association for research ethics cardiff metropolitan university 10 th september 2015 research ethics...

Association for Research Ethics

Cardiff Metropolitan University 10th September 2015

Research Ethics Applications – a refresher course


Codes of ethics: still relevant after all these years?

David Carpenter

Vice Chair AfREUniversity Ethics Adviser – University of PortsmouthChair- HRA NHS Committee – BerkshireMember – BPS Ethics Committee


‘This study complies, and at all times will comply, with The Declaration of Helsinki, as adopted at the 18th World Medical Association (WMA) General Assembly, Helsinki, Finland, 1964 and last amended at the 64th WMA General Assembly, Fortaleza, Brazil, October 2013’

‘The research proposed in this application will be conducted according to the British Psychology Society Code of Human Research Ethics’

The Stock Phrases


Does it really?


• Codes of Ethics

• Codes of Practice

• Concordats

• Specifications - funders

Codes and Concordats


Funders Specifications• Research Ethics Guidance issued by research funding

councils and the EU • AHRC: This report provides useful ethical guidance on

community based collaborative research• ESRC: www.esrc.ac.uk/ResearchEthics• MRC Research Ethics and Policy• BBSRC The Research Ethics Guidebook• EPSRC Ethics in ICT;

Framework for Responsible Innovation • NERC Ethics Policy• STFC Ethics Policy• Horizon 2020


It’s about money!


Codes and Concordats• The University of Portsmouth (UoP) Ethics Policy• Guidance on conducting research in your own place of work (UoP)• The UoP Research Data Management Policy and associated retention

schedules• The UUK Concordat to Support Research Integrity- the U0P has signed

up to the commitments expressed in the Concordat – researchers are required to respect these commitments

• The RCUK Policy and Guidelines on Governance of Good Research Conduct – this document is useful regardless of funding matters

• The RCUK Concordat for Engaging the Public with Research – this is helpful in demonstrating research impact

• The UKRIO Code of Practice for Research – the UoP has adopted this Code as its own. Any breach of the Code could invoke the University Procedure for the Investigation of Alleged Misconduct in Research


Ensuring that research is conducted according to appropriate ethical, legal and professional frameworks, obligations and standards.

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.Using transparent, robust and fair processes to deal with allegations of research misconduct should they arise

Working together to strengthen the integrity of research and to reviewing progress regularly and openly.

Research Integrity Matters:We strive to ensure that we meet our commitments set out in The Concordat

Maintaining the highest standards of rigour and integrity in all aspects of research.

We have set out our values in our Ethics Policy and we expect all staff to share them. We have adopted the UKRIO Code of Practice which sets out good practice as well as examples of breaches of integrity and we expect compliance with the RCUK Policy and Guidelines on Governance.

We have established systems for ethical review of research. All faculties have ethics committees and all staff are required to have their research reviewed. Further details can be found on our website www.port.ac.uk/research/ethicsWe offer extensive training and support for our research staff through our development programme and all research students benefit from training offered through our Graduate School.

Any allegations of misconduct in research will be investigated following our procedure.

We work together sharing good practice aimed at raising standards of integrity. We have a network of staff supporting researchers in the maintenance of high standards ensuring that research participants are always respected and our university’s reputation is never tarnished.

http://www.universitiesuk.ac.uk/highereducation/Documents/2012/TheConcordatToSupportResearchIntegrity.pdf


It’s still about money but very much linked to integrity‘Integrity’ bridges Research Governance and Ethics

Codes of Ethics


Social Sciences

• Discipline specific guidance – most subject disciplines publish guidance on the ethical conduct of research.

• Association of Social Anthropologists of the UK and Commonwealth – Ethical Guidelines

• British Association of Applied Linguistics –Good Practice• British Educational Research Association –Ethical Guidelines• British Psychological Society – Code of Human Research Ethics• British Sociological Association –Statement of Ethical Practice• British Society of Criminology –Statement of Ethics• Oral History Society - Guidance• Political Studies Association – various papers• Social Policy Association - Guidelines• Social Research Association – Ethical Guidelines


A few simple tests

Who is the author and to whom is it directed?

Rights or duties?

Lexically ordered or not?

Negative or positive?

How is it enforced – what are the sanctions?

Absolute or relative

What is its status – legal, moral, professional?

Universal or particular


Sworn Oaths and Declarations

Nor shall any man's entreaty prevail upon me to administer poison to anyone; neither will I counsel any man to do so. Moreover, I will give no sort of medicine to any pregnant woman, with a view to destroy the child.


• About (in)action

• A life of virtue

• Possessing certain dispositions

• About the actor not the act


• Required is the voluntary, well-informed, understanding consent of the human subject in a full legal capacity.

• The experiment should aim at positive results for society that cannot be procured in some other way.

• It should be based on previous knowledge (like, an expectation derived from animal experiments) that justifies the experiment.

• The experiment should be set up in a way that avoids unnecessary physical and mental suffering and injuries.

• It should not be conducted when there is any reason to believe that it implies a risk of death or disabling injury.

• The risks of the experiment should be in proportion to (that is, not exceed) the expected humanitarian benefits.

• Preparations and facilities must be provided that adequately protect the subjects against the experiment’s risks.

• The staff who conduct or take part in the experiment must be fully trained and scientifically qualified.

• The human subjects must be free to immediately quit the experiment at any point when they feel physically or mentally unable to go on.

• Likewise, the medical staff must stop the experiment at any point when they observe that continuation would be dangerous.

Nuremberg Code


Gradual Shift –from swearing oaths

•From actor to act

•From experimenter to experiment

•From being to (not)doing

•From subject to researcher

•From actions to principles


From Codes to Principles

https://acss.org.uk/developing-generic-ethics-principles-social-science/academy-adopts-five-ethical-principles-for-social-science-research/


The Five Principles are:1. Social science is fundamental to a democratic society and should be inclusive of different interests, values, funders, methods and perspectives.

2. All social science should respect the privacy, autonomy, diversity, values, and dignity of individuals, groups and communities.

3. All social science should be conducted with integrity throughout, employing the most appropriate methods for the research purpose.

4. All social scientists should act with regard to their social responsibilities in conducting and disseminating their research.

5. All social science should aim to maximise benefit and minimise harm.

https://acss.org.uk/developing-generic-ethics-principles-social-science/academy-adopts-five-ethical-principles-for-social-science-research/


From Principles to VirtueTHE VIRTUES AND VICES OF RESEARCH

Phase Vice (deficit) Virtue Vice (excess)

___________________________________________________________________________

Framing Cowardice Courage Recklessness

Negotiating Manipulativeness Respectfulness Partiality

Generating Laziness Resoluteness Inflexibility

Creating Concealment Sincerity Exaggeration

Disseminating Boastfulness Humility Timidity

Reflecting Dogmatism Reflexivity Indecisiveness

___________________________________________________________________________Tables from Macfarlane, B. (2009) Researching with Integrity: the ethics of academic enquiry Routledge: New York


Courage

seeking to challenge one’s own presuppositions or conventional wisdom developing a project that might not necessarily attract funding or represent a ‘fashionable’ topicpursuing a line of research without undue regard to career and other financial imperativesfreely admitting when research does not go to plan or when you feel your previous research was factually or conceptually mistaken

Respectfulness

being respectful to others including vulnerable individuals and communities being aware of the temptation to take advantage of organisational, social or intellectual power over otherstaking care not to cede too much power to others who may wish to distort the research process for their own ends

Living out research virtues


Sincerity

ensuring that the results of research are based on an accurate representation of all the relevant information collectedresisting overt or covert pressure from a powerful sponsor or stakeholder to skew results to meet their needs or expectations being aware of the temptation to conceal or exaggerate results in order to gain some advantage, either materially and/or to reputationHumility

fully acknowledging one’s intellectual debt to othersensuring all research partners are fairly represented in being accorded publication credit corresponding with their relative contribution

inviting others to challenge your own thinking and/or resultsReflexivity

•being self-critical about one’s own research findings or personal performance as a researcher


‘This study complies, and at all times will comply, with The Declaration of Helsinki, as adopted at the 18th World Medical Association (WMA) General Assembly, Helsinki, Finland, 1964 and last amended at the 64th WMA General Assembly, Fortaleza, Brazil, October 2013’

‘The research proposed in this application will be conducted according to the British Psychology Society Code of Human Research Ethics’

The Stock Phrases


OR


I intend to make a courageous attempt to……………it imposes significant burdens on participants but I want to demonstrate how much I value their participation; I hold them in the highest regard and consider them as full partners in this research………………I appreciate that the burdens on participants and the considerable challenges I will face will be hard but I will ‘hold on’ steadfastly to optimise the outcomes…………I will report the results candidly……….but I have to be very honest and make it clear that the results might be of little value in the end……….

Tentative Examples•Sensitive social and cultural research e.g. FGM(C)•Emergency research – e.g. ebola•Phase 1 cancer trials involving patients•Phase 3 cancer trials following failure of first and second line treatment•‘Unpopular’ research e.g. around restorative justice•Controversial research e.g. RCT on use of adrenaline following cardiac arrest