Why Research Ethics? - University of Wales Trinity Saint David

Ethics & Research
Dr. Matt Briggs
Research & Development Office
Dr. Rachel Cassidy
School of Business
What do we mean by
• The rules or standards governing the
conduct of a person or the members of
a profession (deontology) (right)
• The actions which produce positive
consequences or outcomes for those
involved (teleology) (good)
Why Research Ethics?
• System of research governance:
• To enhance the quality and integrity of research;
• To protect the rights and welfare of participants and
minimise the risk of physical and mental discomfort,
harm and danger from research procedures;
• To protect the welfare of researchers and their right
to carry out legitimate investigations;
Why Research Ethics?
• To minimise the potential for claims of negligence
made against the University, its researchers and any
collaborating individual or organisation;
• To ensure the reputation of the University for the
research it conducts and sponsors.
Basic Principles
Beneficence - 'do positive good'
Non-malfeasance - 'do no harm’
Protect participants’ interests and /or rights
Ensure participant and researcher safety and reduce
• Consider and protect against where necessary the
impact of work on others
• Ensure informed consent
• Avoid deception (or to justify the need for deception if
Basic Principles
• Provide debriefing – i.e. the need to provide
participants with additional information to support
them after taking part in the research
• Allow withdrawal from Investigation
• Ensure confidentiality – i.e. the need to reassure
participants that information they provide will not be
disclosed without prior consent to others
• Data security and archiving – i.e. to ensure that
research data is held in a secure manner consonant
with the requirements of the Data Protection Act
How is ethics governed at the
• Ethics Committee:
• Research Ethics & Integrity Code of Practice
AQH 2011/12 2.6.1
The Ethics Committee is responsible for determining the
acceptability or otherwise on ethical grounds of proposals
for University research projects or programmes carried out
under the auspices of the University and for advising on
ethical issues involved.
What proposals should the
committee consider?
In general any programme of research which involves
human or animal participants, their ‘products’ (e.g. body
samples, written records, etc.), that has a direct impact on
individuals, or uses contemporary material that may
implicate living subjects or organisations, will need careful
ethical consideration.
This also covers use of the internet, work with substantial
practice based or creative element and questions of
Research Degrees
• All prospective research projects, whether at MPhil or
Doctoral levels, should be referred to the Ethics
Committee for approval prior to the completion of the
registration process.
• Complete Research Ethics Approval Form
• Retained in the Postgraduate Research Office.
Particular concern:
1) Interviewing
2) Testing
3) Fieldwork
4) Data
Risk Assessment
• Researchers may also be required to submit a Risk
Assessment Form in research projects which involve
Environmental Hazards (e.g. Height, Water)
Lone, isolated or out of hours working
Ill Health
Chemical/Biological hazards
Fieldwork & Risk
- Race
- Culture
- Ethnicity - Belief
- Religion,
- Gender
• Physical intimidation, or actual bodily harm;
Psychological trauma
• Emotional distress
• Being put in compromising situations, such that they
risk being accused of misconduct;
• Arousal of suspicion and antagonism from authorities
Safeguarding children and
vulnerable adults
• Staff undertaking research work which involves oneto-one or other unsupervised contact with children or
vulnerable adults will be required to obtain a Criminal
Records Bureau (CRB) check.
• Applications should be submitted for approval as
early as possible. All projects must be signed off from
an ethics perspective before that part of the work for
which approval is being sought begins.
Process for submitting a proposal
• Candidate (student) completes Ethics Request form.
• The candidate, supervisor and Head of School sign
the form.
• The form should be submitted to the Postgraduate
Research Office who prepare the papers for the
• Committee meets at least twice a semester
• Papers need to be sent to the PGRO one week
before the meeting
Outcome of Committee
• Following the committee, the minutes are considered
by the Chair.
• Once approved, the PGRO will follow the
recommended actions in relation to each proposal.
• In all cases, the supervisor, student or project
manager is informed of the outcome.
Continued Review
• All postgraduate research conducted for research
degrees shall be reviewed for on-going and
unforeseen ethical issues during the various points of
a research degree candidature:
Progress reviews with the supervisory team
Submission of full proposal
Upgrade from MPhil / PhD
Annual review
Completing the Form
A fydd eich ymchwil yn golygu casglu, dadansoddi
neu arsylwi ar ddata dynol neu ddeunydd dynol?
Will your research involve the collection, analysis or
observation of human data or human material?
A fydd eich ymchwil yn golygu casglu, dadansoddi
neu arsylwi o ddeunydd anifeiliaid?
Will your research involve the collection, analysis or
observation of animal material?
A fydd eich ymchwil yn cynnwys cyfweliadau,
holiaduron, arsylwi, ffilmio, recordio neu unrhyw fath
arall o ryngweithio gyda phynciau dynol
Will your research involve interviews, questionnaires,
observation, filming, recording or any other form of
interaction with human subjects?
A fydd eich ymchwil yn eich rhoi mewn unrhyw
sefyllfa a fyddai'n bosibl 'eich rhoi mewn perygl', yn
gorfforol, yn gymdeithasol neu'n emosiynol?
Will your research put you in any situation that would
potentially ‘put you at risk’; physically, socially or
A fydd eich ymchwil yn cynnwys cyfnodau
sylweddol o ryngweithio neu arsylwi o grwpiau
cymunedol eraill, naill ai yn eich gwlad gartref neu
Will your research involve substantial periods of
interaction or observation of other community groups,
either in your home country or abroad?
A fydd eich ymchwil yn cynnwys, mewn unrhyw
ffordd, plant, oedolion ifanc neu oedolion sy'n
agored i niwed?
Will your research involve, in any way, children, young
or vulnerable adults?
Adran 2 – Manylion y Prosiect / Ymchwil / Cynhyrchiad
Section 2 – Project / Research / Production Details
Braslun o’r prosiect / Project outline
Hyd y Prosiect / Duration of Project
O / From …………………………………………………hyd / to
Rhowch fraslun cryno o’r prosiect, heb unrhyw jargon,
ac yn cynnwys beth bydd angen i’r cyfranogwyr ei
Esboniwch unrhyw dermau technegol neu
derminoleg sy'n benodol i'r ddisgyblaeth (hyd at 300 o
Cysylltwch ddalennau ychwanegol yn ôl yr angen, neu
defnyddiwch dudalennau ôl y cais
Provide a brief outline, free from jargon, of the project including
what participants will be required to do. Explain any technical terms
or discipline specific terminology (up to 300 words.)
Please attached additional pages as necessary or use the reverse
sides of this application
Amcanion a Chyfiawnhad i’r Prosiect: Nodwch amcanion Aims and Justification for the Project: State the aims of the project
y prosiect a rhowch resymoliad i egluro pam y dylid ei and rationalise why it should take place, clearly indicating the
gynnal, gan nodi’n eglur yr effeithiau posibl. (hyd at 500 potential impacts. (up to 500 words).
o eiriau).
Dulliau Arfaethedig: Rhowch fraslun o'r dulliau casglu
data neu o natur yr amser mewn ymarferiadau. Dylech
gynnwys technegau / dulliau penodol, tasgau y gofynnir
i’r cyfranogwyr eu gwneud, amser ac ymrwymiad y
cyfranogwyr a dadansoddiad o’r data.
Os ydy’r
prosiectau’n cynnwys gweithdrefnau / gweithgareddau
nad ydynt yn dilyn arfer derbyniol a sefydlwyd eisoes,
esboniwch a rhowch gyfiawnhad (hyd at 700 o eiriau).
Proposed Methods: Outline how the data will be collected
or the nature of rehearsal time. Include specific
techniques / methods, tasks participants will be asked to
do, time and commitment of participants and analysis of
the data. If the projects includes procedures / activities
different from already established acceptable practice
then please explain and justify (up to 700 words).
gymwysterau academaidd a rhowch fraslun o unrhyw
brofiad neu sgiliau sy'n berthnasol i gwblhau'r prosiect.
Nodwch unrhyw gymwysterau gorfodol mae’u hangen ar
gyfer casglu data neu'r cynhyrchiad.
Investigators Qualifications / Experience: List academic
qualifications and outline any experience or skills relevant to
completing the project. Indicate any mandatory qualifications
required for the collection of data or for the production.
Lledaenu Gwybodaeth / Cynulleidfa: Nodwch i bwy y Dissemination of Information / Audience: Outline to whom a
rhoddir neu y dangosir copi o’r canlyniadau neu copy of the results or final report / presentation will be given or
adroddiad / cyflwyniad terfynol.
Lleoliad y Prosiect: Nodwch bob lleoliad lle y cesglir data Location of Project: Identify all locations where data will be
neu y cynhelir ymarferiadau / cynhyrchiad.
collected or rehearsals/ production will take place.
Cymeradwyaeth Arall: Oes angen cael cymeradwyaeth Other Approvals: Is there a requirement for approval from any
unrhyw sefydliad arall cyn cychwyn neu gwblhau’r other organisation / institution prior to starting or completing the
prosiect? Os felly, gan bwy ac a ydy wedi'i sicrhau project? If so, by whom and has it been obtained?
Adran 3 – Manylion Cyfranogwyr / Cynulleidfa
Section 3 - Participant / Audience details
Pwy yw’r cyfranogwyr arfaethedig?
Who are the intended participants?
Ie / Yes
Myfyrwyr / staff Y Drindod Dewi Sant
Oedolion (dros oed 16 ac yn gymwys i
Students / staff of Trinity Saint David
Plant a phobl ifanc dan oed
Cleifion neu gleientiaid gweithwyr
Children / legal minors
Rhywun sy’n cael ei gadw yn y ddalfa neu y
mae’r llys wedi cymryd cyfrifoldeb amdano
Anyone in custodial care or for whom the court has
assumed responsibility
Aelod o unrhyw sefydliad lle mae’n bosibl
bod angen i unigolyn arall hefyd gydsynio.
A member of any organisation where another
individual may also need to give consent.
Na / No
Adults (over the age of 16 and competent to give
Patients or clients of professionals
Eraill: Nodwch: / Others: please identify:
Nifer, Oed a Ffynhonnell y Cyfranogwyr / y Participant / Audience Number, Age and Source: Provide
Gynulleidfa: Nodwch fanylion demograffeg y details of the demographics of the participants / audience.
cyfranogwyr / y gynulleidfa.
Nodwch hefyd Include methods of recruitment and any exclusion criteria.
ddulliau recriwtio ac unrhyw feini prawf eithrio.
Nifer o Gyfranogwyr / yn y Gynulleidfa
Participant/ Audience number
Grŵp oedran y Cyfranogwyr/y Gynulleidfa
Participant/ Audience age group
Ffynhonnell y Cyfranogwyr/y Gynulleidfa
Participant/ Audience source
Adran 4 – Rheoli Risg
Section 4 – Risk Management
Ydy’r prosiect yn cynnwys:
Does the project include:
Defnyddio holiadur (neu offeryn ymchwil tebyg (cysylltwch
Defnyddio prawf ysgrifenedig neu gyfrifiadurol
Use of questionnaire (or similar research
instrument (attach copy)
Use of written or computerised test
Cyfweliad (cysylltwch gwestiynau posibl)
Interview (attach provisional questions)
Arsylwi ar gyfranogwyr a hwythau'n ymwybodol o hynny
Participant observation with their
Participant observation without their
Video or audio-taping
Arsylwi ar gyfranogwyr a hwythau ddim yn ymwybodol o
Recordio fideo neu sain
Mynediad i wybodaeth bersonol neu gyfrinachol heb
gydsyniad penodol y cyfranogwyr
Access to personal or confidential
information without the participants
specific consent
Defnyddio unrhyw gwestiynau, ysgogiadau prawf, cyflwyniad
y gallai rhai cyfranogwyr eu profi fel rhywbeth sy'n achosi
niwed / tramgwydd corfforol, meddyliol neu emosiynol
Administration of any questions, test
stimuli, presentation that may be
experienced as physically, mentally or
emotionally harmful / offensive
Cyflawni unrhyw weithredoedd allai achosi embaras neu
effeithio ar hunan-barch
Performance of any acts which may cause
embarrassment or affect self-esteem
Ymchwilio i gyfranogwyr sy’n ymwneud â gweithgareddau
anghyfreithlon Gweithdrefnau lle defnyddir twyll
Investigation of participants involved in
illegal activities Procedures that involve
Ydy / Yes
Gweini unrhyw sylwedd, cyfrwng neu blasebo
Administration of any substance,
agent or placebo
Dull arall o gasglu data neu fformat cyflwyno
Other method of data collection or
presentation format (please explain)
Os ydych wedi ateb Ydy i unrhyw un o’r uchod,
rhowch wybodaeth ychwanegol a chyfiawnhad ar
gyfer hynny .
If you have indicated yes to any of the above, please provide
additional information and justification of actions.
Buddion y Prosiect: Disgrifiwch sut mae buddion y Benefits of Project: Describe how the benefits of the project outweigh
prosiect yn gorbwyso unrhyw risgiau (hyd at 200 o any risks (up to 200 words).
Risg bosibl i'r Cyfranogwyr / y Gynulleidfa: Nodwch, Potential Risk to Participants / Audience: Identify, as far as possible
i’r graddau y mae hynny'n bosibl, unrhyw risgiau any potential risks to participants (physical, psychological, legal, social
posibl i gyfranogwyr (corfforol, seicolegol, cyfreithiol, or economic) associated with the project. Include an analysis of the
cymdeithasol neu economaidd) sy’n gysylltiedig â’r likelihood and potential severity of any risk.
Dylech gynnwys dadansoddiad o
debygolrwydd a difrifoldeb posibl unrhyw risg.
Risgiau Posibl i’r Ymchwilydd: Nodwch unrhyw risgiau Potential Risks to Researcher: Outline any potential risks to the
posibl i'r ymchwilydd sy'n fwy na fyddai'n debyg o godi o researcher greater than might be encountered on a daily basis.
ddydd i ddydd.
Rheoli Risg: Nodwch sut y bydd unrhyw risgiau a Management of Risk: Outline how any risks identified will be managed.
nodwyd yn cael eu rheoli.
Canlyniadau Niweidiol: Nodwch unrhyw fesurau rydych Adverse Outcomes: Outline any measures you have put in place to
wedi'u sefydlu er mwyn lliniaru unrhyw effeithiau neu mediate any adverse affects or outcomes of the project. Include any
ganlyniadau niweidiol yn sgil y prosiect.
Dylech emergency protocols.
gynnwys unrhyw brotocolau mewn argyfwng.
Adran 5 – Monitro, Adborth a Chyfrinachedd
Section 5 - Monitoring, Feedback and Confidentiality
Monitro: Nodwch unrhyw strategaeth a ddefnyddir i fonitro
ymddygiad cyfranogwyr a / neu ymchwilwyr ar hyd y
prosiect er mwyn sicrhau eu bod yn cydymffurfio â Chod
Ymarfer y Brifysgol ac unrhyw ganllawiau a gyhoeddir gan y
gymdeithas broffesiynol briodol.
Monitoring: Outline any strategy included to monitor the conduct
of participants and or investigators throughout the project to
ensure they conform to the University’s Code of Practice and
any guidelines published by the appropriate professional
Adrodd yn ôl a Chefnogaeth: Pa gefnogaeth neu adborth a
roddir i’r cyfranogwyr, os rhoddir, a phryd?
Cydsyniad Gwybodus: Nodwch eich dull o gofnodi’r
cydsyniad i gyfranogi yn y prosiect (dylech gynnwys copi
o’r ffurflen gydsynio os byddwch yn defnyddio un).
Debriefing and Support: When and what support or feedback will
be given to participant, if any?
Informed Consent: Outline the method by which you are
documenting the consent to participate in the project (include a
copy of the consent form if you are using one).
Cyfyngiadau Cyfreithiol ar Gyfrinachedd: Nodwch y
gwrthdaro posibl a allai godi rhwng cyfrinachedd a’r angen
cyfreithiol i gael mynediad i wybodaeth, megis subpoena,
rhyddid gwybodaeth ac adrodd gorfodol gan rai
proffesiynau. A gynghorir y cyfranogwyr am y gwrthdaro
posibl hwn?
Legal Limitations to Confidentiality: Identify potential conflicts
that may arise between confidentiality and the legal need to
access the information, such subpoena, freedom of information
and mandatory reporting by some professions. Is the participant
being advised of these potential conflicts?
Adran 6 – Storio, Diogelwch a Mynediad i Ddata
Section 6 - Data Access, Storage and Security
Cyfrifoldeb am Ddata a Gesglir: Nodwch pwy sy’n gyfrifol Responsibility for Data Collected: Indicate how and who is
am storio a diogelwch yr holl wybodaeth a gesglir a sut.
responsible for the storage and security of all information
Mynediad i Ddata: Nodwch pwy fydd â mynediad i’r data ac a Data Access: Indicate who will have access to the data and
oes unrhyw amodau ynghlwm â mynediad.
whether there are any conditions to access.
Cyfrinachedd / Anhysbysrwydd: Nodwch y dulliau a Confidentiality / Anonymity: Outline the methods used to ensure
ddefnyddir i sicrhau cadw gwybodaeth yn gyfrinachol a confidentiality of information and the anonymity of participants.
chyfranogwyr yn anhysbys.
Adran 7 - Cyllid
Section 7 - Funding
Ydy / yes
Ydy’r prosiect yn derbyn cyllid?
Is the project being funded?
A oes angen i’r prosiect gael ei
gymeradwyo cyn cael ei ystyried gan
asiantaeth gyllido?
Does the project require approval before
consideration by the funding agency?
Ffynhonnell y Cyllid:
Source of Funding:
Nac ydy/ No
Ethics Committee
Mae’r Pwyllgor Moeseg yn hyderus
yr ymdriniwyd ag unrhyw a phob
mater moesegol, a bod yr
ymchwilwyr yn meddu ar y sgiliau a
gynnal yr ymchwil y ceir brasamcan
ohono ar y daflen gysylltiedig.
The Ethics Committee is confident
that any and all ethical issues have
been addressed and that the
investigators possess the necessary
skills and competence to conduct
the research outlined on the
attached sheet.
Cefnogwyd yn amodol ar newidiadau
Supported subject to amendments
Nid yw’r Pwyllgor Moeseg yn sicr yr
ymdriniwyd â phob mater moesegol,
nac ychwaith fod yr ymchwilwyr yn
meddu ar y sgiliau a chymhwysedd
sy’n angenrheidiol i gynnal yr
ymchwil y ceir brasamcan ohono ar
y daflen gysylltiedig. Mae angen
manylion pellach cyn y gellir rhoi
The Ethics Committee is unsure
that all ethical issues have been
addressed or that the investigators
possess the necessary skills and
research outlined on the attached
sheet. Further details are required
before approval is given.
Nis cefnogwyd
Not supported
Nid yw’r Pwyllgor Moeseg yn
hyderus yr ymdriniwyd â phob
mater moesegol, a bod yr
ymchwilwyr yn meddu ar y sgiliau a
gynnal yr ymchwil y ceir brasamcan
ohono ar y daflen gysylltiedig.
The Ethics Committee is not
confident that all ethical issues have
been addressed and that the
investigators possess the necessary
skills and competence to conduct
the research outlined on the
attached sheet.
Sylwadau neu argymhellion:
Comments or recommendations:
Unrhyw Gwestiynau?
Any Questions?