CLS Ethics Appendix 1 - Underlying Principles
Principles underlying the City Law School Research Ethics and Integrity Policy and Procedure
It should be noted that while research ethics reviewers are not normally charged with reviewing the design and methodology of research projects, they must sometimes consider elements of these in order to assess the risks and benefits of a project. If a study design does not adequately attain the stated aim of the investigation, then no benefit can be anticipated from conducting the study, and there is therefore no justification for inconveniencing people or potentially placing them at risk. In addition to the scientific rigour of a project, the City Law School Research and Enterprise Committee (CLS R&EC) is concerned with safeguarding the human rights of potential research participants as well as students and staff undertaking the research. In order to do so, it will need to be satisfied, directly or indirectly about the following.
Research Ethics Obligations
a)That potential participants are clearly informed in printed form about the aims and purpose of the research, the procedures which will be followed, the overall aims of analysis and the intended form of dissemination of research findings.
b)That due allowance is made for issues of comprehension such as linguistic diversity and also cognitive limitations.
c)That potential participants are capable of giving informed consent and that appropriate measures are taken if this cannot be obtained (e.g. seeking consent from those with Parental Responsibility for a child who does not have the capacity to consent).
d)That informed consent is obtained and signed consent forms are completed and retained by the researcher (subject to the requirements of the Data Protection Act).
e)That potential research participants are informed that they may decline to participate or withdraw from the study at any time without it affecting them in any way.
f)That research participants have appropriate channels for expressing concerns about the conduct of the research.
g)That research participants are not placed at unreasonable risk of harm.
h)That researchers are not placed at unreasonable risk of harm and that appropriate safety procedures are established if necessary, for example if researchers need to visit research participants’ homes.
i)That procedures exist for dealing with matters of concern which might be identified in the course of the research, for example child protection issues or illegal activity, and that potential participants are informed of those procedures.
j)Any research that involves vulnerable adults or children needs special care and researchers should think carefully through potential ethical pitfalls. University policy should be consulted. All researchers having contact with vulnerable adults or children will be required to prove that they have current and appropriate DBS clearance. For more information see:
k)All research MUST comply with the Data Protection Act 1998.
l)Those who take part in regulated and controlled activities involving vulnerable adults or children will need to obtain clearance from the DBS. For more information see:
m)Those who take part in research MUST comply with the professional code of conduct for their profession (e.g. for barristers or solicitors).
n)Those who take part in research must, where necessary, obtain consent from the appropriate government body/bodies, e.g. Her Majesty’s Court Service and the Ministry of Justice if conducting research in court, the National Offender Manager System if conducting research involving prisoners, etc.
o)That the research project does not breach or cause a breach/es of procedural rules, evidential rules, client confidentiality or legal professional privilege.
Research Integrity Obligations
This document therefore concentrates on entirely unacceptable types of research conduct. Individuals involved in research must not commit any of the acts of research misconduct specified here.
Unacceptable conduct includes each of the following:
Fabrication
a)This comprises the creation of false data or other aspects of research, including documentation and participant consent.
Falsification
b)This comprises the inappropriate manipulation and/or selection of data, imagery and/or consents.
Plagiarism
c)This comprises the misappropriation or use of others’ ideas, intellectual property or work (written or otherwise), without acknowledgement or permission.
Misrepresentation
d)Misrepresentation of data, for example suppression of relevant findings and/or data, or knowingly, recklessly or by gross negligence, presenting a flawed interpretation of data
e)Undisclosed duplication of publication, including undisclosed duplicate submission of manuscripts for publication
f)Misrepresentation of interests, including failure to declare material interests either of the researcher or of the funders of the research
g)Misrepresentation of qualifications and/or experience, including claiming or implying qualifications or experience which are not held
h)Misrepresentation of involvement, such as inappropriate claims to authorship and/or attribution of work where there has been no significant contribution, or the denial of authorship where an author has made a significant contribution
Breach of duty of care
i)Whether deliberately, recklessly or by gross negligence:
j)Disclosing improperly the identity of individuals or groups involved in research without their consent, or other breach of confidentiality;
k)Placing any of those involved in research in danger, whether as subjects, participants or associated individuals, without their prior consent, and without appropriate safeguards even with consent; this includes reputational danger where that can be anticipated
l)Not taking all reasonable care to ensure that the risks and dangers, the broad objectives and the sponsors of the research are known to participants or their legal representatives, to ensure appropriate informed consent is obtained properly, explicitly and transparently
m)Not observing legal and reasonable ethical requirements or obligations of care for animal subjects, human organs or tissue used in research, or for the protection of the environment
n)Improper conduct in peer review of research proposals or results (including manuscripts submitted for publication); this includes failure to disclose conflicts of interest; inadequate disclosure of clearly limited competence; misappropriation of the content of material; and breach of confidentiality or abuse of material provided in confidence for peer review purposes
Improper dealing with allegations of misconduct
o)Failing to address possible infringements including attempts to cover up misconduct or reprisals against whistle-blowers
p)Failing to deal appropriately with malicious
1