Social Research Ethical Sensitivity Checklist
Background and purpose of the checklist
Government Social Research (GSR) has issued professional guidance for use by all
those managing and commissioning government social research.
(http://www.gsr.gov.uk/professional_guidance/ethical_assurance.asp) The guidance
aims to ensure that all research (commissioned and internal) is conducted in line
with a number of key ethical principles. The ethical sensitivity checklist and new
ethical procedures have been developed to help meet this aim.
This checklist is a formal part of the Scottish Government’s research commissioning
and management process. Similar to Universities’ own ethical procedures and
clearance, it is designed to improve the governance and quality of social research.
The checklist should be completed alongside the commissioning strategy as part of
the commissioning process and should be referred to, and ideally updated,
throughout the research management process. The original ethics checklist should
be saved with other key project documents on CERES. Updates to the checklist
should be saved in the project folder in eRDM.
Instructions for completion
The checklist is structured under the five GSR ‘key principles’ that all staff
commissioning or conducting social research for government have a responsibility to
uphold:
 Principle 1: Sound application and conduct of social research methods and
appropriate dissemination and utilisation of the findings
 Principle 2: Participation based on valid informed consent
 Principle 3: Enabling participation
 Principle 4: Avoidance of personal harm
 Principle 5: Non-disclosure of identity and personal information
For each section, and the components therein, you should describe the relevant
ethical sensitivities and risks and the appropriate action that will be taken to manage
the issues identified.
There are example questions for each component of the principles to highlight what
issues might be considered.
Please complete the checklist with as much detail as possible. If a component of a
principle is not relevant to your project you should mark it ‘not applicable’ and move
on to the next one.
Some projects may also fall under the ethical procedures of external ethics
committees. This applies to interviews with NHS patients and/or staff, and to
participants who may lack the mental capacity to provide informed consent. The
expectation of external ethical procedures applying to a particular project does not
replace the need to complete the ethics checklist on the commissioning of a new
project.
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Social Research Ethical Sensitivity Checklist
Assessing Ethical Sensitivity
The checklist requires you to make a judgement about the level of sensitivity for
each issue that is identified. This should take into account the inherent sensitivity of
the issue itself and the steps that can to be taken to manage the issue appropriately.
Each issue should be marked as either: green=not sensitive; amber=sensitive, red=
highly sensitive.
A guide to the sensitivity ratings of individual issues is as follows:

Red – Highly Sensitive – The issue will need to be closely monitored and
managed with remedial action likely to evolve throughout the project,

Amber – Sensitive - The issue will require to be managed throughout the
project but initial identification of remedial action should ensure sensitivities
are appropriately managed.

Green – Not Sensitive – The issue has been assessed adequately as not
being sensitive and this has been documented in the checklist.
An example of assessing ethical sensitivities and risk may help. In relation to
conducting fieldwork with children, there is a certain level of inherent sensitivity and
risk in relation to consent (GSR Principle 2) and avoidance of harm (GSR Principle
4). However, these risks can be managed throughout the life of the research project
in order to reduce the level of sensitivity. It should be noted that there is no one size
fits all when it comes to assessing ethical issues and the level of sensitivity. Despite
the inherent sensitivities and risk around interviewing children, different projects
involving children may have different ratings, reflecting the topic of the research, and
the experience of the project manager and appointed contractors. Whilst research
with children on a sensitive topic is likely to be rated as red, a research project on a
non-sensitive topic with children might be rated amber, or even green.
In addition to rating each issue, the project also needs to be given an ‘overall’
sensitivity rating. In most cases, this should be the same as the most sensitively
rated part of the project. However, this is a guide rather than a rigid rule. Project
managers and their C1 ‘Ethical Advisors’ should exercise their judgement.
Sensitivity rating and sign off
As shown in the table below, projects rated green and amber should not require any
further ethics ‘sign-off’ beyond sharing the checklist with your C1 ‘Ethical Advisor’. If
any section is rated red i.e. ‘highly sensitive’, then you will need additional ‘sign off’
from your C2 ‘Ethical Sponsor’ who will decide whether the project should proceed to
an ‘ethics peer review’.
Overall sensitivity rating and action to be taken
Rating
Meaning
Action to be taken
Red
Highly
Needs to go to a C2 Ethical Sponsor for sign off and, if
sensitive
deemed necessary, put forward to the Ethical Advisory
Group (EAG) for Ethics Peer Review. C2 Ethical
Sponsor or Peer Review team sign off checklist and
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Social Research Ethical Sensitivity Checklist
Amber
Green
Sensitive
Not
sensitive
commissioning strategy or other relevant sign off stages.
C1 Ethical Advisor sign off with commissioning strategy
C1 Ethical Advisor sign off with commissioning strategy
(or at other relevant sign off stages if during
management process)
It should be noted that projects can change sensitivity after initial sign off of the
checklist. If projects do change sensitivity, particularly for projects that become ‘red’,
C1 Ethical Advisors and C2 Ethical Sponsors should be involved, as appropriate,
and in line with the guidance in the table above.
Full guidance on the new ethics procedures and the peer review process can be
found here (http://intranet/InExec/AboutUs/ProfessionalGroups/SocialResearchGroup/EthicalPilotGuidance). For queries not addressed by
the guidance, please email the ethics mailbox
(SocialResearchEthicsMailbox@scotland.gsi.gov.uk).
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Social Research Ethical Sensitivity Checklist
ETHICS CHECKLIST
Project Title:
Project Manager:
Department/
Division/Branch:
GSR Principle 1: Sound application and conduct of social research methods
and appropriate dissemination and utilisation of the findings
Principle Components
Issues
Sensitivity
Rating
a) Scope out existing/similar
Red/
research
Amber/
Green
Example questions:
(delete as
 Does a new piece of
appropriate
primary/secondary research need
):

to be done? Is this a duplication of
existing research?
Is other research already taking
place with the same groups which
could be amalgamated to prevent
over-researching small
populations?
b) Proposed methodology
Red/
Amber/
Green
Example questions:
 From an ethical perspective, is the
research design appropriate to the
groups being interviewed?
 Is the research placing an
unnecessary burden on
respondents?
 How will the research address the
inclusion of and consider the
diverse perspectives of people
according to their gender,
disability, ethnicity, religion, sexual
orientation, socio-economic status
and age?
c) External Ethical Scrutiny
Red/
Amber/
Green
Example questions:
 Are you interviewing NHS staff or
patients? If so – the successful
contractor will be required to obtain
clearance from the National
Research Ethics Services (NRES)
http://www.nres.npsa.nhs.uk
 Are you interviewing participants
who may lack the mental capacity
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Social Research Ethical Sensitivity Checklist
to provide informed consent? If so,
the successful contractor may be
required to obtain clearance from
NRES:
http://www.nres.npsa.nhs.uk/newsand-publications/news/mentalcapacity-act-2005/

Are Academic institutions likely to
be asked to tender? If so, they will
still be required to go through their
ethics committees. How will this
affect the timetable?
d) Tendering
Red/
Amber/
Green
Example questions:
 Is this research using a new
technique or is it innovative in its
approach?
 Are there enough suppliers with
the right experience to deliver the
project without increased ethical
sensitivity?
e) Analysis and Reporting of
findings
Red/
Amber/
Green
Example questions:
 What measures are in place to
ensure that the reporting and
interpreting of findings protects
against distortion and bias?
f) Freedom of Information
Red/
Amber/
Green
Example questions:
 What impact does FOI
legislation have on the ethically
sensitive management of all
stages of the project,
particularly on release of
sensitive information? (E.g.
release of an interim report)
See FOI guidance on Intranet:
http://intranet/InExec/AboutUs/
ProfessionalGroups/SocialResearchGroup/
FOIGuidance
g) Dissemination strategy
Red/
Amber/
Green
Example questions:
 What elements do we want to
disseminate?
 What is our role/responsibility to
different stakeholders and
research participants around
dissemination?
 What are the most effective and
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Social Research Ethical Sensitivity Checklist


efficient ways of disseminating?
What report format best meets the
needs of the policy
customers/service providers/
users? What are the accessibility
and equality issues relating to how
findings are made available/
formatted?
Who might help us disseminate?
GSR Principle 2: Participation based on valid informed consent
Principle Components
Issues
a) Consent to take part in
primary research
Sensitivity
Rating
Red/
Amber/
Green
Example questions:
Access protocols and first stage
consent
 What access protocols, if any,
apply?
(The Scottish Government has formal
access protocols for: Courts, Police,
Crown Office and Procurator Fiscal,
Prisons, Associate Directors of Social
Work and Children’s Reporter. There
are also access protocols for Schools.
See Annex E of management
guidance)
Consent via gatekeepers or proxy
 Is this required? If so, what
processes need to be followed?
 Do steps need to be taken to
ensure representativeness, i.e. to
ensure that participants are not
“hand-picked” by gatekeepers or
that there is a biased minority view
promoted?
Participants
 What processes are in place to
ensure that participants are
informed about the project, the
purpose, the client, topics and that
their participation is voluntary?
 What measures can you take to
ensure that participant agreement
is made before the interview is
conducted?
 If you require to follow up
participants with further research,
has this been made clear and
consent given?
b) Children and Young People
Red/
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Social Research Ethical Sensitivity Checklist
(aged 15 and under)
Amber/
Green
Example questions:
 Consent from a parent or legal
guardian is usually advised for
children aged under 16 to
participate in research. What
processes are in place to ensure
this is done? Opt in or opt out
basis?
 How can you ensure that children
and young people are adequately
informed about the work and give
informed consent?
 (Note- Disclosure check issues are
dealt with below under GSR
Principle 4b Avoidance of Personal
Harm. )
c) Vulnerable Adults
Red/
Amber/
Green
Example questions:
 Are there any groups that might
have difficulty giving informed
consent themselves?
 How can you ensure that
participants are adequately
informed about the work?
GSR Principle 3: Enabling participation
Principle Components
Issues
a) Reducing the barriers to
participation
Sensitivity
Rating
Red/
Amber/
Green
Example questions:
 What steps can be taken to
encourage and widen
participation? (e.g. cover for travel
costs, childcare, varying times and
locations of interviews,
accessibility of venues etc)
 Do you need interviewer
assistance such as offering help
with completion or a translator?
b) Ensuring that hard to reach
groups are included
Red/
Amber/
Green
Example questions:
 Is the research and sample design
appropriate? Does it unjustifiably
discriminate against certain groups
of the population?
 Do you need to over sample
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Social Research Ethical Sensitivity Checklist

certain groups and/or weight the
data?
Do you need to consult with others
so that barriers to participation for
certain groups are reduced?
GSR Principle 4: Avoidance of personal harm
Principle Components
Issues
a) Research Participants
Example questions:
 Might some of the research questions
cover stressful or culturally sensitive
subjects? If so, how will stress and
sensitivities be minimised.
 What can be done to keep the interview
length to the minimum?
 Do you need to ensure that there is
post-interview support?
b) Interviewers/ Researchers
Sensitivity
Rating
Red/
Amber/
Green
Red/
Amber/
Green
Example questions:
 What procedures are in place to ensure
interviewers are properly trained and
vetted? (i.e. Disclosure Scotland
clearance or equivalent. This must be
done if interviewing/ involving children
and vulnerable adults (or if the
research takes place within a prison or
similar environment). See
http://intranet/InExec/AboutUs/Professi
onalGroups/SocialResearchGroup/Guidanc
e-Disclosure-Check))
 What procedures are in place for
disclosure of abuse?
 What procedures are in place to ensure
the safety of the
interviewer/researcher?
 Have the interviewer/researchers
demonstrated awareness of equality
issues and an ability to work
inclusively?
GSR Principle 5: Non-disclosure of identity and personal information
Principle Components
Issues
Sensitivity
Rating
a) Data Protection
Red/
Amber/
Example questions:
Green

What procedures are in place to
ensure respondent confidentiality,
including but not limited to
ensuring respondent names and
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Social Research Ethical Sensitivity Checklist
addresses are stored securely and
kept separately from their
responses?
b) Research Findings and
Report
Red/
Amber/
Green
Example questions:
 How can you ensure that the data
collected during the research is not
going to be used for anything other
than its original purpose??
 Reporting should not identify any
individual. What measures are in
place to protect the anonymity of
research participants and
organisations or, in some cases, to
obtain permission to name?
Summary of key sensitivities
Overall
Sensitivity
Rating
What are the key sensitivities? How are you addressing them?
Red/
Amber/
Green
Date(s) of completion:
Name and date of Ethical
Advisor sign off:
Applicable for red projects
only - Date of Ethical
Sponsor and/or EAG Peer
Review sign off :
Only complete Annex A if your overall project rating is ‘red’ and has been
judged by your C2 as requiring a peer review.
Use the space below to record any updates to the checklist.
Updates
Date of update:
Principle Components
updated
e.g GSR Principle 2b
Issues
Sensitivity Rating
e.g. Green (from Amber)
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Social Research Ethical Sensitivity Checklist
Annex A Red projects and peer review
To be filled in by the project manager if applying to the Ethical Advisory group
for a peer review (i.e. if the overall sensitivity rating is red and your C2 Ethical
Sponsor judges it should go to peer review):
Name of applicant:
Date of application to EAG:
Peer Review sign off by Ethical Sponsor:
Directorate/Division/Team:
Directorate/Division/Team:
To be filled in by the project manager (and
shared with the Ethical Advisory Group)
following the peer review:
Date of Peer Review Meeting:
Peer Reviewers names:
What are the key sensitivities?
Red/ Amber/ Green
How are you addressing them?
Sign off by EAG Peer Review team member:
Name:
Directorate/Division/Team:
Date of next review meeting (if required):
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