Research ethics: A brief overview

By By

Prof Richard Lance Keeble,Prof Richard Lance Keeble,

University of LincolnUniversity of Lincoln

with some additions by with some additions by Dr Catherine BurgeDr Catherine Burge

Overview

Why ethics? Why ethics? Ethical principlesEthical principles Gaining ethical approvalGaining ethical approval How to handle ethical questions in your How to handle ethical questions in your

research plan and thesisresearch plan and thesis Workshop activitiesWorkshop activities

Why Ethics?

Research at the University of Lincoln Research at the University of Lincoln must must have ethical approval to take placehave ethical approval to take place

In some areas, dual body approval is In some areas, dual body approval is needed, such as the NHS (for university needed, such as the NHS (for university research taking place in hospitals)research taking place in hospitals)

It is the researcher/research student’s It is the researcher/research student’s responsibility to seek ethical approvalresponsibility to seek ethical approval

Efficks – or ethics?

Ethics involves fundamental issues of human Ethics involves fundamental issues of human experience, and:experience, and:

reflective practice by the researcherreflective practice by the researcher consideration of good and badconsideration of good and bad integrity integrity professionalism (codes of conduct: eg NUJ, PCC; professionalism (codes of conduct: eg NUJ, PCC;

Ofcom)Ofcom) freedom of expressionfreedom of expression human rights human rights standards of research practice standards of research practice requirement of funding bodies and universityrequirement of funding bodies and university

Moral Principles

Autonomy Autonomy – respecting the rights of – respecting the rights of participants (individually)participants (individually)

Beneficence Beneficence – the principle of doing – the principle of doing good, of research having a positive good, of research having a positive benefit benefit

Non-maleficance Non-maleficance – the principle of – the principle of do no harmdo no harm

Justice Justice – acting fairly and equitably – acting fairly and equitably (groups)(groups)

To be ‘flawed’, or ‘saint’…?

Beauchamp and Childress assert:Beauchamp and Childress assert: ““there is a continuum running from there is a continuum running from

strict obligations (…) through weaker strict obligations (…) through weaker obligations (…) on to the domain of the obligations (…) on to the domain of the morally non-required and exceptionally morally non-required and exceptionally virtuous” p.49virtuous” p.49

Obligation Beyond Obligation

Moral Researcher/Virtuous Philosopher?Moral Principle

RespectNonmaleficenceBeneficenceJustice

Moral RuleVeracityConfidentialityPrivacyFidelity

Ideal in actionExceptional ForgivenessExceptional GenerosityExceptional CompassionExceptional Kindness

*From Beauchamp and Childress, 2009, pp. 45-6

Corresponding Virtue

RespectfulnessNonmalevolenceBenevolenceJustice/Fairness

Corresponding VirtueTruthfulnessConfidentialityRespect for PrivacyFaithfulness

Ideal as virtueExceptional ForgivenessExceptional GenerosityExceptional CompassionExceptional Kindness

Informed consentMain issues arise in interviews, questionnaires, focus groups, Main issues arise in interviews, questionnaires, focus groups,

performance/participation events, case studiesperformance/participation events, case studies

Always seek informed consent, never surprise or shock Always seek informed consent, never surprise or shock subjects: participants should be informed of:subjects: participants should be informed of:---Content of research---Content of research---Purpose of research---Purpose of research---Public outcome of research: Where will the research be ---Public outcome of research: Where will the research be publishedpublished---Their right to withdraw---Their right to withdraw

Only propose children as subjects if you have the consent Only propose children as subjects if you have the consent

of their carers: likewise with the mentally or socially of their carers: likewise with the mentally or socially vulnerable, and those with learning needs. Children also vulnerable, and those with learning needs. Children also have rights: they should be asked…have rights: they should be asked…

Never show people potentially dangerous, trauma Never show people potentially dangerous, trauma provoking or pornographic materialprovoking or pornographic material

Respect for privacy

Always safeguard confidential Always safeguard confidential information: respect privacyinformation: respect privacy

Anonymity should be respected if Anonymity should be respected if appropriate appropriate

Subterfuge is only acceptable as a Subterfuge is only acceptable as a last resort ‘in the public interest’last resort ‘in the public interest’

Ethical principles for text-based research projects Non-falsification of data. Data should not be Non-falsification of data. Data should not be

fabricated, altered or discarded. Results from fabricated, altered or discarded. Results from questionnaires should be made available.questionnaires should be made available.

Attribute your sources: non plagiarism… non Attribute your sources: non plagiarism… non intellectual property theft…intellectual property theft…

Demonstrate consideration of research methods and Demonstrate consideration of research methods and tools of data collection:tools of data collection:

---DON’T use illegal data sources---DON’T use illegal data sources ‘‘Fair’ distribution of sources in sampling: sample Fair’ distribution of sources in sampling: sample

should not be chosen simply to support an overall should not be chosen simply to support an overall argument, or for your ease…argument, or for your ease…

More library/desk principles:

Conflict of interest: declare personal or Conflict of interest: declare personal or commercial influence, and take all measures to commercial influence, and take all measures to ensure results are presented without distortionensure results are presented without distortion

Beneficence: maximise possible benefit, minimise Beneficence: maximise possible benefit, minimise possible harm, examine the design of the possible harm, examine the design of the research… a few alterations to activities or research… a few alterations to activities or parameters might affect the benefit/harm balanceparameters might affect the benefit/harm balance

And…

Professional codes/regulations, need to be Professional codes/regulations, need to be met as well as UoL benchmarksmet as well as UoL benchmarks

Personal privacy: Anonymity is not a bad Personal privacy: Anonymity is not a bad rule… With personal data: protect it, rule… With personal data: protect it, discuss the effects of publication, discuss the effects of publication, dissemination, publicity, if a participant dissemination, publicity, if a participant waives anonymitywaives anonymity

University framework for research ethics Discuss ethics with supervisorDiscuss ethics with supervisor Complete appropriate ethical approval form (EA1, Complete appropriate ethical approval form (EA1,

EA2, EA3) – submitted alongside GS3 proposal and EA2, EA3) – submitted alongside GS3 proposal and training needs analysis to College committeetraining needs analysis to College committee

Form is considered by - representatives from all Form is considered by - representatives from all schools plus one lay memberschools plus one lay member

Committee reports go to College Board of StudiesCommittee reports go to College Board of Studies Appeals go to University Research Ethics CommitteeAppeals go to University Research Ethics Committee College reports to university Research Ethics College reports to university Research Ethics

CommitteeCommittee

EA1 or EA2

Either EA1 (desk-based) or EA2 should be Either EA1 (desk-based) or EA2 should be submitted duly filled out along with proposal. submitted duly filled out along with proposal.

These will be considered by College research These will be considered by College research ethics sub committee: EA1 “received”; EA2 ethics sub committee: EA1 “received”; EA2 or EA3 “approved”or EA3 “approved”

If you change topic, or introduce a new case If you change topic, or introduce a new case study, experiment or research method:study, experiment or research method:You have to submit a new EA formYou have to submit a new EA form

The EA form has to be submitted along with The EA form has to be submitted along with the final thesisthe final thesis

Example: EA2 1) Informed consent:1) Informed consent:

Participants should give their consent to be involved in Participants should give their consent to be involved in the study. This extends to but is not exhaustive to – the study. This extends to but is not exhaustive to – the purpose, content and outcome of the research. the purpose, content and outcome of the research. Formal consent will be obtained through the Formal consent will be obtained through the completion of a consent form sent to the participants completion of a consent form sent to the participants along with a letter confirming the details of the focus along with a letter confirming the details of the focus groupgroup

So think ahead : will you publish this study in due So think ahead : will you publish this study in due course? – Will you need to re-contact participants?course? – Will you need to re-contact participants?

2) Privacy and confidentiality

To ensure their privacy is maintained I shall over the To ensure their privacy is maintained I shall over the course of my correspondence with members of the focus course of my correspondence with members of the focus group stress that the study is confidential and anything said group stress that the study is confidential and anything said will be taken on that basis. During the focus group will be taken on that basis. During the focus group participants will be addressed only by their first names to participants will be addressed only by their first names to maintain the sense of anonymity and will be indicated by a maintain the sense of anonymity and will be indicated by a pseudonym in the actual study. Any confidential pseudonym in the actual study. Any confidential information about the participants (eg age, address, information about the participants (eg age, address, telephone number) will be held only by myself and telephone number) will be held only by myself and destroyed once the research exercise has been concludeddestroyed once the research exercise has been concluded

3) The right to withdraw

Under the pressure of the focus group Under the pressure of the focus group environment participants may disclose environment participants may disclose information they otherwise would not. information they otherwise would not. Therefore they will be given the option to Therefore they will be given the option to withdraw any comments or entirely from withdraw any comments or entirely from the study at any time (and up to one month the study at any time (and up to one month after the completion of the study).after the completion of the study).

4) Protecting the vulnerable

Every effort will be made to select those Every effort will be made to select those who appear mentally fit and healthy to who appear mentally fit and healthy to participate in the focus group. However, if a participate in the focus group. However, if a participant appears to become distressed participant appears to become distressed during the course of the focus group they during the course of the focus group they will not be pushed to continue and asked if will not be pushed to continue and asked if they wish to withdrawthey wish to withdraw

5) Fair selection

The screening of the participants will also The screening of the participants will also extend to the selection of the sample to extend to the selection of the sample to ensure as far as possible a fair and balanced ensure as far as possible a fair and balanced argument is attainedargument is attained

6) Risk assessment

I do not expect the research to create any I do not expect the research to create any risk or adverse effects for the researcher or risk or adverse effects for the researcher or any of the participantsany of the participants

Handling research ethics in the thesis

Issues should be covered in the Issues should be covered in the methodology section. methodology section.

Research ethics texts should be quoted eg. Research ethics texts should be quoted eg. Chapter 3 of Wimmer, Roger D. and Chapter 3 of Wimmer, Roger D. and Dominick, Joseph R. (2003) Dominick, Joseph R. (2003) Mass media Mass media research: An introductionresearch: An introduction, Belmont, CA: , Belmont, CA: Wadsworth, seventh editionWadsworth, seventh editionHart, Chris (2005) Hart, Chris (2005) Doing your masters Doing your masters dissertationdissertation, London: Sage , London: Sage Stokes, Jane (2003) Stokes, Jane (2003) How to do media and How to do media and cultural studiescultural studies, London: Sage, London: Sage

Before people are interviewed or are Before people are interviewed or are invited to answer questionnaire (via invited to answer questionnaire (via surveymonkey; or emailed set of questions) surveymonkey; or emailed set of questions) all these ethical aspects should be all these ethical aspects should be explained. explained.

Check UoL Resources

The Psychology Department has a good, clear webpage:

http://www.lincoln.ac.uk/home/http://www.lincoln.ac.uk/home/psychology/research/ethics/psychology/research/ethics/

Further web resources

The BPS ethics webpage for researchersThe BPS ethics webpage for researchers http://www.bps.org.uk/the-society/code-of-conduct/support-for-http://www.bps.org.uk/the-society/code-of-conduct/support-for-

researchers_home.cfmresearchers_home.cfm

The ESRC Research Ethics FrameworkThe ESRC Research Ethics Framework http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspxhttp://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx

The Medical Research Council ethics and guidance pagesThe Medical Research Council ethics and guidance pages http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx

Read more…

‘‘A Code of Ethics for Social Work’, David A Code of Ethics for Social Work’, David Watson (Ed.)1985Watson (Ed.)1985

‘‘The Ethical Journalist’,Tony Harcup 2007The Ethical Journalist’,Tony Harcup 2007 ‘‘Animal Ethics’, Garner 2005Animal Ethics’, Garner 2005 ‘‘Principals of Bio-medical ethics’, Principals of Bio-medical ethics’,

Beauchamp and Childress, 2009Beauchamp and Childress, 2009 ‘‘Ethics’ or ‘Practical Ethics’, Peter SingerEthics’ or ‘Practical Ethics’, Peter Singer

Conclusion Ethics are at the heart of the research Ethics are at the heart of the research

endeavour in all subjectsendeavour in all subjects Thinking ethics is a good thing, Thinking ethics is a good thing,

worrying about lack of perfection, is worrying about lack of perfection, is not…not…

Read around your field – there are Read around your field – there are some great books to take you through some great books to take you through thisthis

Remember the importance of the Remember the importance of the questioning: Socratic/Foucauldian questioning: Socratic/Foucauldian approachapproach

Put yourself in someone else’s Put yourself in someone else’s shoes…shoes…