ETHICS AND INTEGRITY

New Ethics Online System

The ethics review process is essential to the delivery of education and research across all four Faculties. The K2 ethics online system was retired at the end of October 2022 and this provides an opportunity to invest in a sector-leading system that can support the implementation of new policies, procedures and ways of working which will streamline the ethical review process, while ensuring the rigour required for ethical review. The new ethics online system (hosted and delivered by Infonetica) is available for all staff and students (including London and Amsterdam campuses, and at our partner institutions).

In parallel a number of recommendations by the Ethics Policy Review Group, chaired by Dr Claire Thornton, and with representation from each Faculty, have been approved and are being implemented:

• The creation of a College of Ethics Reviewers in each Faculty

• The use of committee review for some complex, high-risk projects

• A triage step in the processing of ethics applications, and rationalisation of ethics review categories

• A significantly expanded research ethics and integrity development programme including online and in-person training

• Improved guidance and webpages to support researchers through the ethics processes, including external approvals

You can access more information about the other changes to the ethical approval process, including the College of Ethics Reviewers here.

Why have we changed system?

The previous ethics online system was built in-house in 2016/17 on a platform called K2; this platform has now been retired, and the University has procured a sector leading system that can provides users with a more streamlined application.

The Infonetica Ethics Research Manager system is used by universities across the country, and in the US and Australia; it is a tried and tested system to manage research ethics applications. The system provides a robust platform that is easy to use, and has been adapted to Northumbria's policies and processes. The ethics application that applicants complete replicates the previous form, but a key benefit is that by using a Smart form, each application can be filtered so the applicant only completes relevant sections. 

The changes to the ethical approval process are in part due to the revised and updated Concordat to Support Research Integrity which has a stronger mandate to monitor compliance with its commitments. Northumbria must assure its compliance with the Concordat through an Annual Report, which identifies areas for improvement and good practice to build on. A significant challenge identified in 2020/21 was the consistency of ethical review and lack of committee review for high-risk, complex ethics applications. Researchers will benefit from a more consistent review process with better guidance, and support available to applicants and reviewers. 

Please access the Ethical Governance in Research Policy on this web page for further information about the changes to Northumbria’s ethical approval policy with effect from September 2022.

Frequently Asked Questions and Further Guidance

Further guidance for staff users is available on our RIS Intranet webpages, including a list of FAQs to support the change to a new ethics online system. If you can't find the answer to your question below please contact: ethicssupport@northumbria.ac.uk and we will respond to your query and add it to our FAQ list. 

We regularly hold training sessions for both reviewers and applicants - please check the Research Calendar on LibCal to see our upcoming events. 

Approved Applications in the K2 System

The K2 based ethics system was taken offline with effect from 21st October 2022. Therefore it is no longer possible for any applications to be downloaded from the system. RIS will keep a download of data from the 'old' ethics online system for audit purposes.

If you have downloaded your submission from the ‘old’ ethics system, you can add its details to the new ethics system together with details of any amendment to the project.

If you have any queries, please contact ethicssupport@northumbria.ac.uk

Ethical approval must be obtained for all research projects prior to the commencement of the research.

STAFF USER TRAINING MATERIALS AND GUIDANCE

You can access more information about the changes to the ethical approval process on the RIS intranet pages.

Staff Applicant User Guide

Supervisor User Guide

Reviewer and Chair User Guide

Staff Ethics Amendment User Guide

Frequently Asked Questions

Ethics Lead Troubleshooting Guide

The Module Level Approval Process and Guidance can be found on this web page under the heading Documentation and Guidance.

Support for staff:

Please first check the appropriate User Guide above and if you are unable to find the answer to your query, please contact your Department Ethics Lead (DEL) or Faculty Ethics Director (FRED); their contact details can be found here.

Alternatively, email ethicssuport@northumbria.ac.uk quoting the project ID and Applicant's name from the ethics online system.

STUDENT USER TRAINING MATERIALS AND GUIDANCE

Student Applicant User Guide

Student Ethics Amendment User Guide

Frequently Asked Questions

Also, see Supervisor User Guide in Staff section above.

Support for students:

Please first check the appropriate User Guide above and if you are unable to find the answer to your query:

If you are an Undergraduate or Postgraduate Taught Student, please contact your Supervisor or Module Tutor. Supervisors and Module Tutors can contact the Department Ethics Lead (DEL) or Faculty Ethics Director (FRED); their contact details can be found here.

If you are a Postgraduate Research Student, please contact your Supervisor.

Alternatively, email ethicssupport@northumbria.ac.uk, quoting the project ID from the ethics online system.

ETHICS ONLINE SYSTEM DROP-INS

We regularly hold drop-ins for both reviewers and applicants - please check the Research Calendar on LibCal to see our upcoming events. 

VIDEO RESOURCES

Ethics Online System Overview
A short video introducing the new ethics online system. 

EOS Student Application Guidance
A brief video to support students making an ethics application, to submit module level approval applications, and some contextual information on the Ethics Online System.

EOS Staff Application Guidance
A video to walk staff through the process of applying for ethical approval for both individual projects and for Module Level Approval, and offer some contextual information on the Ethics Online System.

EOS Reviewer and Chair Guidance
Guidance for reviewers and chairs on how to access, navigate, add comments, and conduct reviews in the EOS whilst offering some contextual information about roles and responsibilities.

As set out in our Management of Research Misconduct Policy formal allegations should be made to the Chair of the Research Ethics Committee, Professor Louise Bracken

Northumbria University’s Research Integrity and Ethics Contact: Laura Hutchinson, Research Policy Manager, Research and Innovation Services

General Ethics Support queries, contact ethicssupport@northumbria.ac.uk

Department Ethics Leads – click here for details (Staff only as on Intranet)

Ethics Directors: 

Faculty of Arts, Design and Social Sciences, Research Ethics Director: Professor Lesley Twomey

Faculty of Business and Law, Research Ethics Director: Dr Russell Warhurst

Faculty of Engineering and Environment, Research Ethics Director: Dr Ian Forbes

Faculty of Health and Life Sciences, Research Ethics Director: Professor Nick Neave

The Concordat to support research integrity was revised in October 2019, representing a renewed ambition to further strengthen the original Concordat, published in 2012. It provides the principles and commitments to ensure that research produced by, or in collaboration with, UK universities, research institutes and others undertaking research is underpinned by the highest standards of rigour and integrity.

The new Concordat, released in October 2019, retains the five core commitments of the 2012 version. All those engaged with research must be able to make these commitments:

• Maintaining the highest standards of research integrity
• Ensuring that research is conducted according to appropriate
• Embedding a culture of research integrity
• Dealing with allegations of research misconduct
• A commitment to strengthening research integrity

Concordat to support research integrity - October 2019 (pdf)

Northumbria University's contact for matters related to Research Integrity: Rachel Lawlor, Deputy Director, Research and Innovation Services

Click on the link to access the appropriate document:

• Consent Forms
• Debrief Sheet Advice 
• Ethics-related Acronyms
• Gender and Sexual Orientation Best Practice Guidelines
• Guidance for Payments to Research Participants
• Guidance On Producing A Participant Information Sheet
• Module Level Approval Process and Guidance
• Risk Assessment

For guidance relating to the NHS and Human Tissue Authority (HTA), please refer to the tab below headed Research which requires External Approvals

For further information please contact ethicssupport@northumbria.ac.uk

Ethical Governance in Research Policy

Animal Research Reporting In Vivo Experiments - ARRIVE

Animals Scientific Procedures Act 1986

Data Science Ethical Framework (UK Gov)

Economic and Social Research Council (ESRC) Research Ethics Framework

Ethics and Research Integrity - UK Research and Innovation

Global Code of Conduct for Research in Resource - Poor Settings

Guidelines for Conducting Internet Mediated Research 

Institute of Business Ethics

Insurance (through Northumbria University) in relation to Research and Clinical Trials (Northumbria staff access only)

Medical Research Council - support and guidance for those conducting research with human participants, their tissues and data 

Ministry of Defence Research Ethics Committee (MoDREC)

National Centre for the Replacement, Refinement and Reduction of Animals in Research

National Social Care Research Committee

Nuffield Council on Bioethics

Research Governance Framework for Health and Social Care

The Code of Human Research Ethics

UK Research Integrity Office Code of Practice

UKRIO Guidance on Internet Mediated Research

UKRIO Recommended Checklist for Researchers

UUK Guidance on Managing risks in Internationalisation: Security related issues

UUK Oversight of security-sensitive research material in UK universities: guidance

There are various legal contracts that will need to be in place during the lifetime of a research project.  The main ones are funding contracts, collaboration agreements, and contract research contracts.

All contracts relating to research are dealt with by the Legal Services Team within the Vice-Chancellors Department and Research and Innovation Services will work with Principal Investigators to ensure that Legal Services are instructed in respect to contractual arrangements.

Principal Investigators do not have authority under the University’s Financial Regulations to sign and enter into contracts on behalf of the University, hence ALL contracts must be reviewed by Legal Services and once finalised,  Legal Services will arrange for an authorised signatory within the appropriate Faculty to approve and sign off the contract.

From a research governance perspective, specific reference has been given to the following types of contracts  and the process for each  that must be followed:

Student Placement /Student Project Non-Disclosure Agreements

Material Transfer Agreements

Restricted Non-Disclosure Agreement for use as a confidentiality agreement for research transcription services. - For staff use only

Please note that the University’s standard NDA is used on a self-service basis.  Please complete the highlighted sections (restricted access) and then have it signed by both parties.  For Northumbria, the acceptable signatories are the Head of Department,  Faculty Business Manager, deputy Faculty Pro Vice Chancellor or Faculty Pro Vice Chancellor.  Once you have a fully signed agreement please email legal services at vc.legal.services@northumbria.ac.uk, providing details of the transcription services used and for which project, and attach a final executed copy of the agreement to the email.

Confidentiality Agreement Template

Disclosure and Barring Service (DBS) and Safeguarding

General Data Protection Regulations

Misconduct in Research: Policy and Procedure (accessible to Northumbria staff only) 

Public Interest Disclosure ('Whistleblowing') Policy

Research Data Management Policy

Risk Assessment

Safeguarding

Annual Research Integrity Statement (PDF)

To find out what types of research require approval from outside the University, please visit our new page:Research which requires External Approvals

Details of Ethics Training can be accessed here.