NEWCASTLE UNIVERSITY ETHICS COMMITTEE
ETHICS IN RESEARCH – POLICY AND PROCEDURE
1.
Introduction
1.1
The Purpose of this document is to clarify the rights of, and
obligations on, researchers, to promote awareness of ethical principles
and ethical issues in the conduct of research, and to provide a framework
for their consideration at Newcastle.
1.2
The University's mission is to be a leading, broad-based institution,
characterised by the outstanding quality of its teaching and research. A
mark of outstanding quality is a commitment to ethical standards in
academic life. Broadly defined, this means a systematic regard for the
rights and interests of others in the full range of professional relationships
and endeavours that characterise academic life, and in particular teaching,
research, the generation of knowledge and third strand activity, both
commercial and community.
1.3
All research is subject to ethical considerations concerning purpose,
source of funding, methods to be deployed and wider value impact. It is
important that risks in carrying out a piece of research are clearly
articulated and weighed against the potential value of it so that those
involved (researchers, researched and third parties) proceed with
informed consent.
1.4
The policy is intended for all those engaged in research practice and
in teaching research processes as they are embodied in different
disciplines. It is designed primarily for academic staff, including those on
research contracts, but it is also relevant to research degree students,
taught postgraduate students and undergraduate students engaged in
projects/dissertations.
1.5
The policy is built upon ethical and good practice guidelines issued
by professional bodies, subject associations, external ethics committees,
etc; and on the research practice guides provided by academic staff to
inform contract researchers and students of subject-specific requirements.
2.
Ethical Principles and Dilemmas
2.1
It is not possible to give a general definition of the boundaries of
ethical principles, practice and problems. Nevertheless, specificity relating
to time, place and intervention can help to clarify the dimensions of a
project. What is advocated is fundamental engagement with the ethical
principles and dilemmas detailed below as an essential part of the
research process in whatever discipline.
2.2
Regardless of the nature of their work, researchers at Newcastle
are obliged to take into account the wider direct and indirect anticipated
consequences of their work.
2.3
The principles of beneficence and non-maleficence are fundamental
to all research activity. Beneficence is the requirement to promote the
interests and well being of others. It is the ethical principle of 'doing
good' in the widest sense. Non-maleficence is the principle of 'not doing
harm'. Both principles must be applied to all entities directly or indirectly
affected by the research. In practice these principles frequently conflict,
for example as in animal versus human welfare.
2.4
Ethical conduct in research demands respect for the rights of others
to promote the equal worth of those who are directly or indirectly affected
by the research. In relation to human participants, both their physical and
mental well-being should be paramount, and their personal autonomy
respected. Their participation in the research normally should be on the
basis of fully informed consent, and their right to privacy, according to
prevailing standards, should be guaranteed. Respect for rights to privacy
are just as important where individuals are unaware that they are being
researched, as would be the case when they are mentally incompetent to
give permission for their inclusion in the research (or even deceased).
2.5
Justice is the ethical principle of fair treatment of others, which
requires researchers to weigh up and make judgements about competing
claims and interests of those directly or indirectly involved in the research,
regardless of the vested interests of researchers. Researchers should
address competing interests at every stage of the research, including the
decision of whether it should be carried out in the first place. Researchers
should consider the moral justification for differential treatment of
research subjects, including non-human entities. For example, potential
risks to the future should be weighed against technological progress in the
present.
2.6
The above principles will inevitably conflict, resulting in the
requirements on the researchers to balance qualitatively different values.
In such cases, researchers are obliged to make judgements that cannot
be derived from first principles and should be prepared to draw upon
disinterested advice. Where such a conflict cannot be resolved at subject
level or by reference to an external ethics committee, the matter should
be referred to the University Ethics Committee (see Section 5).
3.
Ethical Problems and Issues
3.1
Academic disciplines vary widely in the range and significance of
the ethical problems that arise in their pursuit. Many academic disciplines
do not involve the direct use of human participants or animals. However,
consideration of ethics in research might involve broad-based questions
concerning the purpose and value of the research and its indirect effects.
Examples might include the non-destructive treatment of artefacts and
environmental issues.
considerable.
In such cases the ethical-legal issues could be
3.2
Where human subjects are involved in research, external bodies
(such as Local Research Ethics Committees) may vet the ethical-legal
issues involved for some areas of the University's work – e.g. clinical
research. In other cases, routine use of human subjects in research (e.g.
peers on taught courses, people in the community or in organisations,
ethnic groups etc.) sometimes occurs without external vetting. However,
notwithstanding the current lack of an external ethical review process in
the non-clinical arena, an increasing number of funding agencies – e.g.
the Research Councils and charities – are introducing codes of ethical
practice that researchers must consider. This requires a careful and selfreflective approach to the ethical problems that might arise. For example,
in surveys, interviews and experiments, researchers must consider the
potential of placing human subjects and/or organisations at risk from
criminal or civil liability, or damage to their social standing or to their
emotional well being.
3.3
The increasing use of information technology as a research tool
spans specific disciplines and gives rise to a set of common ethical/legal
problems. It is necessary to be aware of, and to work within, the law,
taking into account such legislation as the Freedom of Information Act
(2000), the Data Protection Act (1998) and the Computer Misuse Act
(1990). Further, the unregulated use of the internet highlights important
ethical questions about the use of material that is deemed to be offensive
and the limits of academic freedom.
3.4
Academic freedom and freedom of speech within the law are
matters of considerable debate on which it is often difficult to take an
absolute stance; academic freedom and freedom of speech within the law
are also fundamental to research, scholarship and the generation of
knowledge, which themselves demand commitment to ethical standards.
Researchers are required to balance the right to unrestricted academic
enquiry with the ethical principles outlined in Section 2 above. Where
there are matters of concern at subject level, these should be referred to
the University Ethics Committee.
4.
Research Relationships
4.1
Respect for the right of others should also be enacted in
research/project relationships through a clear articulation of roles and
responsibilities of each party and a well-defined (preferably written)
contract that specifies expectations, duties and rights over ownership of
material.
Particular care should be taken where there are power
differentials in the team such that members are not exploited.
4.2
The University's requirements for professional conduct amongst
staff and students are set out in a number of guidelines and handbooks
(see Appendix). They provide a useful context in which to discuss ethical
standards of behaviour in research and in ownership of work, central to
enquiry in any discipline.
Such discussion should occur at an
appropriately early stage of a research programme, whether at
undergraduate or postgraduate level, or between staff. The extent to
which undergraduates are exposed to research processes and associated
ethical issues varies according to their programmes of study and the
disciplines with which they engage.
4.3
Where students are required to carry out an enquiry involving
human subjects, whether as undergraduates, postgraduates on taught
programmes or research students, it is essential to introduce a code of
conduct and ethics which is formally included as part of an approved
research contract.
5.
University Framework for Considering Ethics in Research
5.1
Members of staff and students are responsible for abiding by the
University's Policy on Ethics in Research. Advice should be sought, in the
first instance, from the Faculty Dean of Research or other University
officer appointed for this purpose.
5.2
Newcastle's framework for the consideration of ethical issues in
research comprises (a) formal consideration of ethical issues in research
at the faculty level; (b) monitoring at the level of the Faculty Executive
Board and (c) institutional oversight by the University Ethics Committee.
5.3
It is the responsibility of each Faculty Executive Board to ensure
that appropriate consideration is given to ethical issues arising in and from
research activity for staff and students in all disciplines within the Faculty.
The Faculty Executive Board will exercise this responsibility by
establishing appropriate structures and procedures with the following
brief:
to encourage good practice and a climate of ongoing reflection with
regard to ethical issues in research and consultancy;


to support staff and students in the consideration of ethical issues;
to ensure good practice by the scrutiny of all research and
consultancy activity at critical points (which will be defined locally in
accordance with the nature of the research activity and the subject
discipline).

5.4
In establishing appropriate procedures Faculty Executive Boards
should take note of recommendations of appropriate stakeholders such as
the Research Councils, professional associations and other relevant groups
concerning ethics. Faculty Executive Boards should maintain oversight of
the quality of ethical review and maintain appropriate records of the
business conducted.
5.5
The Faculty Executive Boards should refer to the University Ethics
Committee any matters which cannot be satisfactory resolved by the
procedures established by them.
5.6
Faculty Executive Boards are responsible for assuring the Senate
and Council of the University through the University Ethics Committee that
the faculties are operating an effective ethical review process. The Faculty
Executive Boards will report annually to the University Ethics Committee
in a prescribed format to provide (a) a brief statement of the local
arrangements for consideration of the ethical issues in research; (b) the
list of those activities where ethical consideration has been required; and
(c) an indication of the problems which have been referred directly to the
University Ethics Committee for their resolution.
5.7
The University Ethics Committee is established as a sub-committee
of Council and Senate.
5.8
The Committee will also have powers of co-option, to allow
appropriate consultation with relevant experts.
5.9
The University Ethics Committee will have one statutory meeting
each year, but will also be convened as other business requires.
Approved by Council 9 October 2006
and
Senate 14 November 2006