Research Ethics Simplified

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Research Ethics Simplified

• A checklist
• Explaining the checklist
• Making ethical research happen

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Why research ethics?

• Aim at good ethics in everything we do
• Research often involves human beings, to whom
  duties are owed
• need to understand what and how
• may also result in technical improvement
• Increasing formal scrutiny
• have to be able to show that ethical review has
  taken place

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In PBS research?

• Unlike some subject disciplines, PBS research
  usually involves no physical risk for
  participants
• But potential for (inadvertent) harm still exists
• Ethical research deliberately minimises the risk
  of harm, by thinking about possible outcomes
  during research design

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Purpose of today

• Not to lecture you about research ethics
• but rather to explain how you can help
  inexperienced researchers avoid unforeseen
  problems

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ETHICAL REVIEW FOR NON-NHS RESEARCH IN PBS
New PhD proposals
UEC
PBS REC
External funding bids
PBS staff research (no external funding)
HoD/ Prof
(appeals etc)
PG/UG student research
Supervisor
(appeals etc)
NHS research must follow the NHS/LREC ethical
review process
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Supervisor role

• Supervision includes the process through which an
  ethical assessment of the proposed research is
  produced and signed off
• Some discussion and amendment likely to be
  necessary
• Agreement must be reached before data collection
  begins
• Key document
• Must be kept by supervisors until after UAB

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useless is not harmless

• Research mostly a bad deal for respondents they
  give time and effort and get nothing back.
• Research designs that offer no chance of meeting
  the objectives of the research are a waste of
  respondent time
• and thus basically unethical

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What are the main concerns?

• Well-being and privacy of respondents
• Well-being of the researcher(s)
• Integrity of the research
• Compliance with other University policies
• Reputational issues

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1. Respondents

• Informed consent
• understands whats involved
• knows what will be done with the data
• can freely choose to take part or not
• Confidentiality anonymity
• whether or not assurances given
• n.b. data protection implications
• Risk of other disadvantage or harm
• distress, embarrassment, loss

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2. Researchers

• Some respondents or data collection environments
  may pose risks to the researcher (or other data
  gatherers)
• Aim is not zero risk, but rather a plan that
  foresees possible risks and provides a means of
  managing those risks

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3. Integrity of Research

• Research should be designed to meet clear
  objectives honestly
• Should not be subject to undue or improper
  influences
• including conflicts of interest
• or falsified, or contain plagiarised material,
  or presented in ways that are designed to mislead

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4. Compliance with codes, policies etc

• Some specialised University codes and policies
  directly relevant to the ethics of research
  design, e.g.
• Data protection
• Information protection
• Ethics
• Health and Safety
• n.b. also other codes relevant to the researcher

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5. Reputational issues

• Legitimate concern in University-supervised
  research damage to reputation may have adverse
  effects across the whole institution
• Essential to think through in advance
• especially where researchers are relatively
  inexperienced (e.g. student dissertations)

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ESRC Research Ethics Principles

• Research should be designed, reviewed and
  undertaken in a way that ensures its integrity
  and quality
• Research staff and subjects must be informed
  fully about the purpose, methods and intended
  possible uses of the research, what their
  participation in the research entails and what
  risks, if any, are involved. Some variation is
  allowed in very specific and exceptional research
  contexts
• The confidentiality of information supplied by
  research subjects and the anonymity of
  respondents must be respected.
• Research participants must participate in a
  voluntary way, free from any coercion.
• Harm to research participants must be avoided.
• The independence and impartiality of researchers
  must be clear, and any conflicts of interest or
  partiality must be explicit.

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Ethical review the process

• Students are allocated to supervisors on the
  basis of initial research proposal
• Ethical review must take place BEFORE any primary
  data collection takes place
• Student completes detailed form on proposed
  activities and discusses with supervisor
• Outcome of discussion is sign-off from supervisor
  (possibly after amendment) both students and
  supervisors retain copies
• Researcher remains responsible for what is
  actually done

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Ethical review the process

• Possibility of appeal to PBS Research Ethics
  Committee if supervisor and student unable to
  agree
• Copy of signed ethics review form to be handed in
  with dissertation
• Or dissertation will be referred (eventual mark
  capped at 40)
• Implications for placement-based data collection
• Must identify and contact supervisor before data
  collection begins

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Possible problems...

• ESRC guidance possible indicators of more than
  minimal risk
• Vulnerable groups
• Sensitive topics
• Access via gatekeepers
• Research designs involving deception
• Access to confidential personal data
• Psychological stress, anxiety or humiliation
• Intrusive interventions
• If in doubt, refer proposal to FREC

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Vulnerable groups?

• Includes
• Children and young people
• Those with a learning disability or cognitive
  impairment
• individuals in a dependent or unequal
  relationship (ESRC)
• Elderly people

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NHS research

• Any research involving NHS patients or staff
• Subject to detailed and time-consuming NHS LREC
  approval process (www.corec.org.uk)
• Also applies to research for student dissertations

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Timescales

• Aim to introduce new requirements for all
  dissertations to be handed in from 2006/7 onwards
• Implications for
• Content and timing of research methods units
• Content of dissertation guides
• Supervision from now onwards

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Conclusions

• PBS ethics review system designed to
• Make sure that students benefit from supervisor
  experience (avoiding trouble and doing better
  work)
• Ensure acceptable ethical standards for the
  University without undue bureaucracy
• Ethical review responsibility mainly devolved to
  supervisors
• But auditable records of the process must be kept

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References

• www.corec.org.uk
• www.esrc.ac.uk