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 cornerstone of ethical research is that researchers must consider the implications of their research for the well-being of participants, the wider community, and for the researchers themselves.
Three particularly important requirements that guide PAIS ethical research policy are the following:

Research participants must be fully informed about the nature, purpose, uses and potential risks of the research being conducted.
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
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’s Research Code of Practice: http://www2.warwick.ac.uk/services/rss/researchgovernance/research_code_of_practice/

The Economic and Social Research Council’s Research Ethics Framework: http://www.esrc.ac.uk/about-esrc/information/research-ethics.aspx
 The Department’s guidelines for the ethical conduct of research (pages 3-5 of this document).
1. Note on undergraduate research
All undergraduate students undertaking research projects as a component of their course of study (principally, dissertation students) that engage in research with subjects must discuss this research with module tutors or dissertation supervisors in order to identify any potential ethical problems raised by the project prior to commencement of the research. The Departmental Research Ethics Officer must be contacted if any risk of violation of the Departmental or University guidelines on ethical research is present and, where this is present, a student may be required to modify their project or complete additional training in research ethics supervised by the Research Ethics Officer. All undergraduate dissertation projects involving interactions with participants must fill in a research ethics form that will be kept on file within by the Research Ethics Officer.
Policies and procedures regarding undergraduate work with research ethics implications are further reviewed by the Director of Undergraduate Studies and through the Teaching Quality Assurance (TQA) committee, where appropriate.

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2. Note on postgraduate (taught and research) research
Similar policies and procedures to those described above are in place for taught and research postgraduate students. In addition to research ethics training through postgraduate research methods modules at PGT and PGR level; and 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 Research Ethics Officer. MA/PGD students are also required to fill in a form if deemed necessary by their module convenor and/or dissertation supervisor. Copies of forms for MA and doctoral students are available from the Research Ethics Officer. 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 Research Ethics
Officer, 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. Note on staff research
As with all research conducted in PAIS, members of staff must be guided in the conduct of their research by Departmental and University Guidelines on Ethical
Practice. Post-doctoral researchers will receive training on research ethics as part of the induction process. The discussion and review of research proposals through the
Departmental mentoring system, and the provision of departmental support for external or internal funding applications by the Head of Department, will also contain a research ethics component. The primary institutional mechanism for dealing with problem cases that cannot be dealt with internally to the Department is the Faculties of
Humanities and Social Science Research Ethics Committee (HSSREC) .
Colleagues are invited to direct queries about research ethics should be directed to the
PAIS Research Ethics Officer (Dr Edward Page: e.a.page@warwick.ac.uk
).

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4. Departmental Research Ethics Guidelines
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 ethical research practice, which are outlined in further detail by the University Guidelines on Ethical Research, are developed below in the context of research in politics and international studies.
1.
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.
Any expectation of risk of such harm should trigger communication with the
Departmental Research Ethics Officer; and it should also be discussed during the informed consent process of the research even if it is judged the risk is acceptable.
Interviews and questionnaires may be highly sensitive, raise issues of confidentiality or intrude upon a participant’s privacy. The researcher should take the initial judgement on whether these research tools have the potential to cause non-trivial harm. Participants should always be given the contact details of the researcher and the University Secretary’s Office to allow participants to discuss any area of concern arising from the research such as perceived harm or stress.
2.
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 University health and safety guidelines before commencing the project. The researcher should also discuss the insurance coverage implications of project with their supervisor and departmental administrator. The researcher should also take steps to protect the professional integrity of themselves and the University, for example in their dealings with the media.
3.
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.
The Department strongly recommends the use of individual consent forms with all interviews.
4.
Coercion. Coercion must be avoided at all times in PAIS research 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 may be paid for their inconvenience (travel expenses or time) but the amount should not encourage individuals to risk harm beyond the norm.
5.
Incompetent adults. A legal representative must give consent if a participant is unable due to incompetence.

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6.
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.
7.
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 parties 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.
8.
Research involving deception. Research that involves withholding information on the true objectives of the research, or deceives participants in any way, is prohibited.
9.
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.
10.
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 that the characteristics and culture of the host country do not diminish the researcher’s respect for the rights and interests of the participants. In projects involving participant data, ethical review must take place in both the UK and, where possible, host country.
11.
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 third 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 (see below). 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

5 researcher is engaging in information gathering and exchange activities with other public sector, civil society and media organisations concerning controversial areas of public policy.
12.
Protection of data. Under the Data Protection Act (1998), a researcher is responsible for any personal data concerning living individuals they generate in their research (eg interview notes, research data, photocopying). Under the Act, the researcher is the ‘data controller’ of the information (the person who determines the purposes for which, and the manner in which any personal data are, or are to be, processed). The individual who is a subject of the data is a ‘data subject.’ Under the Act, use of personal data for research, history and statistics is made upon two conditions: (a) that the data are not processed to support measures or decisions with respect to particular individuals; (b) the data are not processed in such a way that substantial damage or substantial distress is, or is likely to be, caused to any data subject. The best way to ensure compliance with these conditions is to anonymise the results of the research being conducted by issuing using data gathering, and storage, methods that mean that living research participants cannot be identified. Using such methods also exempts the researcher from giving a ‘data subject’ right of access to their personal information under this
Act, although other legislation, such as that arising from the Freedom of
Information Act (2000), may apply.
13.
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 should be sought where, for example, 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 e.a.page@warwick.ac.uk
Latest revision: 17 February 2012