School of History and Classics

SCHOOL OF HISTORY AND CLASSICS

ETHICS POLICY AND PROCEDURES

STATEMENT OF PRINCIPLES

The School embraces and endorses the highest principles in regard to Ethics. Its policy and procedures have been developed by the School Ethics Committee, which is linked to the School Research Committee, for use by staff and students so as to ensure that all research carried out in the name of the University of Edinburgh and the School of History and Classics is done to the highest ethical standards.

The School supports and endorses the statement of policy made by the Royal Historical Society in regard to Ethics. On this basis, it expects staff and students to observe the higheststandards in the conduct of their research, teaching and administration. Historians work not only within national laws but within the regulations of institutions, such as archives and libraries, where they undertake research. They also work within the remit of a teaching institution which has well developed regulations concerning plagiarism.The School, like the Society, recognizes the need for academic freedom of speech and writing.

The maintenance of high professional standards involves:

behaving with integrity
being acquainted with best practice in the use of evidence, both written and oral.
taking particular care when evidence is produced by those still living, when the anonymity of individuals is required and when research concerns those still living
observing the ethical and legal requirements of repositories which they use
maintaining an awareness of conservation issues concerning the materials which they use and produce
eschewing plagiarism, fabrication, falsification and deception in proposing, carrying out and reporting the results of research
giving due and appropriate acknowledgement of assistance received
reporting any conflict of interest in formal assessment or evaluation
observing fairness and equity in the conduct of research, teaching and administration
representing credentials accurately and honestly

ETHICS PROCEDURES

1.Remit of School Ethics Committee

The Ethics Committee of the School of History and Classics is responsible for ensuring that ethics procedures are adopted, implemented and regularly reviewed within the School.

The Committee will consider and advise on research proposals in which issues of concern arise in the areas of Human Subjects, Risks and Safety, Legal Requirements and Data Protection.

The Committee will consider such proposals made by members of staff of the School of History and Classics. Research proposals made jointly with outside researchers or bodies will be subject to the ethics policy and procedures of the lead researcher or body.

The School Ethics Committee will not advise on:

Undergraduate student projects: these should be audited by Course Organisers following the principles laid down in the School Ethics Policy. These may not be self-audited by students

Postgraduate student projects: these should be audited by the student in conjunction with Supervisors following the principles laid down in the School Ethics Policy. These may not be self-audited by students.

Staff research proposals which do not have any issues arising in the categories of human subjects, risks and safety, legal requirements, and data protection.

The Committee will review on an annual basis the Ethics Policy and Procedures of the School of History and Classics.

2.Procedures

Members of staff should follow a practice of self-audit by scrutinising the research proposal using the Ethics Checklist (below), checking for any issues arising in each category. The completed self-audit form should be lodged with the Secretary of the Ethics Committee.

If there are any such issues, how can the research be redesigned?

If issues continue to be present in the redesigned proposal, the research proposal should in the first instance be referred, with an explanation of the areas of concern, to scrutiny at subject area level. If issues cannot be resolved at subject area level, the proposal should then be referred to the School Ethics Committee, which will advise at that stage.

General advice is available from the Research office of the School and from the ERI website at

Details of the College's Ethics Policy can be found at:

3.Ethics Checklist for Human Subjects Research

(a)Research Methods

How many participants is it intended to include in the research?

What criteria will be used in deciding on the inclusion and exclusion of participants in the study?

How will the sample be recruited?

Will written consent be obtained from all participants?

Will any participants receive any financial or other material benefits because of their participation?

Are any of the participants likely to be vulnerable or sensitive to questioning, such as elderly or disabled people?

Are any children under 16 years of age to be interviewed, complete questionnaires or otherwise participate in the research?

Will any of the participants be interviewed in situations that will compromise their ability to give informed consent, such as in prison or residential care?

Could this research adversely affect participants in any way?

(b) Risks and Safety

Could the research induce any psychological stress or discomfort?

Does the research require any physically invasive or potentially physically harmful procedures?

Have you any reason to believe that the student or researcher under your supervision does not have the ability/training to conduct the research in a proper manner?

Are students or researchers to be sent or likely to go to areas where their safety cannot be assured?

(c)Legal Requirements

In the case of participants whose first language is not English, will arrangements be made to ensure informed consent?

(d) Data Protection

Will the research require the collection of personal information from any persons without their direct consent?

Will any part of the research involving participants be audio/film/video recorded or will it use any other electronic material?

Who will have access to the raw data?

How will the confidentiality of data, including the identity of participants, be ensured?

Specify where the data and any other media will be retained after the study, how long will they be retained and how will they be disposed of?

How do you intend for the results of the research to be used?

Will feedback of findings be given to participants?

Is any information likely to be passed on to external companies or organisations in the course of the research?

SCHOOL OF HISTORY AND CLASSICS

ETHICS STATEMENT

I confirm that none of the above issues/the following issues* arise in my research proposal: *delete as appropriate

Name and Position:…………………………………………………………………………………….

Research Proposal Title:………………………………………………………………..

…………………………………………………………………………………….

Funding Body:…………………………………………………………………….……

Date:…………………………………………………………………………………….

Issues if applicable: …………………………………………………………………………

…………………………………………………………………………………………..

Signature: ……………………………………………………………………………………..

29/11/04