# Welcome to SMIRK Unit
8 - Research ethics

- Research ethics
- Respect for persons and scientific value
- Social responsibility and benifience
- Maximising benefit and minimising harm
- Veracity and confidentiality
- Principles of good practice
- What does this mean at GCU?
- GCU definition of misconduct in research
- Misconduct in research
- Informing participants
- Informing participants 2
- Documenting consent
- Documenting consent 2
- Back to main index

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc.

# Research ethics

These guidelines are intended to cover all subjects, so they are fairly general and are grouped under some main concepts.

#### Respect for the autonomy and dignity of persons

Respect for autonomy means that researchers should make sure that research participants are entirely free to make a choice about their participation in a study. In order to be in a position to make a choice they must be given enough information about the research and what participation involves, they have to be sufficiently competent to understand this information and to understand it to their own satisfaction. They must also be free from influence or coercion. In ethical terms this means that researchers have to obtain informed consent and provide assurance that non-participation or withdrawal from participation can occur with no adverse consequences for the participants. A template form for routine use is available in Appendix 10 of the GCU research ethics booklet.

A lot has been written about Informed consent and it needs careful consideration. Researchers who are working with vulnerable people such as children, prisoners, those with some form of mental illness or incapacity or the very sick or old will need to pay particular attention to the way in which they gain informed consent. The Mental Capacity Act (2005) introduced new requirements for approaching and gaining consent to undertake research with people who are unable to give consent on their own behalf. Chapter 8 gives some information about establishing whether a person is able to consent to research and how to work with carers, family members or paid staff to obtain consent on behalf of the individual, where this is unavoidable.

This guidance focuses on clinical practice, but be aware that legally the principles that apply to clinical practice also apply to research.

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Respect for persons
and scientific value

#### Respect for the autonomy and dignity of persons: continued

Researchers should respect the knowledge, insight, experience and expertise of participants and potential participants. They should also respect individual, cultural and role differences. Researchers should avoid any unfair, prejudiced or discriminatory practice, for example in participant selection or in the content of the research itself.
Researchers should respect the privacy of individuals, and ensure that they are not personally identifiable, apart from in exceptional circumstances and then only with clear, unambiguous informed consent. They should respect confidentiality, and ensure that information or data collected about individuals are appropriately anonymised and cannot be traced back to them, even if the participants themselves are not troubled by a potential loss of confidentiality. Where a participant wishes to have their voice heard and their identity linked with this, researchers will try to respect such a wish.
Good researchers will make sure that people’s rights are always respected.

#### Research ethics: Scientific value

Research should be designed, reviewed and conducted in a way that ensures its quality, integrity and contribution to the development of knowledge and understanding. Research that is poorly designed or conducted wastes resources and devalues the contribution of the participants. At worst it can lead to misleading information being published and can have the potential to cause harm.

Researchers should make sure that the scientific design of the research is of a sufficiently high standard and robustness. They should consider the potential risks of harm and protocols for addressing such difficulties (should they arise). It is important that the aims of the research are as transparent as possible to ensure that it is clear what the research intends to achieve.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Social responsibility
and benifience

All professions exist within the context of human society. This means that all researchers have a shared collective duty for the welfare of human and non-human beings.

The principle of beneficence has two elements – positive beneficence and utility beneficence. Positive beneficence means doing positive good in the sense that the research has some value scientifically, practically or educationally - in other words it must address an important question. Utility beneficence refers to the requirement that the researcher ‘balances benefits and drawbacks’ to produce the best overall results [Beauchamp and Childress 2001:165]. In other words, an assessment has to be made about whether the benefits of the research justify the level of effort, resources, costs or risk of harm to the research participants and the community.

Knowledge must be generated and used for beneficial purposes. This means purposes that not only support and reflect respect for the dignity and integrity of persons (both individually and collectively) but also contribute to the ‘common good’.
Researchers must be able to work in partnership with others (including professional colleagues, research participants, and other persons); be self-reflective; and be open to challenges that question the contributions of knowledge to society.
Researchers need to be aware of their personal and professional responsibilities, to be alert to the possible consequences of unexpected as well as predicted outcomes of their work, and to acknowledge the often problematic nature of the interpretation of research findings.

###### Beauchamp T L and Childress J F (2001) Principles of Biomedical Ethics. 5th Edition. Oxford University Press

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Maximising benefit
and minimising harm
(or non-malifience)

Non-maleficence means that researchers have an obligation not to inflict harm on their study participants. ‘Harm’ is a contested concept. You can argue that the use of some research methods may cause minor discomfort or harm. For example taking a blood sample may cause temporary discomfort, pain or bruising. Asking certain questions may cause psychological harm such as embarrassment, distress or unwelcome emotions. It is the researcher’s duty to weigh up the potential for harm against the benefits of the study and to come to a justifiable conclusion. It is also his or her duty to make sure that research, which carries a risk of harm, should only be conducted by properly qualified investigators. Therefore, particular care should be taken in decisions about what types of research can be conducted by undergraduates.

In order to address the issue of ‘risk of harm’, researchers must show that they have exercised a standard of due care. This would involve identifying the likely risks, assessing the probability that they will occur, evaluating the risk to determine its acceptability in relation to the objectives of the research and finally managing the risks which involves the steps that can be taken to minimise them [Beauchamp and Childress 2001:199]. Examples of managing risk are:

- the provision of counselling if the research subject is likely to become distressed;
- advice about services or help as a result of discussing needs which are not being met;
- offering the benefits of an intervention after completion of an intervention programme;
- an explanation of why deception has been used.

Researchers should think about all research from the point of view of the research participants, with the aim of avoiding potential risks to psychological well-being, mental or physical health, personal values, or dignity. Researchers should seek to maximise the benefits of their work at all stages, from start through to dissemination.

###### Beauchamp T L and Childress J F (2009) Principles of Biomedical Ethics. 6th Edition. Oxford University Press. Available in GCU library at 174.2 BEA
British Medical Association (2001) Consent. Rights and Choices in Health Care for Children and Young People. BMA Medical Ethics Department. Available in GCU library at 362.10994 C60

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Veracity and
confidentiality

Veracity means that researchers should tell the truth and pass on information in a comprehensive and objective way. There may be a methodological reason for limited disclosure but this must be carefully justified. Confidentiality is also the subject of a considerable literature and legislation in the form of the Data Protection Act 1998. The term is sometimes used inter-changeably with anonymity. The definitions used by the GCU Ethics Committee are given below:

- Anonymity is the protection of the participant in a study so that even the researchers cannot link the subject with the information provided. (LoBiondo-Wood, 2002)
- Confidentiality is the prevention of disclosure, to other than authorized individuals, of a participant's identity. (MRC, 1998)

Information obtained from and about a participant during an investigation is confidential unless otherwise agreed in advance. Investigators who are put under pressure to disclose confidential information should draw this point to the attention of those exerting the pressure. Participants in research have a right to expect that information they provide will be treated confidentially and, if published, will not be identifiable as theirs. In the event that confidentiality and/or anonymity cannot be guaranteed, the participant must be warned of this in advance of agreeing to participate. The duty of confidentiality is not absolute in law and may in exceptional circumstances be overridden by more compelling duties such as the duty to protect individuals from harm. Where a significant risk of such issues arising is identified in the risk assessment, specific procedures to be followed should be specified in the protocol.

###### Nursing Research. Methods, Critical Appraisal and Utilization, 5th ed. Geri LoBiondo-Wood, Mosby, 2002. Available in GCU Library at 610.73072 L64
MRC Guidelines for Good Clinical Practice in Clinical Trials, MRC 1998

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Principles of good
practice

#### What does this mean at GCU?

- The highest possible standards of honesty, confidentiality and care. Regardless of discipline or institution, researchers need to be honest in respect of their own actions in research and in their responses to the actions of other researchers. This applies to the whole range of research, including development of research proposals, experimental design, generating and analysing data, publishing results and acknowledging the direct and indirect contribution of colleagues, collaborators and others. All individuals in the University’s employment and all University students must refrain from plagiarism, piracy or the fabrication of results. The committing any of these actions is regarded as gross misconduct.
- A continuing endeavour to keep abreast of developments in the relevant subjects and disciplines, including their methodologies.
- A critical approach to one’s own research results. An openness and responsiveness to reasoned criticism by colleagues.
- Observance of the standards of practice and codes of conduct set out in guidelines published by funding bodies, scientific societies, government bodies, Glasgow Caledonian University and other relevant professional and statutory bodies, where appropriate.
- Positive and fair leadership in contexts where work is carried out by teams.
- Integrity in applying for public or private sources of funding and probity in using the funds only for purposes for which they are given.
- The strict adherence to the best contemporary legal, administrative and ethical practices in research that involves human or animal subjects.

Glasgow Caledonian is committed to working towards the establishment of the features of good practice listed above.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# What does this mean
at GCU?

- The clear documentation of the methods and processes that are used in the research, and the preservation of such documentation for ten years, or such time as may be found in the codes of practice relating to the relevant discipline.
- The clear and accurate records of the procedures followed and the approvals granted during the research process, including records of interim results obtained as well as of the final research outcomes.
- The safe and secure storage of the primary data and procedures, normally for ten years but should be appropriate, and a safe and secure method of disposal after this time, all in accordance with the requirements of the Data Protection Act 1998.
- The confidentially of personal information relating to the participants in research, and that the research fulfils any legal requirements such as those of the Data Protection Act 1998.
- The acceptance of responsibility for the contents of a publication or research proposal by all whose names appear on it as authors.
- The acceptance of the responsibility to seek to disseminate results of completed work, where appropriate.
- The selection and listing of the authors in a published work in a way that fairly and appropriately reflects the contributions made by each; and including acknowledgement of contributions made by others not listed as authors.
- Recognition of the training needs of junior researchers and those beginning their research careers, and sensitivity to the needs of those approaching the end of their research career.
- The compliance with any University regulations relating to research including ethical, quality or approval processes.

Glasgow Caledonian is committed to working towards the establishment of the features of good practice on this list.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# GCU defninition of
misconduct in
research

All individuals carrying out research for Glasgow Caledonian University are expected to observe high standards of professional behaviour both in the practice of research and in the publication and dissemination of research. A failure to achieve the highest attainable levels of good practice is not itself sufficient evidence of research misconduct, nor is honest or unintentional error.

Research misconduct is broadly defined as wilful behaviour that falls seriously short of, or that seriously breaches the principles of good practice in the conduct of academic research.

Research misconduct may take many forms. It includes, but may not be restricted to, the following:

- Piracy: the deliberate exploitation of the ideas of others without permission or acknowledgement. It includes the piratical use of material that has been provided in a privileged way for review, examination, assessment or appraisal.
- Fraud: the manipulation of data or findings with an intention to deceive. It includes the invention, falsification, or selective use of data to create an impression that the researcher knows to be false or incomplete. It can also incorporate financial fraud when there is a misappropriate use of funds.
- Collusion: the deliberate participation in the research misconduct of another person.
- Plagiarism: the deliberate copying of, data or text without permission or acknowledgement.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Misconduct in research

- Persecution: occurs when disciplinary or other retaliation is taken against a person who brings a charge of misconduct in good faith.
- Malicious accusation: the bringing of a charge of misconduct against another person in bad faith.
- Denigration: is the persistent and unjustifiable deprecation of the worth of another person’s work. It includes the failure by senior staff to give fair and appropriate credit for the work done by junior staff or students.
- Interference: the intentional damage to, or removal of, the research-related property of another person or the University.
- Negligence: is the culpable departure from contemporary legal, administrative and ethical practices in research that involves human or animal subjects. It includes the deliberate departure from recognised practices, procedures and protocols.
- Non-compliance: the failure to adhere to whatever terms and conditions have been freely entered into in order to receive public or private funds from outside the University.

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Informing participants

Giving potential participants enough information about the research in an understandable form needs careful drafting of the information sheet. You should carry out at least one pilot test of the processes for informing and debriefing participants with a naïve person having a literacy level at the lower end of the range expected in the planned research sample. In certain circumstances the aims of the research may be compromised by giving full information prior to data collection. In such cases, it should be made clear that this is the case in the information sheet and the means by which the withheld information will be given at the conclusion of data collection should be specified. The amount of information withheld and the delay in disclosing the withheld information should be kept to the absolute minimum necessary.
The information sheet given to potential participants for them to keep should normally give a clear statement of all those aspects of the research that are relevant for their decision about whether or not to agree to participation. Here are some headings for consideration.

- The aim(s) of the project
- The type(s) of data to be collected
- The method(s) of collecting data
- Confidentiality and anonymity conditions associated with the data including any exceptions to confidentiality, for example, with respect to potential disclosures
- Compliance with the Data Protection Act and Freedom of Information Act

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Informing participants 2

- The time commitment expected from participants
- The right to decline to offer any particular information requested by the researcher
- The opportunity to withdraw from the study at any time with no adverse consequences
- The opportunity to have any supplied data destroyed on request (up to a specified date)
- Details of any risks associated with participation
- If appropriate, a statement that payment for time and inconvenience associated with participation will be given, without specifying the amount or nature of the payment beyond the repayment of expenses such as travel costs
- The name and contact details of the Principal Investigator
- The name and contact details of another person who can receive enquiries about any matters which cannot be satisfactorily resolved with the Principal Investigator
- Details of any insurance indemnity for the research
- Any debriefing that is planned
- How the data will be used and planned outcomes
- Potential benefits of the research
- How the results of the research will be made available to participants

Which of these headings are appropriate, and the extent of information given under each, will depend on the nature of the research. The language should be clear and accessible to people with limited literacy, using short words and sentences, written in the active voice, and avoiding the use of technical terms.
Give enough time for potential participants to absorb and consider the information about the research and what is expected of their participation before they are asked to make a decision about it.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Documenting consent

Consent, in any format, should include an explicit statement confirming that information about the research has been given to the participant and has been understood. It is important that participants don't mistake any collection of health-related data from them for any form of medical screening. This might lead them to be less vigilant in relation to seeking medical attention for risks or symptoms of illness.
Normally, where written consent is taken, two copies of a consent form should be signed by the researcher and the consenting participant, and/or their parent or guardian. One copy should be retained by the participant and the other stored by the researcher. The participant's copy should give details of a contact for any queries. For certain types of research, for example where there are identifiable risks, it will also be appropriate for the consent to be witnessed and signed by an independent third party. All records of consent, including audio-recordings, should be stored in the same secure conditions as research data, with due regard to the confidentiality and anonymity protocols of the research which will often involve the storage of personal identity data in a location separate from the linked data.

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc

# Documenting consent 2

It is crucial that participation in a research study is not coerced in any way, for example, through offering disproportionate rewards for consenting or indicating disincentives for not consenting. Coercion infringes the human right to autonomy and coerced participation compromises the validity of research data. Investigators should realise that they are often in a position of real or perceived authority or influence over participants. For example, they may be gathering data from their students, employees or clients, from prisoners or from other detained or vulnerable people. This relationship must not be allowed to exert pressure on people to take part in, or remain in, an investigation and the potential for a power relationship to bias the data should be considered. Similarly, where people in positions of power over potential participants, for example school teachers or prison staff, serve as gatekeepers or recruiters for research, the potential for coercion arising from the power relationships should be recognised and steps taken to avoid it. However, it is acceptable, and in many case proper, for reasonable recompense for attendance, travel, other incurred costs and the time and inconvenience of participation to be offered.

#### Need for renewal of consent:

Where the research needs a substantial commitment of time or repeated data collection sessions, such as in longitudinal studies, it will often be appropriate to seek renewed consent from participants. This also recognises that consent should be an ongoing process and that a fuller appreciation of the research and the nature of participation will often become more apparent to participants during the course of their involvement. Participants should be given contact information for use in the event of any issues arising in the course of the research that cannot be resolved with members of the project team. This contact should be both independent of the project team and in a position to take appropriate action if issues are raised by participants.

Further guidance on ethics is available from your supervisor. Good luck!

####

######
SMIRK - Research ethics by The British Psychological Society and GCU modified by Marion Kelt, Glasgow Caledonian University is licensed under a Creative Commons Attribution 4.0 International License.
Based on a work at http://www.bps.org.uk/sites/default/files/documents/code_of_human_research_ethics.pdf, http://www.gcal.ac.uk/hr/policies/general/code_of_good_practice_in_research.doc, http://www.gcu.ac.uk/registry/secretariat/documents/EthicsBookletMarch2011asonwebsite.doc