International Development Ethics Committee, School of International Development and International Development UEA, UEA.
In undertaking research overseas, we are often working in environments where both formal and informal institutional arrangements may make research participants particularly vulnerable, both with respect to defending their own personal integrity and position and also exposing them to the risk of repercussions from participation in the research. We need to be particularly alert to these dimensions. It is important that the safety and wellbeing of research participants and researchers are assured, that the researcher is aware of any possible ethical issues in carrying out the research and that steps have been taken to ensure that best practice is followed.
DEV have introduced a set of procedures to ensure that the University's guidelines in relation to the ethical conduct of research are followed. A copy of these procedures can be found here. An outline for a research proposal can be found here to provide an example of a format that highlights ethical concerns.
Please note that all research undertaken within the School of International Development and International Development UEA, including funded and non-funded staff research, PhD work, masters theses and undergraduate dissertations is covered by these procedures.
Who does this apply to?
This policy applies to all staff, students and International Development UEA associates whether the work is funded or unfunded, if the research is being carried out in their capacity as members of DEV or using University facilities.
Does your research require ethical approval?
Please ask yourself the following questions to establish whether ethical approval is likely to be needed for your research project. Students should consider these questions in consultation with their supervisors. Supervisors in the first instance can approve research projects that do not, on the basis of the answers to these questions, need ethical approval.
1) Does the research entail any appreciable threat to health and safety (normally referring to the participant, sometimes the researcher or another party)?
2) Does it involve any incitement to, encouragement of or participation in, an illegal act (by participant or researcher)?
3) Does it involve obtaining / revealing any confidential and identifiable personal material / information without the informed consent of the ‘owner’?
4) Does it involve any participants who are unable for reasons of age or infirmity to give informed consent and to exercise the right to refuse to participate in any component of the research?
5) Does it involve participants who are vulnerable people and where the research being undertaken is a study, which specifically focuses on the identified groups, including:
a) the abused
b) the bullied
c) the recently bereaved
d) people with terminal or seriously disabling illness
e) people with serious mental health problems
f) people with severe learning disabilities
g) very young children (under 7)
h) students in academically dependent relationships with researchers
i) marginalised people (including socio-economic, ethnic and gender groups)
6) Does it involve the serious possibility of any undue pressure being brought to bear upon participants (or researchers) to act or give information against their will?
7) Does it involve covert observation of behaviour not normally in the public domain?
8) Does it involve the use of animals or animal tissue or the use of non-native pests or diseases?
9) Does it involve the use of human biological samples?
10) Does your research involve organizations, which may have concerns about disclosure?
If your answer to any of the above questions is in the affirmative, the researcher should seek the advice of the DEV Research Ethics Committee on whether ethical approval of the research is required.
Some issues to bear in mind when designing a research project which involves research with people
Working with People
The safety and wellbeing of research participants must be assured. It is important that people know that you respect their confidentiality and that where possible you will take appropriate steps to preserve their anonymity. You should explain that participation is entirely voluntary and that they can refuse to take part if they wish. In some settings it may be difficult for people to say no, you should be aware of this and do your utmost to ensure that people do not feel obliged to take part or are put under pressure by others to participate in your research.
When planning research with children you must satisfy yourself that you do need to involve children and that you have familiarised yourself with the relevant legal position in the place where you intend to do the research. If you intend to work with children in schools you must obtain written approval from the head teacher or a person who is in loco parentis. Where appropriate the researcher should obtain consent from parents to their child's participation, having clearly explained the research to the parents/teachers. Where consent is given by parents it is still very important to try and obtain real consent from the child, assuming that the child is old enough to understand this principle. The researcher should explain to the child that their participation is entirely voluntary and that they can refuse to take part if they wish.
You must obtain valid informed consent from all participants. When recruiting adults or children the participants should enter into the research freely and willingly on the basis of the information that you have given them on the objectives of the research, the procedures to be followed and the anticipated outcomes particularly in respect of publication and dissemination of findings. The information given should be in the form of a written description of the research project or other appropriate form of communication in non or semi-literate societies. People should be told that they have the right to withdraw at any time. It is important that where possible anonymity and confidentiality should be maintained.
Appropriate records should be kept of the procedures followed and records of the participants' agreement.
The obligations of a researcher
The researchers should not
Convey personally identifiable information obtained in the course of research work to others except where the participants have given permission for this to be done or where you are subject to a legal obligation to disclose information
Give unrealistic guarantees of anonymity or confidentiality
Make unrealistic promises about the impact of the research on the community or individuals involved (raising expectations of development aid, legal help or other interventions which are beyond your influence or control)
The researcher should
Store all data in a secure manner and taking into account the obligations under relevant Data Protection Act or other legislation.
Take care to prevent data being published or released which would allow the identification of participants to be traced
Take care to ensure that the research does not put you in any danger and
Take all possible measures to ensure your own safety and security.
Payment to research subjects
If people taking part in your research are to be offered any payment or incentive over and above appropriate expenses you should explain this in your research proposal and seek guidance from the Committee. Small tokens of appreciation for taking part in a study may be given provided they are not seen as an inappropriate inducement to take part.
Informing participants about the results of research
You should where possible inform participants of the results of the research, explaining where necessary that they may not be able to obtain their individual results. Given that participation in your project is voluntary it is appropriate to provide feedback on the results and explain how the information is being used.
Useful resources on the ethics of research with people
British Sociological Association
Association of Social Anthropologists of the Commonwealth
Social Research Association
Does the research involve
a) people or information about people,
b) animals/insects
c) pathogens?
If yes, consider the following questions (which are listed in the `Ethics Policy’), supervisors should consider these questions with the student:
1) Does the research entail any appreciable threat to health and safety (normally referring to the participant, sometimes the researcher or another party)?
2) Does it involve any incitement to, encouragement of or participation in, an illegal act (by participant or researcher)?
3) Does it involve obtaining / revealing any confidential and identifiable personal material / information without the informed consent of the ‘owner’?
4) Does it involve any participants who are unable for reasons of age or infirmity to give informed consent and to exercise the right to refuse to participate in any component of the research?
5) Does it involve participants who are vulnerable people and where the research being undertaken is a study, which specifically focuses on the identified groups, including:
- the abused
- the bullied
- the recently bereaved
- people with terminal or seriously disabling illness
- people with serious mental health problems
- people with severe learning disabilities
- very young children (under 7)
- students in academically dependent relationships with researchers
- marginalised people (including socio-economic, ethnic and gender groups)
6) Does it involve the serious possibility of any undue pressure being brought to bear upon participants (or researchers) to act or give information against their will?
7) Does it involve covert observation of behaviour not normally in the public domain?
8) Does it involve the use of animals or animal tissue or the use of non-native pests or diseases?
9) Does it involve the use of human biological samples?
10) Does your research involve organizations, which may have concerns about disclosure?
If the answer is `yes’ to any of these questions, or if you are uncertain, seek advice from your supervisor, if you are a student, or directly from the chair of the ethics committee, if you are a faculty member, to find out whether ethical clearance is required.
Funders are increasingly requesting proof of ethical approval with research proposals. Check whether this applies to you and if it does, pass your proposal to the chair of ethics committee.
Contact: Janet Seeley (chair, International Development Ethics Committee) j.seeley@uea.ac.uk
1. PROJECT TITLE:
This offers a quick reference for any interested party and indicates the broad sphere of interest.
2. EXPECTED DURATION:
Gives some indication of commitment required of subjects and time given by researcher
3. IDENTITY OF FIELD RESEARCHERS AND ORGANISATIONAL BASE:
A list of names, positions, qualifications and functions in the proposed research of all those holding responsible positions and who might be in direct contact with subjects. This offers an estimate of competence together with a chain of responsibility and accountability.
4. PURPOSE OF STUDY:
Aims and objectives might indicate hypothesis testing, policy evaluation, and any potential ‘value’ added to the subject group and/or society in general.
5. SOURCES OF FUNDING:
The organisation, individual or group providing finance for the study.
6. SCIENTIFIC BACKGROUND:
Some rationale for conducting the study should be offered. If this investigation has been done previously, why repeat it? What research methods are being employed? Why and how was the subject/respondent chosen? What broad sampling techniques have been deployed?
7. DESIGN OF THE STUDY:
Describe briefly what will be done and how the subjects are to be expected to participate. What will be required of them? All procedural matters should be clarified. Time commitments and data-collection settings should be revealed. Data analysis methods and procedures should also be clarified.
8. POTENTIAL BENEFITS AND HAZARDS:
What risks to the subject are entailed in involvement in the research? Are there any potential physical, psychological or disclosure dangers that can be anticipated? What is the possible benefit or harm to the subject or society from their participation or from the project as a whole? What procedures have been established for the care and protection of subjects (e.g. insurance, medical cover) and the control of any information gained from them or about them?
9. RECRUITMENT PROCEDURES:
Is there any sense in which subjects might be ‘obliged’ to participate – as in the case of students, prisoners or patients – or are volunteers being recruited? If participation is compulsory, the potential consequences of non-compliance must be indicated to subjects; if voluntary, entitlement to withdraw consent must be indicated and when that entitlement lapses.
10. INFORMED CONSENT:
Where appropriate, consent of participants MUST be requested and put in terms easily comprehensible to lay persons. This should ideally be both ORALLY and in WRITING (if it is not possible to obtain consent in writing, then explain why this is so e.g. because of language, literacy levels of participants etc.). An information sheet setting out factors relevant to the interests of participants in the study must be written in like terms and handed to them in advance of seeking consent. If the participants are not literate then arrangements should be made to explain to them what is written on the sheet. They must be allowed to retain this sheet.
11. DATA PROTECTION:
The project should comply with the requirements of current data protection legislation and how this is accomplished should be disclosed to participating subjects and those monitoring the research procedure. This should include proposed data storage arrangements, degree of security etc, and whether material facts have been withheld (and when, or if, such facts will be disclosed).
12. CONFIDENTIIALITY AND ANONYMITY:
The steps taken to safeguard the confidentiality of records and any potential identifying information about the subject must be stated.
13. MONITORING OF THE RESEARCH:
Organisational procedures for monitoring the project, if relevant (e.g. because of funding requirements) should be stated.
14. DISSEMINATION OF FINDINGS:
What is the anticipated use of the data, forms of publication and dissemination of findings etc.?
This is taken from pages 53 and 54 of the Social Research Association’s Ethical Guidelines (http://www.the-sra.org.uk/ethical.htm)
