Ethics Policy - University of Portsmouth

Ethics Policy November 2015

Document title

Ethics Policy November 2015 Document author and department

Responsible person and department

Denise Teasdale, Research Manager, Research and Innovation Services Approving body

Date of approval

12 November 2013, Min 11 (Minor factual updates made by document author, 17 November 2015

Academic Council Review date

November 2017

David Carpenter, University Ethics Adviser

Edition no.

ID Code

Date of effect

5

28

18 November 2015

EITHER

OR

For public access online (internet)?

For staff access only (intranet)?

Tick as appropriate

Tick as appropriate

Yes

3

Yes

For public access on request copy to be mailed

Password protected

Tick as appropriate

Tick as appropriate

Yes

3

No

Yes

No

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External queries relating to the document to be referred in the first instance to the Corporate Governance team: email [email protected]

If you need this document in an alternative format, please email [email protected]

The latest version of this document is always to be found at: www.port.ac.uk/accesstoinformation/policies/humanresources/ filetodownload,88682,en.pdf

Contents Page no. Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The University Ethics Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Values. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Management and communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Ethics in learning and teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Research ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Research integrity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Ethical Investment Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

UNIVERSITY OF PORTSMOUTH

ETHICS POLICY NOVEMBER 2015

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Ethics Policy Summary What is this document about? This document provides a general framework for professional practice and decision-making on ethical issues as they arise in the work of the University. The Policy is an integral part of the governance framework of the University of Portsmouth. Who is this for? This document will be of interest to all staff, research students and all others conducting research and activities under the auspices of the University. It will also be of interest to external organisations who provide funding to support research or who engage in business and partnership with the University. It may also be of interest to the wider public. How does the University check this is followed? The University Ethics Committee (UEC), chaired by the Pro Vice-Chancellor with responsibility for Research and Innovation, will monitor, review and develop this Policy. The Chair is also the Research Integrity lead for the University. Faculty Ethics Committees report ethical issues and concerns to UEC which reports directly to Academic Council. The Ethical Framework of the University is subject to internal audit. The Procedure for the Investigation of Allegations of Misconduct in Research (www.port.ac.uk/accesstoinformation/policies/ researchandknowledgetransferservices/ filetodownload,180225,en.pdf) and Whistleblowing Policy (www.port.ac.uk/ accesstoinformation/policies/officeofthedirectorofcorporategovernance/ filetodownload,114058,en.pdf) exist to report breaches of this Policy. Who can you contact if you have any queries about this Policy? If you have any questions about this Policy, please contact the University Ethics Adviser or Research Manager (REF and Governance) in the University’s Research and Innovation Services at [email protected].

Context 1.

The purpose of this Policy is to provide a general framework for professional practice and decision-making on ethical issues as they arise in the work of the University. Primary responsibility for ensuring that appropriate consideration is given to ethical issues lies with the University Ethics Committee, which reports to Academic Council and is chaired by the Pro Vice-Chancellor, Research and Innovation. There is representation on the Committee from the Board of Governors in recognition of the ethical responsibilities of the Board. Membership and terms of reference are available on the University intranet.

2.

Ethical considerations apply to every activity in the University, and, in particular, to research, to the maintenance of professional standards, to communication within the University and to external relationships and transactions. Most ethical judgements result from a process of debate in which various principles and considerations contribute to the final outcome. Some of these stem from the values of the University. Others originate outside the University: for example some subject communities draw their self- identity in part from the professional ethical codes of their discipline, as promulgated by their professional associations or accrediting bodies. Other aspects are constrained by legislation such as that on disclosure of information, equality and diversity and health and safety.

3.

We are committed to rational enquiry and debate through which we determine the standards that we apply in judging actions to be acceptable. Ethical consideration attempts to identify good, desirable or acceptable conduct and to provide reasons for these conclusions. Ethical debate will therefore involve discussion of what is right and wrong in particular contexts, and how we make positive or negative evaluations of our own actions and those of others.

4.

This Policy applies equally to work carried out through any University subsidiary company.

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The University Ethics Committee 5.

The University Ethics Committee takes a broad overview of the ethical issues relating to the main activities of the University, recognising that some are considered at other committees and that some of its responsibilities might be delegated to Faculty Ethics Committees. It is intended primarily as a forum for the sharing of information on ethical issues, and for offering advice and guidance. The Committee will consider ethical issues referred to it from any part of the University. This will normally happen when such matters cannot easily be resolved at the local or specialist level, where current guidelines are insufficient or where colleagues wish to question or challenge the prevailing ethical conventions and the procedures following from them.

6.

The University Ethics Committee has delegated aspects of its work to Faculty Ethics Committees (see paragraph 7) which report to it. Every academic department is represented in the relevant Faculty Ethics Committee; some larger faculties have further departmental Ethics Committees. These committees are sub-committees of the relevant Faculty Committee to which they report and they may ethically review studies at undergraduate and taught postgraduate levels. Faculty Committees must meet at regular intervals and have a mechanism for review of urgent or short-notice cases. They consider the principles outlined in this document and take an overview of the ethical conduct of research in their area, including, for example, ensuring the independence of procedures for the protection of participants. The University Ethics Committee and University Ethics Adviser ensure that Faculty Committees operate equitably and follow similar procedures.

7.

Each Faculty Ethics Committee is represented on the University Ethics Committee, which receives reports through the representative when policies are agreed within a Faculty or Department which relate significantly to the University’s statement of values.

There are Local Ethics Committees in all five Faculties: • Portsmouth Business School • Creative and Cultural Industries • Humanities and Social Sciences • Technology • Science

Any research activity carried out by staff in central departments should be referred in the first instance to the Humanities and Social Sciences Committee.

Values 8.

The University’s Strategy 2015/16–2020/21 includes a commitment to ‘act with integrity for the greater good’ and to ‘insist on upholding the highest academic and professional standards’. These commitments are also reflected in our Research Strategy.

9.

Some of the implications of these values are the subject of other policies. These include those in the area of Equality and Diversity, such as The Equality and Diversity Policy Statement which details the University’s commitment to the strategic plan values of being ‘serious about inclusivity’ and being ‘committed to improving social mobility’.

10. Our commitment to acting with integrity for the greater good and upholding the highest academic and professional standards requires that all members of the University treat one another appropriately and fairly, and that communications of all kinds are not offensive. Issues relating to harassment and bullying are covered in the Anti-Bullying and Harassment Policy, and policies on communication are embodied in Staff Email Policy and the Student Email Policy. 11. Innovation, creativity and freedom of academic enquiry and expression are constrained both by law and the need to ensure openness and respect in relations within our community. Within these constraints, the University will support staff and students seeking to publicise the results of research and scholarship which has been carried out as a part of their roles within the University. Staff and students will not associate the University, or other members of it, in matters which reflect their own opinions on topics that are not the outcome of work carried out as part of their roles in the University (see the Freedom of Speech Code). 12. The Board of Governors is responsible for ensuring that the University retains the highest levels of academic and professional integrity and that we deliver our obligations in relation to corporate social responsibility. 13. From time to time the University debates general issues on the desirability of working with, receiving funding from or otherwise engaging with external organisations. University policy on these issues should be determined by the University Ethics Committee (or through its responsibilities delegated to Faculty Ethics Committees). Individual members of the University community may have personal convictions which limit the range of activities which are acceptable to them. The University will make every effort to respect these individual views where these do not involve breaches of our statement of ‘the way we work’ within our Strategic Plan. The University will seek to resolve difficulties through the management structure. 14. It should be noted that the University has a long-standing position that it will not receive funding or other support from organisations involved in the tobacco industry. The University may consider other areas from which we would not take funding or seek support on a case-by-case basis.



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Management and communication 15. The implementation of this Policy requires that: • Managers in all areas of the University are responsible for considering the ethical dimensions of the activities in their area, and are accountable for the ethical consequences of their choices and actions. • Heads of Department and Deans are responsible for ensuring that necessary committees are in place, that they report to the Faculty Board or the University Ethics Committee and that staff and students are informed of ethical issues in their subject areas. • All members of the University community (governors, staff and students) have the right to raise ethical considerations, seeking advice if necessary from the University Ethics Adviser, Chair of the relevant Faculty or University Ethics Committee or the Director of Corporate Governance. • All researchers and research groups must include consideration of ethical matters in their work (see Research Ethics below). • Ethical issues, for instance relating to probity, security confidentiality and adherence to external professional codes should be discussed as a part of staff development and regularly included in general communications by managers. 16. The University will employ an Ethics Adviser whose job is to manage and scrutinise the University’s ethics processes in order to: • Establish best practice in ethical standards across the University. • Meet the requirements of the Universities UK (UUK) Concordat, Research Councils UK (RCUK) and other external funding bodies. • Develop and implement new policies, procedures and practices relating to research ethics. • Provide strategic guidance, general advice and support concerning ethics to those undertaking research activities and all other activities which are considered by the University Ethics Committee (e.g. ethical business partnerships and practices).

Ethics in learning and teaching 17. Ethics should be a part of the curriculum and explicitly included in teaching and in course materials wherever ethical questions and decisions are relevant to a subject’s activity. Heads of Department should report on this issue in their annual reviews. Every student in a programme should have opportunities for reflection and debate on relevant ethical issues. 18. Ethical choices and issues may arise in relation to the learning, teaching and assessment methods adopted, including students’ experiences on placements and in work-based learning contexts. Members of staff need to be alert to any potential for pedagogic practice to treat students, or ask students to treat others, in ways which are unethical. 19. Ethical issues that may be relevant in teaching programmes include: • The ethical design, conduct and dissemination of research. • The impact of subject matter on individuals or identifiable groups including but not necessarily limited to those groups directly specified in legislation on equality and diversity. • The understanding and analysis of the context and mechanisms of choice between alternative policies or practices. • The impact of subject matter on the environment. • The impact of the subject matter on creativity, freedom and autonomy. • The understanding of historical and cross-cultural differences in ethical consideration and standards. 20. Teaching programmes should not attempt to impose a particular set of ethical imperatives, but encourage open debate on how ethical issues might be resolved. 21. All undergraduate and postgraduate students involved in research projects are required to consider the ethical dimensions of their work and to follow the sections of this Policy relating to research ethics and research integrity. General advice can be obtained from the University Ethics Adviser, Chairs of the Ethics Committees in each Faculty or from Research and Innovation Services.

Research ethics 22. All research activities undertaken by staff and students of the University and by others in collaboration with us, requires ethical review. The significant guiding values in research ethics are respect for all participants and the integrity of the researcher.

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23. Any research involving NHS patients and/or their relatives or carers requires the submission of the project to the appropriate NHS Research Ethics Committee (REC). There are other circumstances where ethical review by a NHS REC is legally required; these include research involving the use of human tissue and research involving mentally incapacitated adults. Further details can be found in Governance Arrangements for Research Ethics Committees (DH 2012). Faculty Ethics Committees should be notified of references to external committees, but need not formally review these studies; as a matter of good practice, Faculty Ethics Committees should offer advice and support to researchers seeking external reviews. Details of NHS RECs and application procedures may be obtained from www.nres.nhs.uk/. Policy requires some studies (not necessarily NHS) to be ethically reviewed by other external bodies including the Ministry of Defence REC (for research relating to military personnel) and the National Social Care Ethics Committee. 24. For the avoidance of doubt, all research and related knowledge transfer activity not subject, as a matter of law or policy, to external ethical review must be subject to internal review. It should, however, be noted that review must be proportionate to the risks and burdens associated with the research. Normally, formal review by a Faculty Committee is only necessary for staff research and research undertaken by students above taught postgraduate level. Ethical review of undergraduate and taught postgraduate research is normally undertaken by the student’s supervisor or a departmental Ethics Committee, following procedures and guidance promulgated by the relevant Faculty Committee. Where research is conducted by a team, the leader of the team or principal investigator is responsible for ensuring that the project is subject to independent ethical review. 25. The University embraces the following general principles of responsibility governing research which involves human participants: • To respect the rights and interests of participants in the research, and to take account of the consequences for them. • To respect individuals as autonomous agents with rights regarding decision and choice, and to conduct research on the basis of informed consent. • To reflect on the broader social and cultural implications of the research. • To ensure that appropriate additional protection, information and support is provided for individuals with any diminished autonomy (including minors) arranging consent by representatives as necessary. • To act in accordance with the Mental Capacity Act 2005 when recruiting participants who lack capacity. • To assess the risks of harm and potential benefits to participants and researchers. • To respect confidentiality and to ensure the security of personal and sensitive information, adhering to the requirements of the Data Protection Act 1998. • To embrace the obligation to maximise possible benefits and to avoid or to minimise possible harm resulting from the research. 26. The University Ethics Committee is responsible for ensuring that these principles are applied in all parts of the University. The Committee reviews and approves the principles and procedures used by the Faculty Committees, where they have delegated responsibility. It receives reports on their implementation. The Committee is directly involved in cases which cannot be resolved at Faculty level, or which raise ethical issues not previously considered. 27. Many subject areas within the University will have available requirements, guidelines or a code of practice on ethical issues that have been developed by professional bodies, learned societies or subject associations. Where such external documents are available, the Department may make an explicit resolution to adopt the guidelines or code for the discipline or profession, either in whole or in part, and should communicate this decision for ratification, together with a copy of the relevant documents, to the University Ethics Committee. 28. The University has a Working with Animals Policy. The University intends to continue to work closely with the National Centre for the Replacement, Refinement and Reduction of Animals in Research (NC3RS), further information from www.nc3rs.org.uk/. 29. Heads of Department and Deans are responsible for ensuring that local codes, guidelines and procedures are communicated effectively and are supported by appropriate administrative arrangements and documentation.

Research integrity 30. All involved in research owe a duty of accountability to society, to the University, to their profession and to funders of the research. The principles include: • Pursuing research that is designed to contribute to knowledge. • The pursuit and protection of truth. • The adoption of ethically approved research methods which are appropriate to the discipline (including those specified in the Research ethics section of this document). • Honesty in communication and publication.



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31. All leaders and managers of research projects are responsible for: • Managing risks and ensuring the safety of those involved. • Ensuring the probity of the financial management of the project. • Seeking to provide optimum value for funds invested. • Ensuring clarity in all contractual arrangements including those relating to intellectual property and disclosure. • Effective management of the project including the timely provision of tangible outcomes scheduled to be delivered as a part of a research project contract. 32. Research ethics training for staff and undergraduate and postgraduate students will include discussions of research integrity and the relevant codes of practice of the University and external bodies. The University has adopted the UK Research Integrity Office (UKRIO) Code of Practice for Research and it requires staff and students to adhere to the key principles of integrity contained therein. The University will invoke its staff or student disciplinary procedures in relation to alleged breaches of research integrity. Any member of the University who believes that there may have been a breach of research integrity should refer to the Procedure for the Investigation of Allegations of Misconduct in Research (2013) and seek advice from the Director of Corporate Governance. 33. Examples of such breaches include: • Misappropriation of another’s intellectual property by plagiarism or breach of confidence as a reviewer. • Theft of or damage to another’s research-related property. • Misrepresentation of research findings by deception or lying. • Obstruction, including withholding, destroying or falsifying evidence. • Unfairly influencing witnesses or interviewees. • Breach of confidentiality required by external contracts. • The deliberate commercial exploitation of ideas of others without acknowledgement and, where necessary, informed consent. • Failing to comply with statutory or institutional regulations, including ethical review. 34. In July 2012, Universities UK launched the Concordat to support research integrity that sets out a national framework for good research conduct and its governance. The University supports the principles of the Concordat and of other agencies that seek to promote the highest standards of research conduct, such as those embodied in the RCUK Policy and Guidelines on the Governance of Good Research Conduct, and has appropriate procedures in place to investigate allegations of breaches of research integrity. The University directs the attention of those involved in research to these documents, to the UKRIO Code of Practice for Research and Procedure for the Investigation of Allegations of Misconduct in Research.

Ethical Investment Policy 35. The University recognises that without controls its financial investments could result in harm to communities and the environment worldwide. To reduce the chance of harm to communities and the environment the University is committed to making socially responsible investment decisions by engaging the financial sector in practices that adhere to ethical investment principles where possible. Current ethical investment principles include but are not restricted to the Equator Principles, the United Nations Global Compact, Responsible Investment and Global Citizenship. 36. The University wishes to seek investment opportunities in organisations and countries who demonstrate a positive approach to individuals, communities, environmental performance, protection and climate change. In order to achieve this, the University will seek wherever possible to: • Invest with organisations whose financial activity includes policies and controls to protect communities and local people to prevent human rights abuse and discrimination. • Invest with organisations whose financial activities include policies and controls to protect the environment to prevent environmental damage, loss of biodiversity and habitats. • Identify investment opportunities in organisations and countries which demonstrate a positive approach to individuals, communities and environmental performance. • Avoid organisations that trade in armaments and tobacco. • Identify investment opportunities in organisations which are developing environmental technologies to reduce the impacts of polluting/destructive industries and climate change. • Practice good governance by complying with the seven Nolan Principles of Public Life. • Make this Policy available to the public and stakeholders. 37. This Policy will be actively and regularly reviewed and updated to reflect progress in the ethical investment debate.

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References UK Research Integrity Office (UKRIO) Code of Practice for Research (October 2009), adopted by the University of Portsmouth, May 2014 www.ukrio.org/publications/code-of-practice-for-research/ UKRIO Recommended Checklist for Researchers www.ukrio.org/wp-content/uploads/UKRIO-Recommended-Checklist-for-Researchers.pdf Equality and Diversity Policy Statement, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/curriculumandqualityenhancement/studentadviceservices/ filetodownload,13937,en.pdf Anti-Bullying and Harassment Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/humanresources/filetodownload,13116,en.pdf Freedom of Speech Code, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/directorate/filetodownload,27626,en.pdf Governance Arrangements for Research Ethics Committees: A harmonised edition (updated April 2012) www.gov.uk/government/publications/health-research-ethics-committees-governance-arrangements Procedure for the Investigation of Allegations of Misconduct in Research, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/researchandknowledgetransferservices/filetodownload,180225,en.pdf Declaration of Interests Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/officeofthedirectorofcorporategovernance/registerofinterests/ filetodownload,87834,en.pdf RCUK Policy and Guidelines on the Governance of Good Research Conduct February 2013 www.rcuk.ac.uk/RCUK-prod/assets/documents/reviews/grc/ RCUKPolicyandGuidelinesonGovernanceofGoodResearchPracticeFebruary2013.pdf Staff Email Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/directorate/filetodownload,64582,en.pdf Student Email Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/informationservices/filetodownload,116394,en.pdf Universities UK Concordat to support research integrity, July 2012 www.universitiesuk.ac.uk/highereducation/Pages/Theconcordattosupportresearchintegrity.aspx#.UgTW2KzJbRg Whistleblowing Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/officeofthedirectorofcorporategovernance/filetodownload,114058,en.pdf Working with Animals Policy, University of Portsmouth www.port.ac.uk/accesstoinformation/policies/directorate/filetodownload,63947,en.pdf



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