Academic Practice
Understanding Research Ethics
Dr Meera Warrier
Research Development Coordinator
www.le.ac.uk
Understandings of ‘Research’ Ethics
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Purpose of research
Accuracy and lack of bias
Confidentiality not being breached
Questioning not too personal or intrusive
Appropriate behaviour on the part of
researchers
• Following procedures/ organisational
standards
Presentation Outline
• Explore research governance context
• General principles underpinning ethical
research
• Consider university’s research ethics
procedures
• Reflect on the implications of this for
your work
Ethical Problems May Arise…
… from the nature of the research project itself
(ethnic differences in intelligence, for
example); the context for the research (a
remand home); the procedures to be adopted
(producing high levels of anxiety); methods of
data collection (covert observation); the type
of data collected (highly personal information
of a sensitive kind); and what is to be done
with the data (publishing in a manner that
causes the participants embarrassment).
Cohen et. al 2000: 49
The Research Governance Context
• It is in a state of continuous change
• It involves a complex of policies, laws,
initiatives, ‘values’
But
• Implementation piecemeal
• Connections with ‘risk’ not quite
understood
Why is this Important?
• Thinking about/ being informed by ethics can
make you a better scholar and researcher
• You, your research participants and the
University need to be protected
University policy
http://www2.le.ac.uk/institution/committees/
research-ethics/code-of-practice
University of Leicester Principles
Researchers must:
• respect the rights, interests and dignity
of participants and related persons
• adhere to the relevant law
• normally obtain informed consent
• obtain consent without coercion
• protect participants from harm
• adhere to the principles of academic
independence
University of Leicester Principles
Researchers must:
• respect confidentiality and anonymity
• obtain approval from the relevant ethics
committee
• design and conduct research to ensure
integrity and quality
Key Issues
• Voluntary Participation
• Consent (informed)
• Confidentiality and Anonymity
Voluntary Participation
Consent should be voluntary, obtained without
duress.
– Are participants aware of what is being asked of
them?
• What the research process will involve
• The reasons for their participation
• How and to whom it will be reported
– Is the participant competent to make their own
decision regarding participation?
– Are the participants taking part voluntarily?
– Do the participants fully understand this
information?
Informed Consent
• Valid consent comprises 3 elements:
• Adequate information (hence, ‘informed’
consent)
• Voluntariness (not coerced or
manipulated)
• Competence and/or autonomy
(undermined, e.g. by severe cognitive
impairment)
When Consent is Not Appropriate
• Observation in public places
– e.g. visitor movements through museums
• Covert research
– e.g. requiring working undercover/ in disguise
• Using data in the public domain
– e.g. census, household survey
• Research necessitating deception
– e.g. where participants think the purpose is
different from the real one
– Consent should be obtained afterward if possible
Anonymity and Confidentiality
• “Anonymity exists when no one, including the
researcher, can relate a participants identity
to any information pertaining to the project”
• “Confidentiality exists when only the
researchers are aware of the participants’
identities and have promised not to reveal
those identities to others”
Dane 1990:51
Confidentiality
According to the UK Data Protection Act
1998, sensitive data include:
… data about a person’s ethnic origins,
political opinions, religious beliefs,
trade union membership, health, sexual
life and criminal history
(www.lcd.gov.uk/ccpd/dpfacts.htm)
Research Ethics Committees
Research Involving
Human Participants
NHS Research
Ethics Committee
University Research
Ethics Process
University Research Ethics Process
Research Ethics Form
Departmental Ethics
Officer
Minimal Risk
More than Minimal Risk
Acceptance
Department, School or
Faculty Ethics
Committee
Research
University Ethics
Committee
Reject
Appeal
The Process at Leicester
All PhD research involving human subjects –
complete Research Ethics Review Form before
you undertake any research:
1. This must be submitted to your supervisor/tutor
2. If your supervisor/tutor thinks it is fine they will submit it
to the Research Ethics Officer for approval
3. If the REO is happy, they will sign it off. But if s(he)
thinks it involves more complex issues, she may send it
to the Faculty Research Ethics Committee for
consideration
4. The Faculty Committee may or may not approve the
application. If rejected, you have the right to have your
application considered by the University Committee but
this will only be for exceptional circumstances.
5. Leave plenty of time for this process to be completed.