This document provides an overview of research ethics and the procedures for obtaining ethical approval for research projects. It discusses why research ethics are important in ensuring respect for participants, safety, and shared standards. It outlines what types of projects require ethical approval, including those involving human or animal participants. Key ethical issues like informed consent, confidentiality, and risk are also addressed. The document details the structure of ethics committees and the full approval procedure, including submitting documents to the appropriate panel. Potential outcomes for a first application and additional requirements are presented. Recent developments in research ethics like training, auditing, and fast-track approval procedures are also summarized.

1. Research Ethics
A guide to principles and
procedures
Dr Saira Abbas

2. Why is Research Ethics Important?
 It is a reflection of respect for those who ‘take
part’ in research
 It ensures no unreasonable, unsafe or
thoughtless demands are made by
researchers
 It ensures sufficient knowledge is shared by
all concerned
 It imposes a common standard in all the
above respects

3. Why is Research Ethics Important
 It has become the norm as an expectation for
research activity
 …. a professional requirement for
practitioners in some disciplines e.g.
psychology
 … a requirement for access to participants in
others e.g. health
 … and a requirement to comply with external
REF’s to obtain funding e.g. ESRC

4. What Projects Need Ethical Approval?
 Human participants
 Use of the ‘products’ of human participants
 Animal participants
 Work that potentially impacts on human
participants
 Where ethical approval is deemed
unnecessary a disclaimer may be signed by
researcher (and supervisor)

5. Key Ethical Issues
 Informed Consent - special consideration for
minors
 Deception
 Need for debriefing
 Right to withdraw
 Confidentiality
 Safety and risk

6. What Else Does the Panel Need to
Know?
 Summary of background to and rationale for
proposal
 Nature of data to be collected
 Procedures and measuring tools/equipment
 Who are the participants?
 Where will data collection occur?
 How will data be stored and for how long?

7. Structure of Ethics Committees
 University Ethics Sub-Committee
 policy making, dissemination, monitoring/audit
 Faculty Ethics Panel
 routine approval, monitoring of sub-panels if
they exist
 Optional Programme/Subject Area Sub-
Panels
 routine approval

8. Full Procedure
 Complete Full University Approval form
 Attach consent form, information sheet and
additional material e.g. questionnaires
 Students must get form checked & signed by
supervisor
 Submit to appropriate Ethics Panel – where
Sub-Panels exist, staff and PG researchers
must still submit to Faculty Panel
 DATA COLLECTION MUST NOT START
UNTIL PANEL INFORMS

9. Outcomes of First Application
 Approved - must begin within the timescale
indicated
 Approved subject to amendments –
supervisor confirms with Chair of FEP
 Deferred – passed to UESC (v. rare!)
 Not Approved – major revisions and resubmit

10. Additional Issues
 Changes to original proposal must be notified
 Completion of project must be notified
 Adverse events must be notified
 Some applications will require evidence of
risk assessment
 Some applications will require evidence of
Police Clearance

11. Recent Developments
 University Ethics Website
 Assessment of training needs and
development of generic training material
 Wider dissemination of key information
 E.g. new staff, admin staff, partners
 Extension of principles to non-Faculty staff
 ADI to form Ethics Panel
 Extension to home and international partners

12. Recent Developments
 Extension of remit to enterprise and
knowledge transfer activities
 Auditing of Faculty activities
 Publication of new Code of Conduct for
Research
 Appointment of lay members
 Development of Fast-Track Approval
Procedures

13. Fast Track Approval Procedures
 Accepts principle that much routine research
conforms to accepted ethical principles
 Form requires checking off a series of
questions; if OK add 150 word summary
 Student form to be signed by supervisor +
one other
 All ft forms sent to Chair of FEP for
information
 Option in student forms for signing in 2 stages