Research ethics: A brief overview
By
Prof Richard Lance Keeble,
University of Lincoln
with some additions by
Dr Catherine Burge
Overview
Why ethics?
 Ethical principles
 Gaining ethical approval
 How to handle ethical questions in your
research plan and thesis
 Workshop activities

Why Ethics?
Research at the University of Lincoln must
have ethical approval to take place
 In some areas, dual body approval is
needed, such as the NHS (for university
research taking place in hospitals)
 It is the researcher/research student’s
responsibility to seek ethical approval

Efficks – or ethics?
Ethics involves fundamental issues of human
experience, and:
 reflective practice by the researcher
 consideration of good and bad
 integrity
 professionalism (codes of conduct: eg NUJ, PCC;
Ofcom)
 freedom of expression
 human rights
 standards of research practice
 requirement of funding bodies and university
Moral Principles

Autonomy – respecting the rights of participants
(individually)

Beneficence – the principle of doing good, of research
having a positive benefit
Non-maleficance – the principle of do no harm
 Justice – acting fairly and equitably (groups)

To be ‘flawed’, or ‘saint’…?

Beauchamp and Childress assert:

“there is a continuum running from strict
obligations (…) through weaker obligations (…) on
to the domain of the morally non-required and
exceptionally virtuous” p.49
Obligation
Beyond Obligation
Moral Researcher/Virtuous Philosopher?
Moral Principle
Corresponding Virtue
Respect
Nonmaleficence
Beneficence
Justice
Respectfulness
Nonmalevolence
Benevolence
Justice/Fairness
Moral Rule
Veracity
Confidentiality
Privacy
Fidelity
Corresponding Virtue
Truthfulness
Confidentiality
Respect for Privacy
Faithfulness
Ideal in action
Exceptional Forgiveness
Exceptional Generosity
Exceptional Compassion
Exceptional Kindness
Ideal as virtue
Exceptional Forgiveness
Exceptional Generosity
Exceptional Compassion
Exceptional Kindness
*From Beauchamp and Childress, 2009, pp. 45-6
Informed consent
Main issues arise in interviews, questionnaires, focus
groups, performance/participation events, case studies

Always seek informed consent, never surprise or shock
subjects: participants should be informed of:
---Content of research
---Purpose of research
---Public outcome of research: Where will the research
be published
---Their right to withdraw

Only propose children as subjects if you have the
consent of their carers: likewise with the mentally or
socially vulnerable, and those with learning needs.
Children also have rights: they should be asked…
Never show people potentially dangerous, trauma
provoking or pornographic material

Respect for privacy
 Always
safeguard confidential
information: respect privacy
 Anonymity should be respected if
appropriate
 Subterfuge is only acceptable as a
last resort ‘in the public interest’
Ethical principles for text-based
research projects
Non-falsification of data. Data should not be
fabricated, altered or discarded. Results from
questionnaires should be made available.
 Attribute your sources: non plagiarism… non
intellectual property theft…
 Demonstrate consideration of research methods and
tools of data collection:
---DON’T use illegal data sources
 ‘Fair’ distribution of sources in sampling: sample
should not be chosen simply to support an overall
argument, or for your ease…

More library/desk principles:


Conflict of interest: declare personal or
commercial influence, and take all measures to
ensure results are presented without distortion
Beneficence: maximise possible benefit, minimise
possible harm, examine the design of the
research… a few alterations to activities or
parameters might affect the benefit/harm balance
And…
Professional codes/regulations, need to be
met as well as UoL benchmarks
 Personal privacy: Anonymity is not a bad
rule… With personal data: protect it,
discuss the effects of publication,
dissemination, publicity, if a participant
waives anonymity

University framework for research
ethics




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Discuss ethics with supervisor
Complete appropriate ethical approval form (EA1,
EA2, EA3) – submitted alongside GS3 proposal
and training needs analysis to College committee
Form is considered by - representatives from all
schools plus one lay member
Committee reports go to College Board of Studies
Appeals go to University Research Ethics
Committee
College reports to university Research Ethics
Committee
EA1 or EA2




Either EA1 (desk-based) or EA2 should be
submitted duly filled out along with proposal.
These will be considered by College research
ethics sub committee: EA1 “received”; EA2
or EA3 “approved”
If you change topic, or introduce a new case
study, experiment or research method:
You have to submit a new EA form
The EA form has to be submitted along with
the final thesis
Example: EA2
1) Informed consent:
Participants should give their consent to be involved
in the study. This extends to but is not exhaustive
to – the purpose, content and outcome of the
research. Formal consent will be obtained through
the completion of a consent form sent to the
participants along with a letter confirming the
details of the focus group
So think ahead : will you publish this study in due
course? – Will you need to re-contact participants?

2) Privacy and confidentiality

To ensure their privacy is maintained I shall over the
course of my correspondence with members of the focus
group stress that the study is confidential and anything said
will be taken on that basis. During the focus group
participants will be addressed only by their first names to
maintain the sense of anonymity and will be indicated by a
pseudonym in the actual study. Any confidential
information about the participants (eg age, address,
telephone number) will be held only by myself and
destroyed once the research exercise has been concluded
3) The right to withdraw

Under the pressure of the focus group
environment participants may disclose
information they otherwise would not.
Therefore they will be given the option to
withdraw any comments or entirely from
the study at any time (and up to one month
after the completion of the study).
4) Protecting the vulnerable

Every effort will be made to select those
who appear mentally fit and healthy to
participate in the focus group. However, if a
participant appears to become distressed
during the course of the focus group they
will not be pushed to continue and asked if
they wish to withdraw
5) Fair selection

The screening of the participants will also
extend to the selection of the sample to
ensure as far as possible a fair and balanced
argument is attained
6) Risk assessment

I do not expect the research to create any
risk or adverse effects for the researcher or
any of the participants
Handling research ethics in the thesis


Issues should be covered in the
methodology section.
Research ethics texts should be quoted eg.
Chapter 3 of Wimmer, Roger D. and
Dominick, Joseph R. (2003) Mass media
research: An introduction, Belmont, CA:
Wadsworth, seventh edition
Hart, Chris (2005) Doing your masters
dissertation, London: Sage
Stokes, Jane (2003) How to do media and
cultural studies, London: Sage

Before people are interviewed or are
invited to answer questionnaire (via
surveymonkey; or emailed set of questions)
all these ethical aspects should be
explained.
Check UoL Resources
The Psychology Department has
a good, clear webpage:
http://www.lincoln.ac.uk/home/psych
ology/research/ethics/
Further web resources

The BPS ethics webpage for researchers

http://www.bps.org.uk/the-society/code-of-conduct/support-forresearchers_home.cfm

The ESRC Research Ethics Framework

http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx

The 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
Watson (Ed.)1985
 ‘The Ethical Journalist’,Tony Harcup 2007
 ‘Animal Ethics’, Garner 2005
 ‘Principals of Bio-medical ethics’,
Beauchamp and Childress, 2009
 ‘Ethics’ or ‘Practical Ethics’, Peter Singer
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Conclusion
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Ethics are at the heart of the research
endeavour in all subjects
Thinking ethics is a good thing,
worrying about lack of perfection, is
not…
Read around your field – there are
some great books to take you through
this
Remember the importance of the
questioning: Socratic/Foucauldian
approach
Put yourself in someone else’s
shoes…