Research Ethics

Research Ethics Framework

The framework contains operational guidance in relation to research ethics and its associated processes. Please familiarise yourself with the relevant sections of this guidance in the first instance. If you require any advice or support, please contact us.

Research Ethics Framework

Research Ethics & Integrity Policy

The policy sets out what is expected of all researchers conducting research at Aberystwyth University. 

Research Ethics & Integrity Policy (under review)

Q: Does my work require ethical review?

All research activity conducted by Aberystwyth University staff and students requires ethical review. The ethical review process has stages – first there is a light touch ethical review via an online screening tool which all research should undergo. This is often enough for low risk research and can be approved within an academic Department. For higher-risk projects a second stage review may be required at University level or by an external body may be required.

The following list is not exhaustive, but the situations described below are likely to require formal ethical review by a University-level panel or an external body:

• Research involving vulnerable individuals or groups (e.g. children and young people; people with a cognitive impairment or learning disability or who lack ‘capacity’; individuals or groups where an actual or perceived power-relationship exists with the researcher).
• Research involving the collection of sensitive personal data (e.g. participants’ ethnicity, gender, mental health, sexual behaviour, political views or activities, illegal activity or behaviour, experience of violence, abuse, exploitation)
• Research which may potentially cause harm to researchers, research participants, third parties, and/or the environment
• Research involving animals
• Research involving access to potential or recruited participants via a ‘gatekeeper’
• Research involving human participants recruited via the NHS, their data and/or their tissue
• Research involving prisoners, prison staff, the armed services, or Ministry of Defence
• Research involving the ingestion of substances of any kind
• Research involving the inducement of physical pain, anxiety, psychological stress, or humiliation
• Research involving payment of participants (beyond any token gesture)
• Research involving deception

Undergraduate (UG) and taught postgraduate (PG-T) students undertaking independent research (e.g. through dissertation projects) do not typically have sufficient training and/or experience to undertake a higher-risk project, and the timeline for research projects is typically relatively compressed. Consequently the expectation is that taught UG and PG-T students will not usually undertake higher-risk projects (i.e. those requiring scrutiny at University level or by an external body). Taught UG and PG-T students considering higher-risk projects must obtain the support of their academic department for potentially pursuing such a project and bringing it to a University-level research ethics panel; this involves discussing their proposal with their academic supervisor as early in the dissertation process as possible, and the supervisor/department seeking the advice of the Research Ethics and Integrity Unit before considering bringing a proposal to one of the University ethics panels.

Knowledge exchange, research impact, ethics and integrity

The same principles that govern our research should also govern the knowledge exchange it informs and/or the impact that results from it, namely:

• Respect for the rights, safety and well-being of all human participants and animals
• Respect for other cultures, values, traditions and the environment around us
• Honesty, integrity and professionalism at all times

 

Q: Does my knowledge exchange or impact activity require ethical review?

Impact and knowledge exchange should usually be designed as part of a research project, and hence would be considered as part of the ethical review process for the original research project. However, situations can arise where additional activities (e.g. public engagement) are undertaken in addition to the research work or where serendipitous knowledge exchange or impact opportunities arise, which may not have been considered at the outset of the research project. In many cases, this knowledge exchange or impact work actually falls under the definition of research; where this is the case and the ethics of the knowledge exchange or impact activities have not previously been assessed (e.g. as part of the original research ethics process, or where plans for knowledge exchange or impact have changed significantly from any original research ethics application), it is critical to seek ethical review and gain a favourable ethical opinion before undertaking any knowledge exchange or impact activity.

Ethical review of knowledge exchange or impact activities are required where these activities involve research (and regardless of whether the funding stream is formally badged as ‘knowledge exchange’ or ‘impact’ rather than as ‘research’), including where:

• Data are collected from human participants to develop or contribute to new and/or generalisable knowledge
• Sensitive personal data are collected and/or where participants may become individually identifiable through the collection, analysis, and subsequent handling of these data
• Data collected are to be used for peer-reviewed publications or other academic outputs
• Vulnerable participants are involved (e.g. children and young people; people with a cognitive impairment or learning disability or who lack ‘capacity’; individuals or groups where an actual or perceived power-relationship exists with the researcher).

Ethical review will not normally be required where the knowledge exchange or impact activity is:

• effectively a research dissemination event or public engagement event (provided that the subject area/topic/activity is ethically ‘low risk’), or
• is akin to a service evaluation (e.g. where assessment of a specific event or activity is involved and the findings cannot be extended and generalised beyond the specific event or activity), and
• where feedback from participants is anonymous or individuals cannot be identified on the basis of the information given

For further information on research impact, ethics and integrity in the context of REF, see the following link https://www.aber.ac.uk/en/rbi/support-services/ref-monitoring/impact-toolkit/ethics/#impact, or for queries and advice on this topic contact the Research Ethics and Integrity Unit (ethics@aber.ac.uk) or the REF and Research Monitoring Team (research@aber.ac.uk).

For all other queries regarding research, knowledge exchange, impact and research ethics and integrity, please contact the Research Ethics and Integrity Unit (ethics@aber.ac.uk).

 

Definition of Research

Research is defined by the OECD Frascati Manual 2015 (https://doi.org/10.1787/9789264239012-en) as follows:

Research and experimental development (R&D) comprise creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of available knowledge.

REF 2021 defined research as:

“a process of investigation leading to new insights, effectively shared.

It includes work of direct relevance to the needs of commerce, industry, culture, society, and to the public and voluntary sectors; scholarship; the invention and generation of ideas, images, performances, artefacts including design, where these lead to new or substantially improved insights; and the use of existing knowledge in experimental development to produce new or substantially improved materials, devices, products and processes, including design and construction. It excludes routine testing and routine analysis of materials, components and processes such as for the maintenance of national standards, as distinct from the development of new analytical techniques. It also excludes the development of teaching materials that do not embody original research.

It includes research that is published, disseminated or made publicly available in the form of assessable research outputs, and confidential reports.”

All research, whether it involves human participants or not, must undergo a recognised form of ethical scrutiny at the point in which a proposal has been finalised and research must not commence without the relevant ethical approval.

If you are unsure of the type of approval you will require or if you would like advice in the development of your proposal, please contact us to discuss.

At the minimum, an assessment must be carried out for all research proposals through the online assessment form. You will then be required to submit an application to one of the AU recognised internal review bodies, such as the Research Ethics Panel (REP), Animal Welfare and Ethical Review Board (AWERB) or the Sponsorship Panel (prior to submission for external review).

You can access the online ethics assessment form: HERE

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Projects that pose limited ethical issues may be eligible for review at a Faculty / Departmental level. Once an assessment has been completed, this will automatically be sent to the Faculty / Departmental reviewer to assess. 

For staff and PGR students, the review will likely be conducted by your Associate Dean of Research. Whereas for undergraduate and taught PG students, this will commonly be reviewed by your supervisor or module co-ordinator.

All researchers should also carefully observe any local (departmental) procedures, as some departments undertake a further ethical review of proposals.  

Please remember that a research ethics review is only one component in the set-up of a successful research project. If your reviewer confirms that no ethical review is required beyond the completion of an assessment, you must still ensure that:

• All project documentation (e.g. consent forms and participant information sheets) is of a sufficient standard.
• All other internal and external processes and procedures are adhered to before you commence your research activities. 
• For students, this will require working closely with your supervisor.

Where a proposal is required to obtain ethical approval, this will usually be obtained from one of the following approving bodies:

The Research Ethics Panel (REP) is the main internal University review Panel which reviews a broad range of research areas and topics. It is the primary Panel responsible for reviewing and granting ethical opinions on projects at all levels, from undergraduate through to staff, across the University.

The Sponsorship Panel has oversight of all externally approved (through the Health Research Authority and Health and Care Research Wales) research studies and trials. It reviews requests and conducts governance checks for sponsorship prior to any application being submitted to an external ethics or regulatory body.

The Animal Welfare and Ethical Review Board (AWERB) is responsible for considering and monitoring the University’s compliance with the Animals (Scientific Procedures) Act 1986 (ASPA) by undertaking an ethical review of all research projects involving protected animals.

The Research Ethics Panel has an important role in ensuring the highest ethical standards and scientific merit of the sub-set of research proposals it reviews. The role of the REP is to provide a collective and independent review to ensure that research projects conform to internationally and locally accepted ethical guidelines, with an emphasis on:

• Protecting the dignity, rights and well-being of participants and researchers alike;
• Balancing risk (including reputational risk) in a manner which is proportionate to the intended procedures;
• Ensuring quality, rigorous research that is of potential benefit to participants, science and society.

The work of an Ethics Panel does not associate itself with the avoidance of high-risk research and should therefore not be considered as a barrier, but rather as a facilitative, consultative and enriching process. The Panel meets regularly throughout the year and dates can be found below.

Click here to download an application form: Research Ethics Panel Application

 

Making an application to the Research Ethics Panel

The Ethics Unit is happy to advise on draft applications before they are submitted, however, it is important that you work in advance of the respective deadline in order to allow us sufficient time to provide any comments and suggestions.

Once you're ready to submit, please ensure that your completed 'Research Ethics Panel' application is sent via email to ethics@aber.ac.uk no later than 10 days prior to the appropriate meeting date.

Once submitted, a 'completeness check' will be carried out to ensure that the application is ready for review. If an application is late or incomplete, it may be deferred to the next Panel meeting. If you are unsure whether your application is complete, please work in advance of the 10 day deadline.

A decision will usually be granted on the day of the meeting.

Please see the Research Ethics Framework for full details on the review process. Alternatively, please contact ethics@aber.ac.uk.

If you require urgent ethical approval (i.e. approval outside of the Panel meeting dates), please contact ethics@aber.ac.uk with an explanation as to why this is necessary. We cannot guarantee review outside of Panel meeting dates.

 

Research Ethics Panel (REP) meetings

2024

Wednesday 25^th September (paperwork deadline 4^th September)

Wednesday 30^th October (paperwork deadline 2^nd October)

Wednesday 27^th November (paperwork deadline 6^th November)

2025

Wednesday 29^th January (paperwork deadline 8^th January)

Wednesday 26^th February (paperwork deadline 5^th February)

Wednesday 26^th March (paperwork deadline 5^th March)

Wednesday 30^th April (paperwork deadline 2^nd April)

Wednesday 28^th May (paperwork deadline 7^th May)

Wednesday 25^th June (paperwork deadline 4^th June)

Wednesday 30^th July (paperwork deadline 2^nd July)

Some research studies are unable to be reviewed by a University Ethics Committee and must be submitted for external review. This includes:

• Studies involving NHS staff, data, patients, premises or resources;
• Studies involving participants in a social care setting, including adults who lack mental capacity;
• Studies involving participants in the prison, probation or justice service;
• Studies funded or sponsored by the Ministry of Defence.

Please first read section 2.3.7 of the Research Ethics Framework and then visit the External Approvals page for further information. You should also refer to the Health Research Authority / Health and Care Research Wales web pages for more details on the overall approval process.

If this is the first time that you will be making an external application or if you are not responsible for obtaining the relevant approval (i.e. if you are a project co-investigator), please contact: ethics@aber.ac.uk for advice.

As part of the application process, each application will require a sponsor. Where AU is to act as the sponsor, it is required to undergo an internal governance review before submission. This review is undertaken by the Sponsorship Panel. For further details on obtaining sponsorship, please visit the External Approvals page.

All research procedures involving animals is strictly governed by the UK Home Office in line with the Animal (Scientific Procedures) Act 1986 (ASPA). It is essential that all projects are in receipt of the appropriate licence and have received an appropriate level of ethical review and / or be in receipt of a Home Office licence before they can commence.

Please see the animal ethics webpage for further details.

Contact us

If you have any queries, please contact:

Lisa Fisher

ethics@aber.ac.uk

Research Ethics and Integrity Training

In order to ensure that we continue to strive for the highest standards of ethics and integrity when conducting research, the university offers training to all staff and students. It is essential that researchers can demonstrate an awareness of the ethical implications of their research.

The UK Research Integrity Office (UKRIO) introduction to Research Integrity

We may also be able to offer bespoke sessions for departments - please contact us with your requirements. 

Additional Resources:

Guidance on GDPR & Research Ethics

Publication and Authorship Guidance

Research Ethics Panel Appeals Policy

Research Misconduct Policy

(Security) Sensitive Research Policy and Procedure‌ 

Public Interest Disclosure (Whistleblowing) Policy

See our Research Integrity web page for further information