Guide to Research Ethics Codes of Conduct
FBL Faculty Research Ethics Committee
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(CONTENTS)
INTRODUCTION: Codes of and Guidelines for Ethical Research Conduct
SECTION A - Key Codes of Ethical Research Conduct
SECTION B - Which codes to use? Rules of thumb
SECTION C - Research Process Topics and Guidelines Sources
SECTION D - Codes not included in Sections A, B or C which might yield further guidance
SECTION E - The MRS - additional useful guidelines and sources
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INTRODUCTION: Codes of and Guidelines for Ethical Research Conduct
One generally agreed principle for ethical research across the codes is that research should strive not to adversely affect those involved. This includes
psychological or physical harm to the people we interview or observe, harm to the researchers and co-workers involved, reputational or economic harm to
the client (if there is one) or the funder (if there is one) or professional bodies or to the educational institute, faculty and award (if a student). Finally it
should not adversely affect society, for instance, unethical research that misleads and so adversely affects policy formulation.
Before planning any research it is vital you are aware of and understand the relevant codes of ethical research conduct and, using these, identify potential
risks and costs (psychological, physical and reputational) to any of the stakeholders mentioned above.
To help we provide a list of codes and their internet links (Section A), a rule of thumb guide as to which Code to use (Section B) and a topic guide (Section C)
that indicates where you will find some of the most relevant parts of each Code. Sections D and E provide other codes and guidelines that may fill some
gaps or specialist needs.
Of course, you should also conform to national and international law and check for local codes outside of the UK. The Market Research Society Code which
was developed for social and marketing research lists some national codes in its Appendix and these may alert you to research ethics issues specific to a
country. Links to codes for Australia, Canada, Germany, Italy, Japan and the USA are given.
IMPORTANT: If you wish to state that you are acting in accordance with a particular Code but you or you and your co-researchers on a project are not
members of that professional body (e.g. the Market Research Society) you must make this clear so that readers are not misled and assume that you are
under the “jurisdiction” of a research standards board or research tribunal which would punish breaches of its code. In such situations the following
wording should be used:
"Whilst not a Member of the (insert professional body’s name) I/we acted in accordance with its Code of (insert professional body’s name)."
Obviously you can cite more than one code if that is appropriate.
The various codes below have much in common but do offer additional guidelines in areas of common practice within their discipline and these additional
guidelines may on occasions be relevant to other disciplines such as yours.
Of course some Codes are more demanding than others in certain areas, for instance research on children. Using the guide in Section C you should check
the codes on all relevant activities in your research plan and consider following the most demanding guidelines. If you wish to deviate from this then you
should seek advice from your supervisor or, if you are a member of staff, from FRESC.
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Finally, one should note these comments about codes:
Association of Social Anthropologists: Codes of practice and guidelines are of necessity succinct documents, couched in abstract and general
terms. They serve as a baseline for starting to think about ethical issues, but cannot of their nature encompass the complexities of concrete
situations and the dilemmas of choice and positioning that anthropologists routinely face as they navigate through a variety of intersecting
fields of power and responsibility and start to consider how their own work both reflects and affects power relations. If ethics is seen simply as a
question of avoiding a lawsuit and our codes are simply a list of restrictions on conduct designed to protect us from interference, our ethical
purpose will simply be a matter of self-serving professional interest. (March 1999)
The British Sociological Association The statement (of ethical practice) does not, therefore, provide a set of recipes for resolving ethical
choices or dilemmas, but recognises that it will be necessary to make such choices on the basis of principles and values, and the (often
conflicting) interests of those involved. (March 2002)
The British Psychological Society Moral principles and the codes which spell out their applications can only be guidelines for thinking about
the decisions individuals need to make in specific cases. Variable factors are involved such as the particular circumstances, the prevailing law,
the cultural context,
the likely consequences and the feelings colouring the judgement. However, if moral judgments are to retain some
objectivity, that is if they can be judged to be right or wrong, they must be based on rational principles which serve as criteria.
Reason by itself cannot give positive guidance but only command consistency in action which also means impartiality.
Reason functions like the rules of logic, which do not tell us what to think but help our thinking to conform to rational
principles. One example of a rational principle would be ‘Do unto others as you would be done by’. Immanuel Kant gave
expression to this in his Categorical Imperative: ‘Act on such maxims as you could will to become universal law’. Our capacity
to act on rational moral principles bestows on us the dignity of free moral agents and this leads to a further formulation of the
Categorical Imperative: ‘Treat humanity in your own person and that of others always as an end and never only as a means’. This
position forms the basis of the code. (August 2009)
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SECTION A Key Codes of Ethical Research Conduct
Code
British Sociological
Association
British Psychological
Society
BSA
Is there a
Membership?
Yes but no
tribunal to judge
members’
activities
YES
BPS
YES
Economic and Social
Research Council
ESCRC
Market Research
Society
MRS
YES
For researchers pitching for ESRC funds or
conducting ESRC funded research...
ESSENTIAL
For consumer, customer, business research
and social research. Very practical and useful
guidelines on special types of research (see
below)
Research Ethics
Guidebook
Research
Governance
Framework for
Health and Social
Care: Second edition
(April 2005) (* see
NOTE BELOW)
REG
NO
Social sciences
http://www.ethicsguidebook.ac.uk/
NHS
Project basis: all
NHS research
projects to be
submitted to
NRES for approval
The Research Governance Framework
outlines principles of good governance
that apply to all research within the remit
of the Secretary of State for Health.
Research governance is one
of the core standards for health care
organisations.
http://www.dh.gov.uk/en/Publicationsandsta
tistics/Publications/publicationsPolicyandGui
dance/DH_4108962
Social Research
Association
SRA
Association of Social
Anthropologists
Abbreviation
ASA
Applies on a
project basis
YES
Particularly valuable for...
Link
Anthropological and ethnographic studies;,
longitudinal studies on the same people
http://www.theasa.org/ethics/guidelines.htm
For studies on communities and societies.
http://www.britsoc.co.uk/equality/Statemen
t+Ethical+Practice.htm
http://www.bps.org.uk/document-downloadarea/documentdownload$.cfm?file_uuid=E6917759-9799434A-F313-9C35698E1864&ext=pdf
http://www.esrcsocietytoday.ac.uk/ESRCInfo
Centre/Images/ESRC_Re_Ethics_Frame_tcm6
-11291.pdf
www.mrs.org.uk
For research focussing on an individual as a
case or, if several individuals, as cases.
Some useful observations for all researchers
of human behaviour
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And
http://rbi.uwe.ac.uk/internet/Research/ResG
ov/HSCres.asp
http://www.thesra.org.uk/documents/pdfs/ethics03.pdf
*NOTE: Research Governance Framework for Health and Social Care: Second edition (April 2005)
All types of research are included, and research is defined as 'the attempt to derive generalisable new knowledge by addressing clearly defined
questions with systematic and rigorous methods'.
In relation to the NHS, Research Governance covers research involving patients, service users, care professionals or volunteers, or their organs,
tissue, data or other body material of patients deceased or alive. This is very wide ranging and means that its coverage includes:






all research involving NHS staff or patients, service users, care professionals or volunteers of the NHS
all methodologies including focus groups, observational studies and action research where this involves those mentioned above or their
organs, tissue, data or other body material of patients deceased or alive.
student research (undergraduate and postgraduate research dissertations as well as doctoral students) as well as research by staff
all research using NHS premises or resources
research based in a social care environment
any human participant research in an NHS context by any Faculty of UWE and not just relevant research in Life Sciences and Health and
Social Care
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SECTION B - Which codes to use? Rules of thumb
Each code offers something distinct and potentially of additional value. A “key word” search through each code may be advisable. However, to
understand the implications of specific “rules” in a code, one needs to read the full code to appreciate the context. Below we present some suggested
ways of identifying relevant codes, but there may be a case for trawling all of them.
A) Funder
ESRC proposals and projects
NHS (health/social care), Other bodies or organisations that involve
any of the features on the previous page
Other
B) Subject area
Accounting and finance (as Marketing/business below?)
Economics
Health and social care
HRM, employee research, organisational research
Law
Marketing, customer and consumer research. Strategy, operations
and business practice research.
C) Drilling down
Society/ communities/social groups
Surveys of/ research on
populations of individuals/organisations within a society/societies in
aggregate (e.g. cyclists, consumers of X, motor manufacturers, civil
ESCRC Framework, REG and SRA (and other codes depending on subject area)
The Research Governance Framework, REG and other codes depending on
subject area
That funder’s code, ESRC, REG
Organisations or individuals in aggregate (MRS and SRA)
Individuals or organisations as individual case studies (BPS)
Organisations or individuals in aggregate : (MRS and SRA)
Individuals or organisations as individual case studies BPS
(NHS The Research Governance Framework, REG, SRA)
Assessing individuals, counselling individuals (BPS)
Organisations or individuals in aggregate : (BSA, MRS,REG and SRA)
A communities and society focus (ASA, REG, BSA)
Anthropological and ethnographic (ASA, REG, SRA)
Organisations or individuals in aggregate : (MRS);
Individuals or organisations as individual case studies (BPS)
The MRS and SRA
ASA, BSA, REG and SRA
MRS, SRA, REG
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service employees)
Client/case by case level analysis especially if the topic is sensitive.
BPS, REG and SRA
SECTION C Research Process Topics and Guidelines Sources
This is just to help indicate where important topics or issues are covered. It is not exhaustive and you should read the whole code to appreciate the
context of comments and guidelines. Note in this section respondents, research informants, research participants and subjects will all simply be referred
to as “respondents” for simplicity. You will need to scroll down because of the length of the list.
Topic
Issued:
Date last checked by
FRESC
ASA
March 1999
BPS
August 2009
BSA
March 2002
ESRC
-
August 2010
August 2010
August 2010
August 2010
MRS
April 2010
August 2010
REG
-
SRA
December
2003
August 2010
August 2010
Useful Definitions
RESPONSIBILITIES
The law of the land
including the Data
Protection Act (DPA) and
the Criminal Record
Bureau (CRB)
(for research with
children)
The assessment of risks
Identification of and
dealing with potential
conflicts of interest
Mandatory for
ESRC projects
Appendix C
P3 e,f,g
Section I (4)
I (7)
Page 7
6, 38
1.17
Appendix D
A1,B16
1.2.3
And Section 2
1.2.3
Good checklist
I (1) and (2)
2.2
6, 8
In the
Preamble and
II (2)
1.1
2
Re funders
clients etc.
A2, B3-B5
8
Permission and
approval (see
“topics” and “in
this section” on
right of screen
covering DPA,
CRB and more)
In “Writing your
Proposal” see
Topics list on
right (all three are
relevant)
Receiving
Fundings – topics
on right
Level B
(1) (3.4) (4.2)
(4.4) (4.7)
Level B
(1.2) (3.4) (4.3)
(4.4) (4.6) (4.7)
Level C (4)
Level B 1 and 2
(see risks
above too)
Responsibilities to
funders, employers,
sponsors, clients,
gatekeepers
and V
49-56
II
42-61
Responsibility to
respondents, informed
consent and recording.
(And notes on those who
may unfairly be excluded
– see SRA)
Section I
II (3c) (4c)
Responsibility to coresearchers
/co-workers, field
assistants and research
students
Responsibility to
colleagues & other
researchers in your area
Responsibility
to/relations with local
and own government
Method and fitness for
purpose
III
1.2 and
relevant to
exceptions
based on
safety/health
issues
3.3, 3.4
10-30 (note 23
on
transcripts),
34-39
A3
B6
See Permission
and Approval
topics on right
hand side of
screen
Level A (2 and
3)
Level B (2) and
(3d) and good
ethical practice
in general
Level C (2)
A3
& Section 2
(consent and
coercion pp2831)
B8-B13, B15,
B17-46
Note under B10
and see B12 on
re-interviewing
respondents
See both Building
Ethics into Your
Research and
Permission and
Approval and
Conducting your
research “Topics
and “In this
section”
A7
Level B (2.3) (3
for proxies) (4)
Level C (all of
4)
Good section
on not identify
nor be
identifiable
P39
Level B (3)
A9, B1
Level B (3)
40
III
IV
B3 and B14
7 and 40
A6, B3, B4 and
B14
9
Building ethics
into the research
design – see
Topics on right
Level B (1.3)
(2.2) (2.3) (3.3)
(4)
Useful checklists
1-6 and...
1.8 Research
Stages
Appendix A
pp33-37
In Writing your
Proposal see all
three Topics
Level C (4)
P4
1.17.5
Building ethics
into the research
design – see
Topics on right
and “In this
Section” re
literature
Level B (4.3c)
Building ethics
into the research
design – see
Topics on right
and “In this
Section” and see
Legal issues
above
Building ethics
into the research
design – see
Topics on right
and “In this
Section”
Building ethics
Level B (4.2)
(4.5)
TECHNICAL
Use of secondary
datasets and literature
Times of day for
approaching respondents
(UK)
Special samples e.g.
children, the elderly, the
infirm, captives
(students), overused
respondents and...
small populations
B20
1.3
Qualitative exercises (inc.
briefing respondents)
Observation( inc. mystery
29, 30
1.17.4
Section 2 P 30
10-30
Note 23
B27-B33
And Guidelines
(see Section E
below )
B34-B42 and
(see Section E
below )
1.2x
B43-B47 and
10
Level B (4a and
shopping and
ethnographic exercise)
see Section E
below
Covert research
31-33
Online/ Internet research
for data collection
41
P32 (useful
references)
International research
Using research
techniques for nonresearch purposes
ANALYSIS AND
REPORTING FINDINGS
including publicity and
publications
Dissemination of findings
See Section E
below
See Section E
below
Section 2 p32
Section III (3)
4
9, 20-24
4d)
See Reporting
and
dissemination
Level B (1.2)
Level B 4.3d
inc. Deception
B48
B49-B64
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into the research
design – see
Topics on right
and “In this
Section”
Building ethics
into the research
design – see
Topics on right
and “In this
Section”
Building ethics
into the research
design – see
Topics on right
and “In this
Section”
Building ethics
into the research
design – see
Topics on right
and “In this
Section”
DATA STORAGE
OTHER USEFUL
GUIDELINES (&
references)
Useful
references and
codes for
Canada,
Ireland, USA
and other
disciplines/
subject area
Other sources
of guidance
and references
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1.17
B62-B64
Search the site
Level B (4.6)
and Level C
Appendix D
Appended and
see guides
below in
Section E
See Related
Resources
Level C Very
useful
commentary
sources in the
literature on a
by topic
SECTION D Codes not included in Sections A, B or C which might yield further guidance
(Check if membership is relevant to how you refer to these codes in proposals and reports as noted in Section A)
Association of Internet Researchers
British Educational Research Association
British Society of Criminology
British Society of Gerontology
European Union (Respect code)
Royal Statistical Society
http://aoir.org/reports/ethics.pdf
http://www.bera.ac.uk/ethics-and-educational-research-2/
http://britsoccrim.org/ethical.htm
http://www.britishgerontology.org/index.asp?PageID=102
http://www.respectproject.org/standards/prof_conduct.pdf
http://www.rss.org.uk/pdf/Prof%20memb%20%20code%20of%20conduct%20new%20charter.pdf
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SECTION E The MRS - additional useful guidelines and sources
(Note: you can only ask questions of Codeline if you are a MRS Member)
Research in Town
Centres
Business to Business
Research
Research with
Children and Young
People
Research with
Employees
Data Protection Act
Free Prize Draw
Guidelines
Guidelines on the Use
of Incentives
Freedom of
Information Act
Internet Research
Mystery Shopping
Qualitative Research
Questionnaire Design
Testing food and drink
Privacy and Electronic
Communications
Regulations
Guidelines from other
organisations
http://www.mrs.org.uk/standards/downloads/revised/draft/Code%20of%20Practice%20for%20Conducting%20Mark
et%20Research%20in%20Town%20Centres.pdf
http://www.mrs.org.uk/standards/b2b.htm
http://www.mrs.org.uk/standards/children.htm
http://www.mrs.org.uk/standards/employee.htm
http://www.mrs.org.uk/standards/dp.htm
http://www.mrs.org.uk/standards/freeprize.htm
http://www.mrs.org.uk/standards/freeprize.htm
http://www.mrs.org.uk/standards/downloads/revised/legal/foi2006.pdf
http://www.mrs.org.uk/standards/internet.htm
http://www.mrs.org.uk/standards/fieldwork.htm#cust
http://www.mrs.org.uk/standards/qual.htm
http://www.mrs.org.uk/standards/quant.htm
http://www.mrs.org.uk/standards/downloads/food_drink_test_06.pdf
http://www.mrs.org.uk/standards/downloads/revised/active/Guidance%20Note%20on%20Spamming.pdf
http://www.mrs.org.uk/standards/other.htm
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