
planned procedures, then opinion should be sought from members of the relevant group.
7.
Might conducting the study expose the researcher to any risks
(e.g. collecting data in potentially dangerous environments)?
Y/N
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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8.
Is the research/teaching being conducted on a group culturally
different from the researcher/ student/supervisors?
If yes, are sensitivities and problems likely to arise?
If yes, please describe how you have addressed/will address them.
Y/N
Y/N?
9.
Does the research/teaching conflict with any of the Faculty of Education’s research
principles?
(please see attached list).
Y/N
If yes, describe what action you have taken to address this?
10.
If the research/teaching requires the consent of any organisation,
have you obtained it?
Y/N
If no, describe what action you have taken to overcome this problem.
11.
Have you needed to discuss the likelihood of ethical problems
with an informed colleague (e.g. programme director)?
Y/N
If yes, please name the colleague, and provide the date and results of the
discussion.
If you’ve now completed the proforma, before sending it in, just check:
a. Have I included a letter to participants asking for informed consent?

b. If I needed any organisational consent for this research, have I

included evidence of this with the proforma?
c.
If I needed consent from the participants, have I included evidence
for the different kinds that were required?
d. If I am taking images, have I completed the Image Permission Form


Lack of proof of consent attached to proformas has been the major reason why
proformas have been returned to their authors.
Once signed, copies of this form, and your proposal must be sent to the programme
administrator for your degree course (see page 35), including where possible
examples of letters describing the purposes and implications of the research (see p. 1314) and any Consent Forms (see p. 15-16).
Name of Teacher ……………………………………………………………….
Signature ……………………………………………… Date ……………………………...
Name of Programme Director
Signature…………………………………………………Date……………………………
Name of Ethics Committee member ……………………………………………………….
Signature ……………………………………………… Date ……………………………...
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix iii: Procedures for Obtaining Informed Consent
(a) Letters to Participants
Any research which is a normal part of the activity of the researcher (e.g. teaching)
does not require consent of the participant. In other cases, informed consent is
normally required.
All participants should be sent letters asking for their informed consent. These should
be written in a language and style which the participants will easily understand. This
letter should provide a short summary of the essential points of the research or
teaching in clear and relevant language which a reasonable person would want to
know before agreeing to participate. The letter then should ordinarily include
information on the following (in a suitable order):










The aims of the project
An invitation to participate
The procedures involved
The time commitment expected of participants
A description of reasonably foreseeable risk or discomfort (if any), and (if
appropriate or required) any arrangements for or referral to counselling facilities
A statement describing the provisions to be made to preserve confidentiality of
records and data storage and access arrangements, without specifying actual
room numbers/exact location; e.g. stating that data will be secured in a locked
filing cabinet in an office at the University, etc, would be sufficient; but in some
cases information may need to be detailed as to when data will be destroyed
and how, usually for sensitive data collected.
A statement that the subject or participant is free to withdraw at any time and
without adverse consequences and an undertaking that any information
gathered until such time will not be used, i.e. will be destroyed
Whether the participants will be informed of the results of the study and any
provision for debriefing participants, including those who withdraw, if necessary.
Whilst it is good practice to share interview transcripts for interviewees to check
for accuracy, be mindful that agreeing to providing participants with the results
of a study may prove very difficult, and time-consuming, to do in practice. It may
therefore be better to avoid giving this kind of commitment unless you are sure
you will have the time and resources to deliver on any such undertakings.
The name and University contact details of researcher and/or supervisor
(advisedly no private addresses or telephone numbers)
A clause describing the complaints mechanism. The clause should take the
form:
"Should you [ie, the participant] have any concerns about the conduct of
this research project, please contact the Secretary, Faculty of Education
Ethics Committee, University of Hull, Cottingham Rd, Hull, HU6 7RX; Tel
No (+44) (0)1482 465988; fax (+44) (0)1482 466137.”
Anonymous questionnaires require statements describing the nature and
purpose of the research, but do not require consent form/s, unless researchers can
still identify participating individuals or groups. The following, or similar wording,
should appear on the front cover of an anonymous questionnaire or at the head of
it:
“This is an anonymous questionnaire. Please ensure that you do not write your
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
18
name, or any other comments that will make you identifiable, on the attached
questionnaire. By completing the questionnaire you are consenting to take part in
this research. You are advised to first read the enclosed letter carefully as it
explains fully the intention of this project.”
NB Anonymity usually means that the researchers themselves cannot identify
participants. If researchers can still identify participants, a Consent Form will
usually be required.
(b) The Consent Form
Three sample consent forms are provided in this document. The first is suitable for
more invasive research or "human experimentation", the second for research
involving surveys or questionnaires, and the third for consent on behalf of a minor.
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may
only sign a certification to the level of his/her involvement. A suggested format for
witness certification is included with the sample consent forms. The form should
also record the witnesses' signature, printed name and occupation. For particularly
sensitive or exceptional research, further information can be obtained from the
Faculty of Education Ethics Committee Secretary, eg, absence of parental consent,
use of pseudonyms, etc
The consent forms may be changed to suit the research study but the information
contained in the pro forma must be included. The name of the person(s)
undertaking the study and a suitable summary of the purpose of the research
should be added to the form.
A copy of the letter and the consent form(s), or equivalent, must be attached to the
ethics application. The letter should include the relevant contact names and
University telephone numbers of the principal investigator. Where the principal
investigator is a student the letter should also include the University contact name
and number of the chief supervisor. (The contact details should be University of
Hull ones. It is advisable not to include private addresses and telephone for privacy
and security reasons, etc.) The letter should also contain the complaints
mechanism clause as given above.
The letter and consent form should normally be separate so that the subject can
keep the statement whilst returning the signed consent to the researcher.
However, the two may be combined into one document when the consent form is
produced as a tear-off section.
The researcher is not required to obtain signed consents from the subjects before
applying for ethical clearance as the Faculty of Education Ethics Committee must
consider the ethical implications of the research and teaching before the subjects
are asked to participate.
Where research involves video taping of classroom activities, or the photographing
of students, parental consent will be required if the students could be identified
from the video tape or photographs.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
19
(c) Informed Consent and Deceptive Research
There may be experimental procedures which would be defeated by the
participants knowing in advance what was happening. If this is intended,
researchers should ensure:
 that the participants are not be subject in these situations to any procedure
which is reasonably likely to prove physically or psychologically harmful to them
(to be distinguished from mild alarm or temporary embarrassment); and
 they are fully informed at the close of the experiment as to its nature, the
disposition of results etc.
If the nature of questions being asked of participants is particularly sensitive or
potentially traumatic, then the Faculty of Education Ethics Committee may still
require at least some sufficient reference to this in the information being made
available at the outset, eg in the covering letter; some sample questions/topics etc.
(d) Permission to undertake Research in Schools
Written consent is not needed where the research consists of work that is already
expected as part of the teaching (or teacher trainee) role. Where research is
outside the ‘normal’ work of teachers in their own schools, written
permission should be obtained from the School Headteacher (usually given
in consultation with the Chair of Governors), and if appropriate, from the
classroom teacher in addition to consent letters from parents/guardians.
Permission may be sought from the school before application is made to the
Faculty of Education Ethics Committee. Permission from the Headteacher does
not obviate the need to obtain parental consents where required by the Faculty of
Education Ethics Committee. “In Principle’ approval may also need to be obtained
from Government, regional or other controlling authority.
Interview Questions/Questionnaires
Where a questionnaire has been developed this must be attached to the
application for ethical clearance. Otherwise, the researcher should provide
information on the nature of the interview questions/line of questioning, sample
questions and the way in which they will be asked in order for the Faculty of
Education Ethics Committee to determine ethical acceptability. (See p. 8.)
Confidentiality
Precautions must be taken to protect the identity and privacy of subjects and
organisations in a research project. But it is not sufficient for a researcher simply to
state that subjects' names, or organisational identity, will not be used when the
data is written up. The Faculty of Education Ethics Committee needs to be satisfied
with the provision made to preserve confidentiality of records. For example, where
information is to be obtained through taped interviews, confidentiality is more likely
to be preserved if the researcher numbers each tape and keeps a separate list of
corresponding numbers and names; given names only or aliases should be used
during taped interviews. Plus, clear information given to participants on this matter
is more likely to attract participation.
Storage of data
It should be noted that the principal investigator of an approved project is responsible for
the storage and retention of original data pertaining to the project. Individual researchers
should be able to hold copies of the data for their own use. Original data should be
retained in a secure location.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
20
Appendix iv: Sample Consent Form for Participants
The FACULTY OF EDUCATION ETHICS COMMITTEE
CONSENT FORM: SURVEYS, QUESTIONNAIRES
(Please amend to suit participants) (delete italics before use)
I,
of
Hereby agree to participate in this study to be undertaken by:
……………………………………………………………………………..
and I understand that the purpose of the research is (to be completed by the researcher)
I understand that:
1. Upon receipt, my questionnaire will be coded and my name and address kept
separately from it.
2. Any information that I provide will not be made public in any form that could reveal my
identity to an outside party (i.e. that I will remain fully anonymous).
3. Aggregated results will be used for research purposes and may be reported in
scientific and academic journals.
4. Individual results will not be released to any person except at my request and on my
authorisation.
5. That I am free to withdraw my consent at any time during the study in which event my
participation in the research study will immediately cease and any information obtained
from me will not be used.
Signature:
…………………………………………….
Date: …………………..
The contact details of the researcher are:
The contact details of the secretary to the Faculty of Education Ethics Committee are
Clare McKinlay, Research Office, Faculty of Education, University of Hull, Cottingham
Road, Hull, HU6 7RX. Email: c.m.mckinlay@hull.ac.uk tel. 01482-465031.
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained from the Faculty of Education
Ethics Committee Secretary, eg, absence of parental consent, use of pseudonyms, etc)
NOTE: In the event of a minor's consent, or person under legal liability, please
complete the Ethics Committee's "Form of Consent on Behalf of a Minor or
Dependent Person".
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix v: Sample Consent Form for Institutions/ Organisations
The FACULTY OF EDUCATION ETHICS COMMITTEE
CONSENT FORM – For Institutions/Organisations
(to be completed by the person legally responsible) (delete italics before use)
I, ........................................................... of ......................................................................
Hereby give permission for ................................................................................. to be
involved in a research study being undertaken by: ………………………… and I
understand that the purpose of the research is: ……………………………………… and
that involvement for the institution means the following:I understand that
1.
the aims, methods, and anticipated benefits, and possible risks/hazards of the
research study, have been explained to me.
2.
I voluntarily and freely give my consent for the institution/organisation to
participate in the above research study.
5.
I am free to withdraw my consent at any time during the study, in which event
participation in the research study will immediately cease and any information
obtained through this institution/organisation will not be used if I so request.
3.
I understand that aggregated results will be used for research purposes and may
be reported in scientific and academic journals.
I agree that
4.
The institution/organisation MAY / MAY NOT be named in research publications
or other publicity without prior agreement.
5.
I / We DO / DO NOT require an opportunity to check the factual accuracy of the
research findings related to the institution/organisation.
Signature: ……………………………………………….
Date: …………
The contact details of the researcher are:
The contact details of the secretary to the Faculty of Education Ethics Committee are
Clare McKinlay, Research Office, Faculty of Education, University of Hull, Cottingham
Road, Hull, HU6 7RX. Email: c.m.mckinlay@hull.ac.uk tel. 01482-465031
In some cases, consent will need to be witnessed e.g. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained from the Faculty of Education
Ethics Committee Secretary, e.g. absence of parental consent, use of pseudonyms, etc)
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix vi: Sample Consent Form for Parents/ Guardians
The FACULTY OF EDUCATION ETHICS COMMITTEE
CONSENT ON BEHALF OF A MINOR OR DEPENDENT PERSON
(please amend to suit participants)(delete italics before use)
I,
……………………………………………………..
of: …………………………………
Hereby give consent for my son / daughter / dependent to be a participant in the study
to be undertaken by:
…………………………………………………………………….
I understand that the purpose of the research is (to be completed by researcher)
……………………………………………………………………………………………….
I understand that
1. the aims, methods, and anticipated benefits, and possible hazards/risks of the
research study, have been explained to me.
2. I voluntarily and freely give my consent to my child's/dependant's participation in
such research study.
3. I understand that aggregated results will be used for research purposes and may
be reported in scientific and academic journals.
4. Individual results will not be released to any person including medical
practitioners.
5. I am free to withdraw my consent at any time, during the study in which event my
child's/dependant's participation in the research study will immediately cease and
any information obtained will not be used.
Signature: …………………………………………………….
Date: ………………
The contact details of the researcher are:
The contact details of the secretary to the Faculty of Education Ethics Committee are
Clare McKinlay, Research Office, Faculty of Education, University of Hull, Cottingham
Road, Hull, HU6 7RX. Email: c.m.mckinlay@hull.ac.uk tel. 01482-465031.
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained from the Faculty of Education
Ethics Committee Secretary, eg, absence of parental consent, use of pseudonyms, etc)
NOTE: The parent or parents, or person(s) having guardianship of the child must sign
the consent form.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix vii: Sample Consent Form for Participants (interviews)
THE FACULTY OF EDUCATION ETHICS COMMITTEE
CONSENT FORM: (INTERVIEWS)
(Please amend to suit participants)
(delete italics before use)
I, ………………………………………………………………..
of ……………………………….
Hereby agree to be a participant in this study to be undertaken by: ………………………………
and I understand that the purpose of the research is (to be completed by researcher)
……………………………………………………………………………………………………………..
I understand that
1.
the aims, methods, and anticipated benefits, and possible risks/hazards of the
research study, have been explained to me.
2.
I voluntarily and freely give my consent to my participation in such research study.
3.
I understand that aggregated results will be used for research purposes and may be
reported in scientific and academic journals.
4.
Individual results will not be released to any person except at my request and on my
authorisation.
5.
I am free to withdraw my consent at any time during the study, in which event my
participation in the research study will immediately cease and any information
obtained from me will not be used.
Signature: ……………………………………………..
Date: ………………………
The contact details of the researcher are:
The contact details of the secretary to the Faculty of Education Ethics Committee are
Clare McKinlay, Research Office, Faculty of Education, University of Hull, Cottingham
Road, Hull, HU6 7RX. Email: c.m.mckinlay@hull.ac.uk tel. 01482-465031
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained from the Faculty of Education
Ethics Committee Secretary, eg, absence of parental consent, use of pseudonyms, etc)
NOTE:In the event of a minor's consent, or person under legal liability, please
complete the Ethics Committee's "Form of Consent on Behalf of a Minor or
Dependent Person".
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix viii: Sample Consent Form for Participants (other)
THE FACULTY OF EDUCATION ETHICS COMMITTEE
CONSENT FORM: (For other forms of teaching and research)
(Please amend to suit participants)
(delete italics before use)
I,
……………………………………………………….
Of …………………………………….
Hereby agree to be a participant in this study to be undertaken by: ………………………………….
and I understand that the purpose of the research is (to be completed by researcher)
…………………………………………………………………………………………………………………
I understand that
1.
the aims, methods, and anticipated benefits, and possible risks/hazards of the
research study, have been explained to me.
2.
I voluntarily and freely give my consent to my participation in such research study.
3.
I understand that aggregated results will be used for research purposes and may be
reported in scientific and academic journals.
4.
Individual results will not be released to any person except at my request and on my
authorisation.
5.
I am free to withdraw my consent at any time during the study, in which event my
participation in the research study will immediately cease and any information
obtained from me will not be used.
Signature:
……………………………………………..
Date: …………………..
The contact details of the researcher are:
The contact details of the secretary to the Faculty of Education Ethics Committee are
Clare McKinlay, Research Office, Faculty of Education, University of Hull, Cottingham
Road, Hull, HU6 7RX. Email: c.m.mckinlay@hull.ac.uk tel. 01482-465031
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained
NOTE: In the event of a minor's consent, or person under legal liability, please
complete the Ethics Committee's "Form of Consent on Behalf of a Minor or
Dependent Person".
Appendix (ix) Witness Certifications
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix ix: Witness Certifications
FACULTY OF EDUCATION ETHICS COMMITTEE
WITNESS' CERTIFICATIONS
In some cases, consent will need to be witnessed eg. where the subject is
blind/intellectually disabled. A witness must be independent of the project and may only
sign a certification to the level of his/her involvement. A suggested format for witness
certification is included with the sample consent forms. The form should also record the
witnesses' signature, printed name and occupation. For particularly sensitive or
exceptional research, further information can be obtained from the Faculty of Education
Ethics Committee Secretary, eg, absence of parental consent, use of pseudonyms, etc)
A witness should only sign a certification within the level of their involvement and the
form of certification should depend mainly on the level of risk involved in the research.
For projects with any level of risk to participants beyond that encountered in every day
life, the witness must be someone who is not associated with the project. Where the
witness is asked to certify that he/she is satisfied as to the matters in para. b (below) a
statement of instructions should be prepared by the researcher to ensure that the
witness understands what is being asked of them.
A witness can have a number of roles:
a) witness to the signatures only.
b) witness certifying that the participant:o
o
o
o
received certain levels of information
had an opportunity to ask questions
appeared to understand what was involved and/or
consented voluntarily.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix x: Code of Practice on Research Misconduct
University Code of Practice
Research Misconduct
Document Reference:
Identifier:
Version:
Research Misconduct
QH: L2
2 04
Date: Aug 11
Approved By:
Originator:
Academic Board
University Quality Office
Application to Collaborative Provision:
not applicable
Responsibilities:
All staff and students involved in research
(including taught students involved in
research)
Deans
Contacts:
University Quality Office 01482 46 6704
www.hull.ac.uk/quality
Graduate School
Applications for exemptions to:
Report Exemptions to:
Research Degrees Committee
University Research and Enterprise
Committee
Cross reference:
Regulations on Unfair Means – QH: F8
Summary/ Description
This code governs research misconduct by staff and students involved in research. It
specifies that for allegations against students will be dealt with in accordance with the
regulations on unfair means (QH:F8) as a form of unfair means.
ULTAC recommended that the code should apply to all students, rather than just those
registered for research degrees, to reflect the importance of sound research practice
whenever undertaken.
Version 2 04 (Aug 11)
 replaces references to Deputy Vice-Chancellor with PVC
Version 2 03 (Sep10) recognises the following changes:
 The revised committee structure
Version 2 02 (Sep 07) made the following changes:
 Replaces references to ‘code’ on unfair means with ‘regulations’
 Replaces references to AAC with Programme Approvals Monitoring and
Enhancement Committee (PAMEC)
 Removes reference to Pro Vice Chancellor Academic Affairs
This document is available in alternative formats from the University Quality Office
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
27
University Code of Practice
Research Misconduct
Standards of Professional Integrity in Research
The University is committed by its mission statement to the exploration, creation and
communication of knowledge. In fulfilment of this mission, the University is
committed to conducting its research professionally, in ways that are both expert
and responsible.
The Nolan Committee on Standards in Public Life has made recommendations ‘to ensure
the highest standards are maintained’ in key areas of public life. The Committee
properly sees higher education as one of those key areas. The University has
endorsed the seven principles of public life that the Nolan Committee articulates for
the benefit of all who serve in a public way and which have relevance to best practice
in the conduct of research: selflessness, integrity, objectivity, accountability,
openness, honesty and leadership.
Everyone involved in research in an institution of higher education owes a duty of
accountability to society, to their profession, to their institution and to the funders of
their research, to accept full responsibility for the integrity of their own conduct of
that research, and for the activities of staff or students under their direction. This
extends to accountability for the ethical basis of the research, for the safety of all
involved in the research process, for the probity of the financial management of the
project, and for seeking to provide optimum value for the public or private funds
invested in the project. These responsibilities extend in turn to the effective
management of any agreed timetable for the project, together with timely provision
of any tangible outcomes scheduled to be delivered to an external sponsor. Any
member of staff who has concerns that research misconduct has taken or is taking
place has a duty of care to raise those concerns and should feel free to raise them
with the most appropriate officer in complete confidence.
Definition of Misconduct in Research
All members of the University of Hull are expected to observe high standards of
professional conduct and integrity in the practice of research and in the publication
of research. Any departure from those ethical standards for proposing, conducting
and publishing research constitutes research misconduct and is unacceptable to the
consensus among members of the University on the standards and values to which
they wish to subscribe. The University holds that all the instances of misconduct
exemplified by (but not limited to) those outlined below, are unacceptable.
The following are examples of research-related misconduct whether deliberate,
reckless or negligent:






Failure to obtain appropriate permission to conduct research;
Deception in relation to research proposals;
Unethical behaviour in the conduct of research, for example, in relation to research
subjects;
Unauthorised use of information which was acquired confidentially;
Deviation from good research practice, where this results in unreasonable risk of
harm to humans, other animals or the environment;
Fabrication, falsification or corruption of research data;
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
28










Distortion of research outcomes, by distortion or omission of data that do not fit
expected results;
Dishonest misinterpretation of results;
Publication of data known or believed to be false or misleading;
Plagiarism, or dishonest use of unacknowledged sources;
Misquotation or misrepresentation of other authors;
Inappropriate attribution of authorship;
Fraud or other misuse of research funds or equipment;
Attempting, planning or conspiring to be involved in research misconduct;
Inciting others to be involved in research misconduct;
Collusion in or concealment of research misconduct by others.
Scope
The scope of the policy in this document will be taken to include: all members of the
University’s academic and academic-related staff; research fellows, assistants and
associates; students undertaking research as part of a programme of study (whether
categorised by the Programme Approvals Committee as taught or research); visiting
researchers as well as all those with honorary positions conducting research within,
or on behalf of the University of Hull.
Allegations against students
Any allegation of misconduct against a student as set out in this code must be dealt with
in accordance with the regulations on the use of unfair means.
Where an allegation is found proven in accordance with the regulations on unfair means,
where the research student is in receipt of external funding for his/her research
degree, the relevant funding body must be informed of the finding of misconduct and
the penalty imposed. An external body must not be informed of any allegation which
is not proven.
Allegations against staff
The procedure for handling allegations of research misconduct is separated into two
stages: Firstly, an initial assessment to determine whether there is a prima-facie
case for an investigation, and secondly an investigation to examine and evaluate all
the relevant facts, and to recommend an appropriate course of action.
Initial Assessment
All complaints whether verbal or written relating to an act of research misconduct should
be made to the Dean/Director of the appropriate Faculty/School who will immediately
inform a PVC and the relevant Head of Department. The identity of the
complainant(s) will be kept confidential in these initial stages. Anonymous
allegations will be reviewed at the discretion of the PVC, the Dean/Director and the
Head of Department (the Initial Assessors). If the complaint involves any of the Initial
Assessors then the Vice-Chancellor will determine an appropriate alternate.
The Initial Assessors will meet separately with the complainant(s) and with the person(s)
concerned to discuss the allegation(s) and to make an initial assessment of the case
and how to proceed. The Assessors shall submit a statement to the Vice-Chancellor
recommending either that the allegations should be dismissed or, where it is
considered that there is prima facie evidence of research misconduct as defined
above, that an Investigation Panel should be established to investigate matters
further. If the Vice-Chancellor dismisses the allegation(s), the complainant(s) and
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
29
the person(s) concerned will be informed. If it is considered that the complainant(s)
has been vexatious, the Vice-Chancellor may determine to invoke disciplinary
proceedings as appropriate.
Investigation
If the Vice-Chancellor accepts the recommendation of an investigation the PVC and the
Dean/Director of the Faculty/School will convene an Investigation Panel. Where the
person(s) against whom allegations have been made has responsibilities outwith the
University, the appropriate authorities should be informed of the establishment of
such a Panel.
The Investigation Panel will consist of a PVC, the Dean/Director of the Faculty/School and
one member of the Senior Academic Staff appointed by the Chairman of Academic
Board. Additionally, depending on the nature of the case, the PVC, in consultation
with the Vice-Chancellor, may determine to add a further member appointed from
outwith the University. The Panel will be serviced by the Faculty Administrator of the
appropriate Faculty/School Office.
The Panel will take the written allegation(s) from the complainant(s) and the written
response from the person(s) concerned and will proceed to investigate those
complaints within the normal requirements of natural justice.
The objective of the Panel is to provide a report to the Vice-Chancellor which recommends
one of three courses of action and which provides a detailed reasoning which
substantiates that recommendation:
(a) That the allegation(s) be dismissed
(b) That the allegation(s) is substantiated in whole or in part but that the nature of
the misconduct is such that the matter should be disposed of informally, e.g.
through an informal warning from the Head of Department or equivalent
(c) That the allegation(s) is substantiated and is such that the University's
appropriate disciplinary and dismissal procedures should be invoked in such a
manner as the Vice-Chancellor deems appropriate.
RESEARCH INTEGRITY AND ETHICS: Ethical Principles, Guidelines and Procedures for Research and Teaching
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Appendix xi: Image Permission Form
Centre for Educational Studies, Faculty of Education
Image Permission Form
In compliance with the Data Protection Act 1998, it is necessary to obtain signed permission from the
parent or guardian before taking or using a still or moving image of a child. The student who will be taking
these images will comply with the following rules:



The image (s) will only be used for the purpose stated below.
The full name(s) of the child / children in the image(s) will not be used.
The image(s) will not be retained for any longer than required, and details of this are given below.
Name of Student
Programme of Study
Name of School / Setting
Name of person whose image is taken (or details of class / year group)
Purpose of taking image(s) – give details of precisely how they will be used and how long they
will be retained for
Signature of Student
Date
Signature of Parent / Guardian
(or attach evidence that permission has been
granted)
Date
Signature of Headteacher / Placement Manager
(or attach evidence that permission has been
granted)
Date
Signature of Programme Director
Date
31
Appendix xii: Permission to Proceed Notice
Centre for Educational
Studies
T 01482 465988
E c.m.mckinlay@hull.ac.uk
ETHICAL PROCEDURES FOR RESEARCH AND TEACHING
IN THE
FACULTY OF EDUCATION
PERMISSION TO PROCEED WITH RESEARCH: ETHICAL APPROVAL
Reference Number:
14/15-xxx
Name:
Programme of Study:
Research Area/Title:
Image Permission Form
Received (or N/A if no images)
Name of Supervisor:
Date Approved by Supervisor:
Date Approved by Ethics Committee:
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Appendix xiii: Student Confirmation of Ethics Protocol
Faculty of Education Ethics Committee
ETHICAL AUTHORISATION OF STUDENT RESEARCH
I understand that before I undertake any data collection from research participants as part of my
research, I will be required to:


Make a formal application for ethical approval from the Faculty of Education Ethics Committee using
the application pack in use at the time of the application;
Receive formal notification, from the secretary to the Ethics Committee, that my application has been
successful.
I confirm that I have been informed:



Why I am required to apply for ethical approval and why I should conduct my research ethically;
How to apply for ethical approval for my research;
That if I am not granted ethical approval to carry out my research, then I should not undertake any
data collection with research participants until ethical approval has been granted.
I agree that, once data collection is underway for my research, I will behave ethically at all times, based
on the ethical code of conduct and the procedures that are outlined in the ethics approval
documentation.
I acknowledge that failure to apply for and receive ethical approval means that I may be subject to
investigation for unfair means, the maximum penalty for which is termination of course with no awarded
credits.
I will ensure that the ethics approval certificate will be included as an appendix in work submitted for
final assessment.
----------------------------------------------------------------------------------------------------------------------------------Name of student researcher
Signed
Date
Please ensure your signed copy of the form is handed to your tutor or supervisor at the start of the module
that requires ethical approval.
Appendix xiv
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Appendix xiv: Programme Contacts (Administration and Committee)
(a) Ethics forms signed by both student and supervisor should be submitted to the named administrator for your
programme of study:
Programme/Provision
1 Staff Research
2 Research Degrees
3 Masters Provision
4 PCAP
5 PG Cert/Dip Management HE
6 BA Primary Teaching
7 BA Education (SSE)
8 BA Education & Care
9 BA Chips
10 BA Education Suite
11 BA E&L
12 FD Childhood Studies
Programme Administrator
Clare McKinlay
Janet Cuthbertson
Jess Stubbins
Dominique Estnault
Sally Greaves
Beth Luker-Barrow
Vicky Du-Caine
Simon Redfern
Sam Wood
Lisa Garden
(b) The administrator will then forward your application to the nominated Faculty of Education Ethics Committee member
for your programme of study:
Programme/Provision
1
2
3
4
5
6
7
8
9
10
11
12
Staff Research
Research Degrees
Masters Provision
PCAP
PG Cert/Dip Management HE
BA Primary Teaching
BA Education (SSE)
BA Education & Care
BA Chips
BA Education Suite
BA E&L
FD Childhood Studies
Ethics Committee
Member/Representative
Gary Wilkinson
Gary Wilkinson
Rania Filippakou
Max Hope
Max Hope
Megan Murray
Sam Shields
Jayne Knott
Sharron Wilkinson
Sharron Wilkinson
Sarah James
Jayne Knott
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