DEPARTMENT OF POLITICS AND INTERNATIONAL STUDIES
RESEARCH ETHICS PROCEDURES
The Department of Politics and International Studies (PAIS) is committed to
advancing and safeguarding the highest academic and ethical standards in all its
research activities. The fundamental principle of ethical research is that all researchers
must consider the implications of their research for the integrity and well-being of
participants involved in their research, the wider community, and for the researchers
themselves. Four particularly important principles of ethical research that guide PAIS
ethical research policy are the following:

Research should be designed so that it respects the anonymity of (and the
confidentiality of information supplied by) research subjects.

Research participants must be fully informed about the nature, purpose, uses and
potential risks of the research being conducted.

Research participants must not be coerced or deceived by the research process.

Research must not harm the participants in any way.
Departmental policy and procedure for the ethical scrutiny of all research is guided by
the following statements:

The University Guidelines on Ethical Practice:
http://www2.warwick.ac.uk/services/rss/apply_funding/ethics_governance/statem
ent/guidance

The Economic and Social Research Council’s Research Ethics Framework:
http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx
The Department’s policies and procedures on research ethics are detailed below in
relation both to staff and student:
1. Undergraduate research:
All undergraduate students undertaking research projects as a component of their
course of study (principally, dissertation students) receive training and instruction
regarding research ethics (through lectures, seminars and/or workshops) and are
required to complete an ethics form (see Form A, below). In each case, the
completion of this form involves a meeting with module tutors or dissertation
supervisors in order to identify any potential ethical problems raised by the project
prior to commencement of the study. These forms are then collated, further checked
and scrutinised by the module convenor/dissertation coordinator and held on file in
the Department.
These policies and procedures are further reviewed by the Director of Undergraduate
Studies and through the Teaching Quality Assurance (TQA) committee, where
appropriate.
2. Postgraduate students:
Similar policies and procedures to those described above are in place for postgraduate
student research. In addition to research ethics training through postgraduate research
methods modules, all research students are required to discuss the ethical implications
of their research with their supervisors and to complete a research ethics form after
they commence their research if deemed necessary by the head of Department. MA
students are also required to fill in a similar form if deemed necessary by their module
convenor and/or dissertation supervisor. Copies of forms for MA and doctoral
students can be are included at the end of this document (see Forms B and C below).
These forms are then signed by both parties, handed into the Department Graduate
Office, and held on file.
The ethical scrutiny of doctoral student research is further reviewed through: (i) the
doctoral upgrade review that requires students to discuss relevant ethical issues, and;
(ii) the annual progress review of all doctoral students in the Department where
students are asked to indicate how they are responding to any issues raised by upgrade
reviewers. These review mechanisms occur through the Department’s Teaching
Quality Assurance (TQA) and Research Committees; and monitored by the Director
of Research Degrees.
Problematic cases are referred to the PAIS Equal Opportunities Representative, who,
in conjunction with the Head of Department, may refer the case to the University’s
Humanities and Social Science Research Ethics Committee (HSSREC) for further
scrutiny.
3. Staff research:
As with all research conducted in PAIS, members of staff are guided in the conduct of
their research by the University’s Guidelines on Ethical Practice. In addition to the
discussion and review of research proposals through the Departmental mentoring
system and the signing off of research proposals by the Head of Department, the
primary institutional mechanisms for dealing with these ethical matters is via the
scrutiny and approval of successful research bids by the HSSREC; colleagues are
invited to direct queries about research ethics should be directed to the PAIS Research
Ethics Officer (currently: Ed Page)
It is expected that all academic staff are familiar with the following documents:
(a) The Department’s guidelines for the ethical conduct of research:
http://www2.warwick.ac.uk/fac/soc/pais/staff/page/administration/
(b) The University’s guidance on ethical conduct:
http://www2.warwick.ac.uk/services/rss/apply_funding/ethics_governance/statem
ent/guidance
4. Principles of Research Ethics
(i)
General principle: all researchers are expected to consider the implications of
their research for the integrity and well-being of participants involved in their
research, the wider community and for the researcher themselves. The specific
principles of good research practice outlined by the UREC Guidelines on
Ethical Practice are listed as points (ii) to (xiii) below (a more detailed
description of the University’s Guidelines on Ethical Practice).
(ii)
Protection of participants. Researchers have a duty to protect participants
(such as interviewees) from any harm as a result of their research. Harm to
participants may arise from undue stress, loss of self esteem, or psychological
/ physical injury. An expectation of such harm should trigger communication
with the UREC; and should be discussed during the informed consent process.
Interviews and questionnaires may be highly sensitive, raise issues of
confidentiality or intrude upon a participant’s privacy. The lead researcher
should take the initial judgement on whether these research tools are liable to
cause harm. Participants should always be given the contact details of the
principal researcher and the University Secretary’s Office in case of perceived
harm or stress.
(iii)
Protection of researcher. The health and safety of the researcher must be
considered in the design and conduct of the research project. Researchers must
(eg) consult all appropriate health and safety guidelines before commencing
the project. The researcher should also take steps to protect the professional
integrity of themselves and the University, for example in their dealings with
the media.
(iv)
Obtaining consent. Researchers should carry out investigations, interviews
etc. with the informed, and prior, consent of participants. Informed consent
involves participants being informed of all aspects of the project that might be
expected to influence their willingness to participate, such as the nature,
objectives and methodology of the project; the potential benefits of the
project; and what participation will require. The university regards giving
consent as a continuous process, not a one-off event.
(v)
Coercion. Coercion must be avoided at all times and careful consideration as
to the nature of consent is required when there is a previous or current
contractual relationship between researcher and participant. Volunteers paid
may be aid for their inconvenience (travel expenses or time) but the amount
should not encourage individuals to risk harm beyond the norm.
(vi)
Incompetent adults. A legal representative must give consent if a participant
is unable due to incompetence.
(vii)
Children. Children can be bone fide participants in research subject to their
own consent, or if they do not understand enough to consent themselves, the
consent of their parents must be obtained. Where possible, it is sound practice
to inform parents about the nature and methods of the planned research.
(viii)
Research in public contexts and with groups. Obtaining consent where the
research is carried out in public is often impractical and unfeasible (eg where
research involves observing a large crowd or discussions on the internet). The
key principles here are that the researcher must: (i) ensure that appropriate
individuals are informed that the research is taking place; (ii) no details are
given in any reports that identify specific individuals unless reporting on
public figures acting in their public capacity; (iii) particular sensitivity is paid
to cultural values and to the possibility that those observed might feel their
privacy has been invaded; (iv) public, non-consent-based, observational
research should only occur when those observed would ordinarily expect to be
observed by strangers; and (v) researchers should make reasonable attempts to
explain to people their right to withdraw from participation even where this is
difficult to achieve.
(ix)
Research involving deception. Research that involves withholding
information on the true objectives of the research should be avoided unless
prior UREC approval is granted.
(x)
Debriefing. This is a means through which researchers and participants
discuss their experience of the research and monitor any unforeseen negative
effects or misconceptions that have arisen. Its use is strongly encouraged by
the University.
(xi)
Research conducted outside the UK. Researchers should bear in mind the
civil, legal and financial positions of national and foreign researchers and
participants; and make themselves aware of the applicable national laws that
can affect the conduct of their research. A particular sensitivity to the context
of developing countries is required such as (eg) ethical review must take place
in both the UK and host country; and that the characteristics and culture of the
host country do not diminish the researcher’s respect for the rights and
interests of the participants.
(xii)
Confidentiality and anonymity. Collection, storage and disclosure of
personal data by researchers must comply with all legislation relating to data
protection. Confidentiality of participants and their data must be respected.
Details that would allow individuals to be identified must not be published or
made available to anyone not involved in the research project unless explicit
consent is given. Guarantees of confidentiality and anonymity to participants
must be honoured unless clear and overriding reasons (eg serious criminal
offence or risk to 3rd parties) are present. Researchers must inform prospective
participants, prior to consent being secured, of any potential risks that might
mean that the confidentiality or anonymity of data may not be guaranteed. All
participants have the right to access personal information relating to them
under the Data Protection Act. They also have the right following discussions
with the researcher, and the completion of their involvement in the research, to
withdraw their consent and to require that their own data be destroyed. A
sensitivity to confidentiality and anonymity are especially important in cases
where the researcher is engaging in information gathering and exchange
activities with other public sector, civil society and media organisations
concerning controversial areas of public policy.
(xiii)
Funding from External Sources. The principle here is that the interests of
all staff and the interests and the reputation of the University as a whole must
be safeguarded when seeking and accepting external funding. Further advice
from RSS should be sought where (eg) a third party is involved and the
original source of funding is unknown; where a funding organisation puts
inappropriate restrictions on publication and exploitation of research; where a
funding organisation is attempting to exert pressure to suppress or alter the
results of the research; or where a member of staff has an interest in the
funding organisation.
Dr Edward Page, PAIS research Ethics Officer,Warwick, July 2011
Form A
University of Warwick
Department of Politics and International Studies
The Department is committed to ensuring that research conducted by its staff and
students maintains the highest possible standards of integrity. This is why it has put
in place procedures for considering the ethical aspects of all proposals for research.
This form should be completed and signed by both dissertation student and
supervisor. It must be returned to Jackie Smith on or before XXXX. Students must
not commence any field-work until this form has been submitted.
The last part of this form will be detached after its submission, to preserve student
anonymity during the marking process. The remainder of the form will then be
attached to the dissertation that is submitted in XXXX.
You should make sure that the methodology section of your dissertation addresses
relevant ethical issues and your approach to them.
Dissertation title/topic:
Supervisor:
1.
You need to familiarize yourself with the following resources on research
ethics (links to these and others useful research ethics documents can be
found on the PAIS Research Ethics Officer’s web pages:
http://www2.warwick.ac.uk/fac/soc/pais/staff/page/administration/)
The Department’s guidelines for the ethical conduct of research
(http://www2.warwick.ac.uk/fac/soc/pais/staff/page/administration/)
Warwick University’s Guidelines on Ethical Practice
http://www2.warwick.ac.uk/services/rss/apply_funding/ethics_governance/statement/guidance
2.
Please answer the following questions to help you refine your
consideration of research ethics:
1) Does the study involve participants who may be particularly vulnerable or
unable to give informed consent? (eg: children; people with learning
disabilities)
YES NO
2) Will it be necessary for participants to take part in the study without their
knowledge at the time? (eg covert observation of people in non-public places)
YES NO
3) Will the study involve discussion of sensitive topics? (eg drug use)
YES NO
4) Could the study induce psychological stress or anxiety or cause harm or
negative consequences beyond the risks encountered in everyday life, either to
the researcher or the research participants?
YES NO
If you have answered yes to any of these questions, please discuss the
implications with your supervisor.
3.
We confirm that we have considered the ethical implications of the
dissertation research and the research methodology is consistent with
good practice.
University Student Number:
Signature of Supervisor:
Date:
------------------------------------------------------------PLEASE PRINT CAREFULLY
Student Name:
University Student Number:
Dissertation Topic:
Signatures of:
Student
Date:
Supervisor
Date:
Form B
University of Warwick
Department of Politics and International Studies
Review of the ethical considerations of MA research projects
The Department is committed to ensuring that the research conducted by its staff and students
maintains the highest possible standards of integrity. This is why it has put in place
procedures for considering the ethical aspects of all proposals for research. MA students must
complete this form, in consultation with their supervisors, and submit it to the Postgraduate
Office by XXXX.
Name of student ……………………………………………………
Name of supervisor …………………………………………………
Title of proposed research project …………………………………………………………
………………………………………………………………………………………
(1)
We confirm that we have taken into account the following documents:
(c) The Department’s guidelines for the ethical conduct of research:
http://www2.warwick.ac.uk/fac/soc/pais/staff/page/administration/
(d) The University’s guidance on ethical conduct:
http://www2.warwick.ac.uk/services/rss/apply_funding/ethics_governance
/statement/guidance
(2)
We confirm that we have considered the ethical implications of the proposed research
project and that it is consistent with the principles enunciated in the above documents.
Signatures of:
Student
Date:
Supervisor
Date:
Please return this form, duly signed, to the Postgraduate Office by XXXX
FORM C
University of Warwick
Department of Politics and International Studies
Review of the ethical considerations of doctoral research projects
The Department is committed to ensuring that the research conducted by its staff and
students maintains the highest possible standards of integrity. This is why it has put
in place procedures for considering the ethical aspects of all proposals for research.
Research students in their first year of registration must complete this form, in
consultation with their supervisors, and submit it to the Postgraduate Secretary no
later than XXXX.
Completion of the forms is mandatory. The completed forms will be considered at
the Department’s meeting in January to review the progress of postgraduate students’
work.
Name of student
Name of supervisor (1)
Name of supervisor (2)
Title of proposed research project
/continued
(1)
We confirm that we have taken into account the following documents:
a) The Department’s guidelines for the ethical conduct of research:
http://www2.warwick.ac.uk/fac/soc/pais/staff/page/administration/
b) The University’s guidance on ethical conduct:
http://www2.warwick.ac.uk/services/rss/apply_funding/ethics_governance/stat
ement/guidance
c) The Economic and Social Research Council’s Research Ethics Framework:
http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx
(2)
We confirm that we have considered the ethical implications of the proposed
research project and that it is consistent with the principles enunciated in the
above documents.
Signatures of:
Student
Date:
Supervisor (1)
Date:
Supervisor (2)
Date:
Please return this form, duly signed, to the Postgraduate Secretary, no later than the
end of Term 1.