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Research Ethics Policy

Policy 

This policy sets out the fundamental principles governing research ethics at the University, the scope and applicability of the policy, as well as research governance and responsibilities with procedures.

One of UD’s missions is to uphold the ideals of discovery, to encourage and support basic, applied and pedagogical research into new ways of acquiring, investigating and developing knowledge for the good of society, and to ensure that all research is conducted in accordance with fundamental ethical principles.

The word ‘Ethics’ derives from the Greek, ‘ethos’, meaning custom, mores or character. It refers to systems of moral principles or values, principles of right or good behavior in relating to others, and the rules and standards of conduct binding together members of a profession. Research ethics refers to the principles of appropriate conduct that govern research.

  1. Purpose

The purpose of the Research Ethics Policy is:

  1. To protect the rights, safety and wellbeing of human participants;

  2. To codify UD position on research ethics for research involving human participants and personal data;

  3. To demonstrate a commitment to high quality, transparent and accountable research ethics throughout the University, from senior management policy-making to the practicalities of individual staff and student research projects;

  4. To warrant and inform the operation of UD ethics review procedures within departments and funding units;

  5. To provide guidance on research ethics for all staff and students; 

  6. Encourage an organizational research culture based upon defensible standards of research practice.

  7. To reduce risks to the University, departments and funding units, and individual researchers;

  8. To strengthen the eligibility and quality of UD research funding applications; and, 

  9. To enhance UD reputation with the general public and wider society, within the academic professions, and with funding bodies and external auditors.

The following points constitute the policy guidelines:

  1. Researchers at UD (including students) have an obligation to ensure that their research is conducted ethically and with the minimum possible risk to all those involved or affected by it. 

  2. UD researchers must respect the participants' welfare and rights for any research involving human participants, and personal data. A breach of these principles may, in some instances, result in a civil or criminal offense.  

  3.  UD researchers must uphold ethical standards in the conduct of research, accepting and respecting the principles of integrity, honesty and openness. Conducting research with integrity means embracing intellectual honesty and accepting personal responsibility for one’s own actions.

  4. Prior to, during, and following the completion of research activities, researchers are expected to consider the ethical implications of their research and, depending on its nature, the cultural, economic, psychological, physiological, political, religious, spiritual and social consequences of it for the human participants involved.

  5. Researchers should always consider their research from the perspective(s) of the participants and any other people who may possibly be affected by it. 

  6.  UD researchers have a responsibility to protect all participants, as much as possible, from avoidable physical or psychological harm arising from their research. 

  7. Researchers also have a responsibility to consider their own safety and that of any co-researchers or collaborators. As a general rule, people participating in research should not be exposed to risks that are greater than, or additional to, those they encounter in their normal lifestyles. If it is expected that harm, unusual discomfort or other negative consequences might occur in prospective participants’ future lives as a result of participation in a research project, the researcher should highlight this during the ethics approval process, and discuss the matter fully with participants during negotiations to ensure participants’ informed consent.

  8. The research participants have the right to:

  9. Consent, that is to participate, withdraw from, or refuse to take part in research projects;

  10. Confidentiality, where personal information or identifiable data should not be disclosed without their consent;

  11. Security, where data provided and samples collected should be kept secure and anonymized where appropriate; and

  12. Safety: participants should not be exposed to unnecessary or disproportionate levels of risk.

  The researchers have an obligation to ensure that their research is conducted with:

 

    • Honesty;

    • Integrity;

    • Minimal possible risks to participants and to themselves;

    • Cultural sensitivity; 

    • Absence of deception. 

     

2. Procedures 
Faculty and staff members must submit to the College Research Committee (CRC) a request to review/approve a research that may involve any ethical issues that may arise for their or students’ research. 

  1. The CRC shall submit the request to UD Academic Research Committee (ARC) for review and approval

  2. The UD Academic Research Committee shall provide a common form for applications for ethical approval in all academic units, to ensure that all of the information necessary to allow the committee to reach a balanced judgment about a project is presented in a clear and consistent form. The CRC may add requests for further specific information that is relevant in their fields. The form will be reviewed regularly by the UD Academic Research Committee.

  3. Applications for ethical approval must include a signed confirmation of knowledge of, and agreement to comply with, UD research ethics policy and to carry out the research in the way specified in the application. In the case of student applications (both undergraduate and postgraduate), the signatures of student and supervisor will be required.

  4.  A statement that due ethical process has been carried out will be incorporated in funding application forms for internal and external grants.

  5. Any complaint made about the ethical standards of a research project conducted by a member of the UD will be investigated first by the Chair of the UD Research Committee. If the complaint is not resolved satisfactorily at this stage, it will be forwarded to the VPAA/President for further action.

 

3. Scope and Applicability of the Research Ethics Policy

The UD Ethics Policy applies to:

  1. All University staff and registered students who conduct, or contribute to research;

  2. Activities involving human participants and personal data, whether these take place within or outside University premises and facilities; 

  3. All individuals who, although they are not members of the University, conduct, or contribute to, research activities involving human participants and personal data, that take place within University premises and facilities, or in collaboration with a UD staff member; and

  4. Research undertaken by non-academic departments of UD.

Research funding bodies may have their own research ethics policies, guidelines and/or requirements, in which case observance of these policies and requirements will, as a condition for receiving research funding; should not necessarily take precedence over UD Research Ethics Policy.  

Observing the external policies and requirements offer supplementary guidance, and are considered to offer an extra layer of research ethics governance, not an alternative to the UD Research Ethics Policy. This applies to research conducted by UD researchers or for research conducted on University premises.    

While it is unlikely that professional ethical codes will conflict with UD Research Ethics Policy, in the event of a perceived conflict of this kind, the member of staff concerned should contact the UD Research Committee for guidance.

It follows that no UD member of staff or student should be compelled to participate in a research activity that conflicts with their ethical and moral principles, or compel others to participate in a research activity that conflicts with their ethical and moral principles.



4. Governance and Responsibilities

  1. The responsibility for maintaining ethical conduct lies, in the first instance, with the researchers themselves. The lead researcher (e.g. the principal investigator or supervisor) has the first responsibility for considering, respecting and safeguarding the welfare, dignity and rights of human participants involved in the research. If researchers do not take responsibility for the ethical conduct of their own research, defensible research ethics will be an unrealizable goal.

  2. The Unit Heads and funding units are responsible for the conduct of the research that is undertaken in their departments. They are therefore responsible for ensuring that departmental researchers have access to appropriate ethics review procedures for research activities that involve human participants and personal data, in line with UD Research Ethics Policy. To this end, the formal ethical review of research proposals involving human participants and personal data is best carried out within the departments/Colleges, specifically the College Research Committee.

  3. Enforcing ethical compliance of research- related activities at UD is the responsibility of the UD Academic Research Committee, as discussed in Policy 1.3 (Standing Committees). 

  4. The University Academic Research Committee is responsible for the ethical conduct of research involving human participants, and personal data in which staff and students of the UD are engaged. It carries out this responsibility through the following activities and procedures:

  • Periodically reviewing the Research Ethics Policy, determining minimum standards for ethical review procedures and reporting its findings to the UD Management

  • Offering guidance within the University on the interpretation of the Research Ethics Policy;

  • Resolving disputed or uncertain ethics approval decisions;

  • Periodically monitoring the effectiveness of research ethics review procedures within departments and funding units;

  • Actively promoting awareness and knowledge of the Research Ethics Policy, and research ethics more generally, within the University;

  • Providing advice on any ethical matters relating to research that are referred to it from within the University;

  • Reporting to UD Management on a regular basis on its activities and decisions.

  • Ensuring the effectiveness and consistency of ethical review procedures through regular audits;

  • Considering any research proposals that do not receive unanimous approval within colleges’ ethical review processes;

  • Maintaining a broad overview of ethical issues and the requirements of legislation, funding bodies and other relevant parties, and disseminating this information at UD;

  • Reviewing lists of project titles that have been approved under UD ethical review procedures, when appropriate;

  • Receiving reports on the operation of ethical approval procedures that have been carried out in UD units; and

  • Monitoring and advising on the training in research ethics provided to UD staff and students.

  • The committee may seek expert advice from other sections of the UD or from appropriate outside bodies, if needed.

  • The University Research Committee is also responsible for ensuring that all research active staff and students are familiar with the content of the Research Ethics Policy, which must be published in faculty, staff and students’ handbooks.

 

5. Failure to comply with the Policy

Failure to comply with Research Ethics Policy may constitute a research misconduct under the University Research Misconduct Policy (R 10.6), and the faculty/staff shall be subjected to an investigation by the Research Misconduct Investigation Committee (RMIC) and eventual University Sanction, if the research misconduct has been confirmed by the RMIC.