ESRC’s approach to Research Ethics University of Sussex, 8 February 2007 Dr Stephen Struthers

ESRC’s six ethical principles 1Research should be designed, reviewed and undertaken to ensure integrity and quality 2Research staff and subjects must be informed fully about the purpose, methods and intended possible uses of the research, what their participation in the research entails and what risks if any, are involved. Exceptionally, some variation may be acceptable 3The confidentiality of information supplied by research subjects and the anonymity of respondents must be respected.

ESRC’s six ethical principles 4Research participants must participate in a voluntary way, free from any coercion. Exceptionally, covert research and deception may be acceptable. 5.Harm to participants must be avoided. avoidance of harm extends to family, kin, community groups should not be unreasonably excluded from research exceptionally, some limited short term and minimal harm may be acceptable 6The independence of the research must be clear; any conflicts of interest or partiality must be explicit.

ESRC’s Research Ethics Framework - development Developed by team led by Professors Andrew Webster and Mary Boulton Takes a distinctly social science perspective ( i.e. it recognises range of theories and methods) Builds on existing traditions of ethics reviews Widespread consultation within research community – HEIs., learned societies, researchers Aims to reflect, disseminate, standardise best practice REF Document published July 2005 –2 parts – principles and guidance Implemented January 2006

Why introduce new ESRC Research Ethics Framework? Changes in policy context – development of governance and ethics reviews (DH, Cabinet Office) Development of new procedures for NHS ethics Changes in public attitudes and expectations e.g. increased concern and transparency Changes in social science research and methods, especially interdisciplinary work within and outside social sciences Implications of changes in context of social science research – globalisation, ICT advances, data sharing. Existing general guidance insufficient Need for ethical approach appropriate to social science

What research ethics covers Ethics –moral principles Research –any form of disciplined enquiry that aims to contribute to body of knowledge or theory Concerned with all stages of research –from its inception through to completion and publication of results and beyond

Social science research - some implications for ethics review includes wide range of disciplines, often linked to complementary fields, or applied areas; has diverse research methods; may be critical; may generate new theoretical and empirical work, which may have policy relevance; may involve human participants or subjects as source of primary data, or indirectly, via existing secondary data. – questions of informed consent, confidentiality, accountability.

Risks in social science research Diverse range: not only - potential physical or psychological harm; discomfort or stress but also disruption or damage to e.g. a subject’s personal social standing individual privacy personal values and beliefs a subject’s links to family and wider community a subject’s occupational status or position implications of revealing illegal, sexual or deviant behaviour …. as individuals, as whole communities, or categories of people

Research where risk of harm may be legitimate Research which is deliberately opposed to the interests of the research subjects –E.g.- studies of power or inequality –aim to reveal and critique economic, political, or cultural disadvantage –may have negative impact on some subjects Research which balances short-term risks to subjects against longer terms gains to beneficiaries

Secondary Data Ethical review of original research does not rule out issues over secondary use. –Researchers who initially collect data need to expect others to want to re-use it Needs careful consideration – –Risks of disclosure - e.g. where birth date is included –Issues of presumed consent –Potential issues of ownership and control –Risks in archiving - e.g. inappropriate access

Main features of Research Ethics Framework (1) 1.Responsibility for the conduct of research rests with principal investigator 2.Responsibility for ensuring research is subject to ethical review, approval and monitoring lies with research organisation seeking or holding an award with ESRC and employing the researchers (or some of them if it is co-ordinating a collaborative project.)

Main features of Research Ethics Framework (2) 3. Ethical review should always be proportionate to the potential risk, whether this involves primary or secondary data. 4. ESRC does not seek to impose model arrangements, but will only fund research in organisations/institutions with procedures in place which meet minimum requirements 5. As part of ESRC decision-making: - peer reviewers and assessors comment on ethical self-assessment; Boards or panels may set conditions.

Main features of Research Ethics Framework (3) 6.Funds commence only when Institution confirms project has started and any specified ethical approvals have been obtained. 7.Additional costs of satisfying ethical conditions can be claimed from ESRC 8.Breaches of good ethical practice in ESRC funded research will be treated as a very serious matter by the Council

ESRC’s minimum requirements (1) 1.Ethical issues must always be addressed in a research proposal and grounds for view about the risks must be explained. Not necessary to secure approvals before submission, but must state what approvals would be required, if funded, and how they would be obtained. In submitting proposal, administering institution concurs with this and agrees to carry this out.

ESRC’s minimum requirements (2) 2.Where potential risks of harm to participants or others is minimal – (or, very exceptionally, where there is particular urgency) - expedited (or “fast track”) review would be appropriate (usually REC chair’s action) 3. Where potential risks are identified – i.e. more than minimal risk - review to be undertaken by a properly constituted Research Ethics Committee.

ESRC minimum requirements (3) Research with any “more than minimal” risk must go through an REC: –Vulnerable groups (egs. children, learning disability, old people) –Sensitive topics (egs. violence, political views) –Groups where gatekeeper permission required (indigenous communities) –Deception, or without full and informed consent –Use of personal/confidential information (identifiable individuals) –Subjects in stress, anxiety, humiliation –Intrusive interventions (drugs, hypnosis, physical exercise)

ESRC minimum requirements (4) University based Research Ethics Committees must: –Include members from more than one discipline –Include men and women –Have at least one lay member – not affiliated to the university –Include members with broad research experience in relevant areas, with confidence and esteem of research community. –Include at least one member knowledgeable about ethics Would benefit from –some reflection of local community, relevant service users, methodological expertise –at least 7 members

ESRC’s minimum requirements (5) 4.Universities must have arrangements for monitoring conduct of research which has received ethical approval until is complete, and to ensure continuing review where research design anticipates possible changes over time. 5.Universities must have a complaints procedure for addressing concerns about conduct of research. 6.Special arrangements must be made for multi- funded and multi- performer projects. 7.All legal and data requirements must be met. –Data Protection Act 1998 –Use of secondary data.

What is compulsory in R.E.F? Ethics review must: –be undertaken prior to research starting, except by agreement with ESRC –Proportionate to the risks involved Research Ethics Committees must have: –at least one lay (unaffiliated) member who is trained –at least one academic member from outside the unit conducting the research Universities and Research organisations must: –monitor research that has received ethical approval –ensure continuing review where research design anticipates change –have mechanisms for receiving complaints or concerns –comply with requirements of legislation and data providers Departments “recognised” by ESRC for research studentships must provide ethics training

Monitoring and sanctions Universities, ESRC and the research community have a shared interest in good ethical practice Monitoring –that appropriate reviews take place, not the outcome of those reviews –as part of Research Councils’ Financial checks – “dipstick” testing and annual questionnaire Sanctions –Prevention better than cure –As a last resort - withdrawing research funding from a university

Training in research ethics A formal requirement for some but not necessarily all REC members Universities should expect to build ethical competences over time through formal and informal training Long term goal to improve ethical literacy of social science research community, so that research ethics are an integral part of good research practice –ESRC initiatives: part of training requirements for next generation of researchers Research Methods Programme, Research Methods Centre Researcher Development Initiative

Experience of R.E.F. so far Few problems, or change from past practice Research ethics always has been an issue for ESRC Boards and Panels Increased awareness of ethical dimension among applicants Great majority of researchers accept desirability of review A few misconceptions: –covert research –bureaucratic, heavy handed All universities have system in place –perhaps some weaknesses More conditions attached to awards

Further information We are committed to on-going review of REF and its implementation Comments or queries to: or Dr. Stephen Struthers tel: ESRC Website: (Short cut to research ethics “home page” –