Page1of3vs3Feb2017

UniversityoftheArtsLondonCodeofPracticeonResearchEthicsTheUniversityiscommittedtosupportinggoodpracticeinresearchandscholarlyactivity;itconsidersittobefundamentalthatresearchshouldbeconductedinaccordancewithethicalprinciples.ThisdocumentdefinesthescopeoftheUniversity’sCodeofPracticeonResearchEthics,setsouttheguidingprinciples,andoutlinestheobligationsandresponsibilitiesforconductingresearchinanethicalmanner.ThisdocumentispartoftheUniversity’sframeworkforsupportinggoodpracticeinresearchwhichincludesthefollowinginformation:

• UALCodeofPracticeonResearchEthics[thisdocument]• UALGuidanceforResearchEthicsApproval• UALCodeofGoodConductinResearch• ConstitutionandtermsofreferenceforUALResearchCommitteeand

ResearchEthicsSub-Committee• UALHealthandSafetypolicy• UALEqualityandDiversityFramework• UALDisciplinaryCode

1. DefinitionofResearch1.1 ForthepurposesofthisCodeofPractice,researchisdefinedasanyformof

systematic,criticaland/orcreativeenquirythataimstocontributetoabodyofknowledge.Itincludesscholarlyactivitywhichanalyses,synthesisesandprovidesinterpretationsofideasandinformationwiththeaimofcontributingtotheintellectualinfrastructureofsubjectsanddisciplines.

2. ApplicabilityoftheCodeofPractice2.1 ThisCodeappliestoallresearchundertakenundertheformalauspicesofthe

University.ItappliestoallresearchassociatedwiththeUniversityirrespectiveofthesourceoffundingorthephysicallocationofthework.ItappliestoresearchcarriedoutbystaffandstudentsinthecourseoftheirdutiesandrelationswiththeUniversity.Workconductedaspartofprofessionalpracticecarriedoutbeyondtheacademyistheresponsibilityofthepractitioner.

2.2 TheCodeappliestopedagogicenquiryandinterventionswhicharebeyondthenormalagreementsforeducationalpurposesbetweenteacher,studentandinstitution.

3. GuidingPrinciples3.1 TheguidingprinciplesofthisCodearerespectforpersons,justice,andbeneficence;

theseconstituteasystematicregardfortherightsandinterestsofothersinthefullrangeofresearchrelationshipsandactivities.

Page2of3vs3Feb2017

3.2 Respectforpersonsrecognisesthecapacityandrightsofallindividualstomaketheirownchoicesanddecisions.Itreferstotheautonomyandrightstoself-determinationofallhumanbeings,acknowledgestheirdignity,freedomandrights.Animportantcomponentofthisprincipleistheneedtoprovidespecialprotectiontovulnerablepersons.

3.3 Theprincipleofjusticeobligestheresearchertodistributeequallytherisksandbenefitsofparticipationinresearch.Anyriskstopersonsparticipatinginresearchmustbeweighedagainstanypotentialbenefits–totheparticipantsortheresearchers,andalsothewiderbenefitstosocietyoftheknowledgegained.Aswiththeprincipleofrespectforpersons,thereisaneedtoprotectvulnerablegroups.

3.4 Beneficenceistheprincipleofdoinggoodinthewidestsense.Itrequiresresearcherstoservetheinterestsandwell-beingofothers.Insodoing,researcherscomplywiththeprincipleofneitherdoing,norpermitting,anyforeseeableharmasaconsequenceofresearchactivities.Thisistheprincipleofnon-maleficence,itistheprincipleofdoingnoharminthewidestsense.

4. ObligationsandResponsibilities4.1 Itistheresponsibilityofresearcherstoconducttheirresearchinlinewiththe

guidingprinciplessetoutabove.Complianceimpliesgivingdueconsiderationtotheethicaldimensionsofanyresearchundertaking,andthis,inturn,impliesthattheresearcherundertakesanassessmentofriskinrelationtotheseguidingprinciples.TheUniversityprovidesguidanceontheassessmentofriskintheUALGuidanceforResearchEthicsApproval.

4.2 ResearchersareresponsibleforensuringtheyarefamiliarwiththeUniversity’s

proceduresforscrutinising,approvingandmonitoringresearchactivityandforcomplyingwiththem.

4.3 Researchersareexpectedtomaintainthehigheststandardsofacademicintegrityin

conducting,publishingorexhibitingtheoutcomesoftheirresearch.Thisincludesformallyacknowledgingthecontributionsandassistanceofothers,collaboratingpartners,honouringcontractualagreements,copyrights,andtheownershipofintellectualpropertyandavoidanceofanypracticelikelytomisleadastotheorigin,validity,noveltyorownershipofwhatispresented.

4.4 Researchersmustconsiderotherrulesofconductthatmayapplytotheirresearch

andensurecompliance.Forexampleparticularcodesofpracticeandrulesofengagementapplytoworkinarchives,museumsandgalleries.Researchinareasthataresecuritysensitivemustmitigatetheriskstotheresearcherinvolvedinaccessingand/orstoringand/ordisseminatingmaterialthatmayberegardedaspromotingorendorsingterroristacts. WorkinhospitalsandothermedicalinstitutionsrequiresproposalsforresearchtobeapprovedbyanethicscommitteeapprovedbytheDepartmentofHealth.

Page3of3vs3Feb2017

4.5 ResearchundertakenatUALdrawsonawidevarietyofdisciplinarybackgrounds.Researchersareexpectedtocomplywiththestandardsofprofessionalpractice,thedisciplinaryunderstandings,theethicalframeworksandguidelineswhichapplytotheworkbeingcarriedout,forexampleasaconsequenceofthemethodsemployed,theexpectationsofthefundingbody,orasaresultoftheresearcher’saffiliationwithasubjectassociationorprofessionalbody.

4.6 Inresearchinvolvingactiveparticipants,inordertorealisetheguidingprinciples,severalspecificrequirementsareessential.Thepriorinformedconsentofapotentialparticipant,andtherequirementsforthisconsenttobelegallyvalidaresetoutintheUALGuidanceforResearchEthicsApproval.

4.7 Whereresearchgathersinformationfromindividualpersonsfromwhichtheycanbe

identified,thereisanobligationfortheresearchertorespecttheperson’sprivacy,rightstoconfidentialityandiftheinformationisrecordedinanymediumasdatatheresearchermustaddressdataprotectionandcomplywiththeDataProtectionAct.Issuesofconfidentialityandprivacyaredistinctfromeachotherandfromdataprotection.Researchersareresponsibleforconsideringeachoftheseintheirassessmentoftheethicaldimensionsoftheirresearch.

4.8 Researchersmustacquaintthemselveswithlegislationthatisrelevanttotheir

research.AmongthelawswithgeneralrequirementsaretheCareAct,theDataProtectionAct,theFreedomofInformationAct,theEqualityAct,theComputerMisuseAct,theChildrenAct,theMentalCapacityAct,theHumanTissueAct,Animals(ScientificProcedures)Act,theObscenePublicationsAct,theHealthandSafetyatWorkAct,theCounter-TerrorismandSecurityAct,andlegislationregardingworkingwithparticipantsunabletogiveinformedconsent,safeguardingchildren,thewelfareofanimals,usesofhumantissue,andregulationsabouthealthandsafety.

4.9 Contractualarrangementsaboutthepublication,dissemination,andexploitationof

researchincludinganynon-disclosureagreementsandintellectualpropertyrightsmustbeclearlysetoutpriortotheconductoftheresearch.

4.10 Theindependenceofresearchmustbeclear,andanyconflictsofinterestor

partialitymustbeexplicitlydeclared.