1. Introduction
Francis James is committed to promoting high standards of integrity, accountability, and responsibility in all research activities. This policy outlines the principles and procedures designed to ensure that research carried out under our name is ethically sound, legally compliant, and in line with Office for Students (OfS) requirements, as well as relevant national and international frameworks.
2. Purpose and Scope
Purpose
To provide clear guidance on identifying and addressing ethical considerations in research.
To establish the processes for applying for, reviewing, and granting ethical approval.
To ensure compliance with OfS expectations, UK legislation (e.g., Data Protection Act 2018 and UK GDPR), and professional body guidelines.
Scope
Applies to all staff, students, and visiting researchers conducting research under the auspices of Francis James.
Covers all disciplines and all forms of research, including empirical studies, theoretical work, secondary data analysis, and practice-based research.
3. Policy Statement
Francis James upholds the principles of:
Integrity and Honesty: Researchers are expected to be honest in proposing, performing, and reporting research.
Respect: Research participants, subjects, and the wider community must be treated with dignity and respect.
Informed Consent: Participants must be provided with sufficient information to make an informed decision about taking part in research.
Confidentiality: Personal data must be handled lawfully and ethically, respecting participants’ rights to privacy.
Accountability and Transparency: Researchers must be accountable for their work and transparent in their methods, findings, and potential conflicts of interest.
4. Research Ethics Committee
Composition
The Research Ethics Committee (REC) will be composed of staff members representing a range of disciplines, plus at least one external member (where possible) to provide an independent viewpoint.
Members should collectively possess appropriate experience and expertise in the ethical, methodological, and disciplinary aspects of research.
Roles and Responsibilities
Chair of REC: Oversees meetings, ensures fair review of proposals, and upholds the Committee’s procedures and standards.
Committee Members: Review ethical applications, provide feedback to researchers, and make collective decisions on approving, rejecting, or requesting modifications to proposed research.
Secretary/Administrator: Organises meetings, circulates documentation, records minutes, and communicates decisions to researchers.
Frequency of Meetings
The REC typically meets at least once per term or as necessary to review submissions in a timely manner.
Urgent or minimal-risk proposals may be reviewed by delegated sub-committees or via circulation (subject to REC approval rules).
5. Procedure for Ethical Approval
Pre-Submission Stage
Researchers (staff, students, visiting scholars) must complete relevant training in research ethics, data protection, and risk assessment.
A consultation with a supervisor or research mentor is recommended to identify any ethical issues early on.
Application Submission
Researchers submit a Research Ethics Application Form (available via Francis James intranet or the Research Office) with details of the research aims, methodology, participant recruitment, consent procedures, data handling, and anticipated risks.
Supporting documents (e.g., participant information sheets, consent forms, questionnaires, interview guides, data management plans) must be included.
Review Process
Initial Screening: The Secretary/Administrator checks the application for completeness.
Review and Discussion: The REC (or delegated sub-committee) evaluates the application’s compliance with ethical standards, considering any potential risks or harms, benefits to participants, and data protection requirements.
Decision: Possible outcomes include:
Approval: The research may proceed.
Conditional Approval: The researcher must address specific concerns or make agreed modifications.
Rejection: Significant ethical issues remain that cannot be resolved; the application may be resubmitted if revised.
Post-Approval Monitoring
Researchers must report any significant deviations from the approved protocol to the REC.
Amendments to the project (e.g., changes to methodology, recruitment strategy) also require approval.
The REC may request periodic progress updates or conduct audits to ensure continued compliance.
6. Data Protection and Confidentiality
Research data involving personal data must comply with the Data Protection Act 2018 and UK GDPR requirements, including secure storage, anonymisation where possible, and confidentiality measures.
Researchers should maintain documentation (e.g., data management plans) detailing how data is collected, stored, shared, and disposed of in accordance with Francis James’ Data Protection Policy.
7. Informed Consent
Clear Information: Participants must receive clear and accessible information about the research purpose, procedures, potential risks/benefits, and their right to withdraw at any time.
Voluntary Participation: No coercion or undue influence should be used to recruit participants.
Consent Documentation: Written or recorded verbal consent should normally be obtained, unless the REC agrees that other forms of consent are appropriate (e.g., implied consent for anonymous online surveys).
8. Vulnerable Participants
Researchers working with children, adults at risk, or any other vulnerable populations must:
Apply additional safeguarding measures and ethical considerations.
Obtain appropriate ethics approvals and DBS (Disclosure and Barring Service) checks where required.
Follow relevant legal and professional guidelines, ensuring that the welfare of participants is paramount.
9. Conflicts of Interest
Researchers must declare any financial, personal, or professional conflicts of interest that may affect the design, conduct, or reporting of the research.
The REC will determine whether additional safeguards or mitigations are necessary to maintain objectivity and trustworthiness.
10. Breach of Research Ethics
Non-compliance with this policy may result in disciplinary action under Francis James’ relevant procedures for staff or students.
Serious breaches may be reported to external bodies (e.g., funding organisations, professional regulatory authorities) if required.
11. Transparency and Publication Ethics
Researchers are encouraged to publish or disseminate their findings ethically and accurately.
Fabrication, falsification, or misrepresentation of data is considered research misconduct.
Acknowledgement of funding sources and compliance with any funder’s open access requirements are mandatory.
12. External Bodies and Collaborations
Where research is conducted in collaboration with external partners or other institutions, researchers must adhere to both Francis James’ and the partner organisation’s ethics and compliance policies.
Where relevant, additional ethical approvals from external committees or regulatory bodies may be required (e.g., NHS Research Ethics Committees).
13. Policy Review and Reporting
The Research Office is responsible for monitoring compliance with this policy and providing an annual report on research ethics matters to the Senior Management Team.
The policy is reviewed annually or as required to reflect updates in legislation, OfS regulations, or best practices.
14. Roles and Responsibilities
Researchers (Staff, Students, Visiting Scholars):
Comply with ethical, legal, and professional standards; apply for and obtain ethical approval prior to commencing research; report deviations or issues to the REC.
Supervisors / Principal Investigators:
Ensure that students or junior researchers are aware of and follow this policy; guide them in completing ethical applications correctly.
Research Ethics Committee (REC):
Oversee the review process, maintain standards, communicate decisions, and monitor compliance.
Senior Management Team:
Provide strategic oversight, ensure resources for training and compliance, and review annual ethics reports.
This Research Ethics Policy and Procedure ensures Francis James maintains high ethical standards, safeguarding the integrity and credibility of its research activities. Through clear guidelines, rigorous oversight, and regular training, Francis James supports a culture of ethical research that benefits participants, the academic community, and wider society.