ETHICS IN RESEARCH - POLICY STATEMENT

NORTHUMBRIA UNIVERSITY

1. Introduction

1.1. The purpose of this document is to clarify the obligations on staff and students who undertake
research activity, and to provide a framework for their consideration at Northumbria University.
Detailed guidance is available in the University’s Research Ethics and Governance Handbook.

1.2. The University's mission is to serve our learning communities by delivering internationally
recognised and professionally relevant learning, research and enterprise. Commensurate with
this mission is a commitment to ethical standards in academic life. Broadly defined, this means
a systematic regard for the rights and interests of others in the full range of professional
relationships and endeavours that characterise academic life.

1.3. All research is subject to ethical considerations concerning purpose, source of funding,
methods to be deployed and wider value and impact. It is important that risks in carrying out
a piece of research are clearly articulated and weighed against the potential value of it so that
all those involved proceed with informed consent. The mechanisms for approving research
activity are detailed below and in the Research Ethics and Governance Handbook and all staff
are required to be compliant with this policy to ensure that the wellbeing of all involved in
research is protected.

1.4. The policy is intended for all those engaged in research activity as they are embodied in
different disciplines. It is designed primarily for academic staff, including those on research
contracts, but is also relevant to research degree students, taught postgraduate and
undergraduate students engaged in projects.

1.5. The policy is built upon ethical and good practice guidelines issued by Research Councils,
professional bodies, subject associations and external ethics committees.

2. Ethical Principles and Dilemmas

2.1. It is not possible to define absolutely the boundaries of ethical principles, practice and
problems. What is advocated is a fundamental engagement with the ethical principles and
dilemmas detailed below as an essential part of the research process in whatever discipline.

2.2. Regardless of the nature of their work, staff and students who undertake research activity at
Northumbria are obliged to take into account the wider direct and indirect anticipated
consequences of their work.

2.3. The principles of beneficence and non-maleficence are fundamental to all research activity.
Beneficence is the requirement to promote the interests and well-being of others. It is the
ethical principle of ‘doing good’ in the widest sense. Non-maleficence is the principle of ‘not
doing harm’. Both principles must be applied to all entities directly or indirectly affected by the
research. In practice these principles frequently conflict, for example as in animal versus
human welfare.
 2.4. Ethical conduct in research demands respect for the rights of others who are directly or
indirectly affected by the work. In relation to human participants, both their physical and
personal autonomy should be respected. Their participation in the research should be on the
basis of fully informed consent, and their right to confidentiality, according to prevailing
standards, should be guaranteed. The respect for rights to confidentiality is essential
irrespective of any characteristic of the research environment or participants and at all stages
of the research process. Further guidance is available in the University’s Research Ethics and
Governance Handbook. Respect for equality and diversity in the management, design and
conduct of research activity is essential to maintaining good academic practice.

2.5. Justice is the ethical principle of fair treatment of others, which requires researchers to weigh
up and make judgements about competing claims and interests of those directly or indirectly
involved in the research, regardless of the vested interests of researchers. Researchers
should address competing interests at every stage of the research, including the decision of
whether it should be carried out in the first place. Researchers should consider the moral
justification for differential treatment of research subjects, including non-human entities. For
example, potential risks to the future should be weighed against technological progress in the
present.

2.6. Ethical principles will inevitably conflict, resulting in the requirement on the researchers to
balance qualitatively different values. In such cases, researchers are obliged to make
difficult judgements that cannot be derived from first principles, and should be prepared to draw
upon disinterested advice. Where such a conflict cannot be resolved at subject level or by
advice to an external ethics committee or professional bodies’ guidelines, the matter should be
referred to the Research Ethics Committee. In all instances, the University strives to promote
a high standard of professional conduct amongst staff and students.

2.7. Examples of ethical issues in research include:

2.7.1. Academic subjects vary widely in the range and significance of the ethical problems
that arise in their work. Many academic subjects do not involve the direct use of
human participants or animals. Some can confine their consideration of ethics in
research to broad-based questions concerning its purpose and value and its indirect
effects. Even here, the ethical/legal issues will be considerable.
2.7.2. Where human subjects are involved in research, approval may be required from
external bodies (such as NHS Research Ethics Committees). In other cases, routine
use of human subjects in research (be they peers on taught courses, people in the
community or in organisations) occurs without external vetting. This requires a
careful and self-reflective approach to the ethical problems that might arise. For
example, in surveys, interviews and experiments, researchers must consider the
potential of placing human subjects/organisations at risk from criminal or civil liability,
damage to their social standing and to their emotional well-being.
2.7.3. It is essential that the conduct of research takes into consideration issues such as the
health and safety of staff and research participants (undertaking risk assessments as
appropriate); that research data is stored in a way that is compliant with the Data
Protection Act (1989) and, from 25 May 2018, the General Data Protection Principles;
that there are systems for the identification and management of academic
misconduct; that the Human Tissue Act (2004) is fulfilled; and that intellectual
property is appropriately protected.

3. University Framework for Considering Ethics in Research

3.1. Each member of staff, (and when appropriate students involved in research) is responsible for
abiding by the University’s Policy on Ethics in Research. Advice should be sought, in the first
instance, from the Faculty Pro Vice Chancellor, Research and Innovation.

3.2. Northumbria's framework for the consideration of ethical issues in research comprises:

• formal consideration of ethical issues in research at the discipline level;

• monitoring at the level of the Faculty Research Ethics Committee; and
• institutional oversight.

It is the responsibility of every Faculty Pro Vice Chancellor, Research and Innovation to ensure
that appropriate consideration is given to ethical issues arising in and from research activity for
staff and students in all disciplines within the Faculty. The Faculty Pro Vice Chancellor,
Research and Innovation will exercise this responsibility through the Faculty Research Ethics
Committee with the following brief:

3.2.1. to ensure good practice and a climate of ongoing reflection with regard to ethical
issues in research and consultancy;
3.2.2. to support academic staff and students in the consideration of ethical issues;
3.2.3. to ensure good practice by the scrutiny of all research and consultancy activity at
critical points (which will be defined locally in accordance with the nature of the
research activity and the discipline and as outlined by professional bodies).

3.3. Each Faculty Research Ethics Committee will:

3.3.1. be chaired by the Faculty Director of Research Ethics
3.3.2. include academic staff with a significant track record in research and teaching;
3.3.3. meet as frequently as required, but at least twice per year, and maintain appropriate
records of the business conducted;
3.3.4. will be aware of the legislation and the requirements it places on the University;
3.3.5. undertake an annual audit to ensure that appropriate ethical standards are
maintained.

3.4. The Faculty Pro Vice Chancellor, Research and Innovation (working with the Faculty Director
of Research Ethics) is responsible for assuring the University’s Research Ethics Committee
that the Faculty Research Ethics Committee is operating effectively. The Faculty Pro Vice
Chancellor, Research and Innovation will submit an annual report to the Research Ethics
Committee at the end of each academic year in a prescribed format to provide:
3.4.1. a brief statement of the local arrangements for consideration of ethical issues in
research;
3.4.2. a list of those activities where ethical consideration has been required; and
3.4.3. an indication of the problems which have been referred directly to another internal or
external committee for their resolution
3.4.4. maintain records of all research projects (including dissertations) which involve
ethical issues.

3.5. The Faculty Research Ethics Director can refer to the University’s Research Ethics Committee
any matters which cannot be satisfactorily resolved at Faculty level.

3.6. The Research Ethics Committee will submit the reports to the Research and Knowledge
Exchange Committee at the beginning of each academic year. The terms of reference for the
Research Ethics Committee and the Research and Knowledge Exchange Committee are
appended to the end of this document.
3.7. Membership of the Research Ethics Committee will comprise Faculty Directors of Research
Ethics and other senior academic staff with a proven track record in research appointed by
Faculty Research Ethics Committees. The Committee will also have powers of co-option, to
allow appropriate consultation with relevant experts.

3.8. The Research Ethics Committee will have four statutory meetings each year, but will also be
convened as other business requires.
 Research Ethics Committee
Terms of Reference and Membership

Research Ethics Committee is a Committee of the Research and Knowledge Exchange Committee,
responsible for overseeing the research ethics regulatory and governance framework of the University. The
specific responsibilities of the Committee are as follows:
1. Performance Monitoring and Review
1.1To monitor and review the University’s Research Ethics Policy and Research Ethics and Governance
Framework in the light of the University’s developing ethical experience and the external research
ethics environment and to propose changes as required.

1.2To ensure a framework is in place for the development of staff and systems that support the ethical
review and governance of research.

1.3To consider annual reports and annual audits from Faculties on the management of ethical issues in
research and the operation of Faculty level procedures.
2. Policy and Regulation
2.1To approve, and periodically review, the University’s Research Ethics and Governance Framework.

2.2To provide written Guidelines on ethical issues in research for use by staff and students of the
University.

2.3 To advise on any issues of an ethical nature directly referred to it by the Faculty Pro Vice-Chancellors,
Faculty Research Ethics Committee and Service Departments.

2.4 To submit an annual report on the Committee’s activities and the operation of procedures for ethical
review of research to the Research and Knowledge Exchange Committee.

2.5 To review the arrangements in place to ensure compliance with the Concordat on Research Integrity.
3. Reporting Relationships/Interactions with other bodies
The Committee has the following sub-committees:
- Faculty Research Ethics Committees

The Committee will actively consider:

i. reports from each of the faculties relevant to the remit of the Committee.
ii. minutes of the meetings of the faculty equivalent committee, which should be scheduled to ensure a
written report is provided to each meeting of this committee.
iii. minutes and reports from the meetings of the other committees of the Committee.
v. relevant notes and actions linked to task and finish and steering groups established by the Committee.

The Committee will provide reports to, advise, and receive advice and input from Academic Board,
University Executive and their respective committees and groups.

The Chair of the Committee, and the professional support attendees who support the activity area of the
Committee, should ensure that members of the Committee have clear obligations and responsibilities on
behalf of the Committee to:
• consult with the relevant colleagues in their faculties of services as appropriate on proposals and
recommendations arising from the work of the Committee
• report concerns and areas for action both to and from the Committee
deliver actions arising from the Committee in their own area of responsibility and to report back to
the Committee on progress.
Constitution
The parent body of the Committee is the Research and Knowledge Exchange Committee.
The Committee should normally meet a minimum of two times per year in order to transact its business,
and should only meet where it is necessary to do so to consider, recommend and/or decide upon significant
business. The transaction of urgent decisions by means of a written resolution of the Committee members
is favoured where timescales and urgent require this. Chair’s Action is acceptable for routine or specifically
urgent items, or where a clear regulation or requirement exists in other University regulations to do so.

The quorum for the meeting is more than 50% of the members of the Committee. Attendees do not count
as Committee members.

Membership
Faculty Associate Pro Vice-Chancellor (Research and Innovation – Health and Life Sciences)3 (Chair)
All Faculty Research Ethics Directors (one of whom is nominated as Deputy Chair)
Students’ Union Vice-President (Education)
Deputy Director (Research) (Research and Innovation Services)

Secretary: Research Development Manager (Research and Innovation Services)

Regular Attendees
None listed at this stage owing to coverage by the membership and secretaryship of the Committee.

Ad Hoc Attendees
The Chair may invite attendees to present items, offer advice and support and confirm activities and actions
at the Committee. Inviting attendees to attend entire meetings of the Committee as standard should be
avoided, to ensure effective use of colleagues’ times. The number of attendees at a meeting (i.e., individuals
who are not members) should not exceed the total membership numbers of the meeting.
 Research and Knowledge Exchange Committee
Terms of Reference and Membership
Research and Knowledge Exchange Committee is a Committee of Academic Board. The purpose of the
Committee is to oversee the governance and contribute to the driving and monitoring strategic performance
for the University’s research, innovation and knowledge exchange and enterprise activities. The specific duties
are as follows:
1. Strategy
1.1 To oversee the implementation of the University’s Research and Innovation and Knowledge Exchange
Strategic Plans and associated Business Outcomes, according to the agreed investment in resources
and timescales.

1.2 To ensure that activities to implement the Research and Innovation and Knowledge Exchange
Strategic Plans are aligned to achieve maximum and mutual benefit.

1.3 To ensure a framework is in place for staff to foster a research, innovation and enterprise culture which
supports delivery of the objectives in the Research and Innovation and Knowledge Exchange Strategic
Plans.

1.4 To oversee the governance framework for the management of research, innovation and knowledge
exchange partnerships and initiatives, and liaise with the Education and International Committees,
noting the role of Academic Portfolio Group for oversight of portfolios including accredited
programmes, and their onward approval by University Appointments Panel.

1.5 To oversee and monitor the external context for research and innovation and knowledge exchange
activity.
2. Performance Monitoring and Review
2.1 To monitor University-wide and Faculty-level performance to support delivery of KPIs 6 (the proportion
of academic staff submitted to a future research assessment exercise), KPI 7 (research grant and
contract income) and KPI 8 (enterprise income).

2.2 To advise, and seek advice from Faculty Associate Pro Vice-Chancellors for Research and Innovation
and Strategic Planning and Engagement on the implementation of Faculty plans to deliver the strategic
plan objectives.

2.3 To have a high level overview of the physical, human and financial resources deployed to deliver the
Research and Innovation and Knowledge Exchange Plans and advise (as appropriate) the Pro Vice-
Chancellor (Research and Innovation), the Pro Vice-Chancellor (Business and Enterprise) and the
Pro Vice-Chancellor (Employability and Partnerships), and the University Executive on resource
implications, in line with budgetary and planning processes.
3. Policy and Regulation
3.1 To ensure policy and regulatory frameworks are in place to ensure compliance with national policy and
the University’s statutory and/or regulatory and ethical duties relating to research, innovation and
enterprise, providing assurance to Academic Board, University Executive and, ultimately the Board of
Governors. This includes policy impact assessment of sector bodies, including UK Research and
Innovation (UKRI), Research England, Innovate UK, and the Quality Assurance Agency (QAA).
4. Reporting Relationships and interactions with other bodies, groups and individuals
4.1 The Committee has the following sub-committees and groups:
- Faculty Research and Knowledge Exchange Committees
- Graduate School Committee
- Research Ethics Committee
 - Research Data Management Working Group,Open Access Working Group, Concordat for the
Career Development of Researchers Working Group, Innovation Projects Group, Employability
Forum.1

The Committee will be in dialogue with other Committees of Academic Board, including Education
Committee and International Committee, linked to their respective remits for programmes and partnerships
which support delivery of the Research and Innovation and Knowledge Exchange Plans. The Committee will
also advise and interact with, through the chair and other members of the Committee, relevant groups of
University Executive, including its Future Business Group (FBG).

The Committee will actively consider:

i. performance reports from each of the faculties - led by the relevant Faculty Associate Pro-Vice-
Chancellors - on progress in delivery of faculty plans supporting the strategic plans overseen by the
parent committee. These should address performance against agreed targets and include narrative
around areas of excellence and strength and areas of underperformance which should be drawn to
the attention of the Committee for support and advice;
ii. minutes from formal sub-committees of this Committee;
iii. minutes of the meetings of the faculty equivalent committee, which should be scheduled to ensure a
written report is provided to each meeting of this Committee;
iv. relevant notes and actions linked to task and finish and steering groups established by the
Committee.

The Committee will provide reports to Academic Board, and advise and receive advice and input from it and
its committees and University Executive and its groups.

The Committee will delegate specific responsibilities to its sub-committees including in relation to research
ethics, postgraduate research degree student experience and assessment. The Chair of the Committee, and
the professional support attendees who support the activity area of the Committee, should ensure that
members of the Committee have clear obligations and responsibilities on behalf of the Committee to:
i. consult with the relevant colleagues in their faculties of services as appropriate on proposals and
recommendations arising from the work of the Committee
ii. report concerns and areas for action both to and from the Committee
iii. deliver actions arising from the Committee in their own area of responsibility and to report back to the
Committee on progress.
Constitution
The Parent Body of the Committee is the Academic Board. The Committee should normally meet a minimum
of three times per year in order to transact its business, and should only meet where it is necessary to do so
to consider, recommend and/or decide upon significant business. The transaction of urgent decisions by
means of a written resolution of the Committee members is favoured where timescales and urgent require
this. Chair’s Action is acceptable for routine or specifically urgent items, or where a clear regulation or
requirement exists in other University regulations to do so. The quorum for the meeting is more than 50% of
the members of the Committee. Attendees do not count as Committee members.
 Membership
Pro Vice-Chancellor (Research and Innovation) (Chair)
Pro-Vice-Chancellor (Business and Enterprise) (Deputy Chair)
Pro-Vice-Chancellor (Employability and Partnerships)
All Associate Pro-Vice Chancellors (Research and Innovation)
All Associate Pro Vice Chancellors (Strategic Planning and Engagement)
Associate Pro Vice-Chancellor (Strategic Workforce Planning)2 – Health and Life Sciences
Director of Research and Innovation Services
Director of Business and Enterprise (Business and Enterprise Services)
1 x Early Career Researcher (to be defined and determined by the Chair)
1 x Contract Researcher (to be defined and determined by the Chair)
Vice-President (Education) Students’ Union

Secretary: Deputy Director (Research and Innovation Services).

Regular Attendees
Andrew Poole, Head of Grants and Contracts (Research and Innovation Services)
Tim Baxter, Graduate School Manager (Academic Registry)

Ad Hoc Attendees
The Chair may invite attendees to present items, offer advice and support and confirm activities and actions
at the Committee. Inviting attendees to attend entire meetings of the Committee as standard should be
avoided to ensure effective use of colleagues’ times. The number of attendees at a meeting (i.e., individuals
who are not members) should not exceed the total membership numbers of the meeting.

1
These groups and bodies are not part of the core committee framework and terms of reference and membership do not feature in this Handbook.
2
This role relates only to membership of the Faculty of Health and Life Sciences Research and Knowledge Exchange Committee