Professional Documents
Culture Documents
August 2009
Contents
Introduction ..................................................................................................................2 Oxfam Australias Ethics Checklist...............................................................................3 Oxfam Australias Guiding Values for Conducting Ethical Research ...........................4 Oxfam Australias Ethical Research Code of Practice .................................................6 Oxfam Australias Guidelines for Informed Consent ....................................................8 Oxfam Australias Guidelines for Confidentiality and Anonymity ...............................10 Oxfam Australias Guidelines for Using Research Findings.......................................11 Oxfam Australias Guidelines for Specific Participants ..............................................12 Oxfam Australias Guidelines for Assessing Research Risk ......................................14
Introduction
This guide is designed to assist Oxfam Australia researchers, staff commissioning research for Oxfam Australia and commissioned research partners to meet their ethical responsibilities. It is intended to guide research teams through careful consideration of the key ethical implications at every stage of the research project. Attempts have been made to present the information in plain language and form, including a handy checklist of key ethical issues to consider. Members of Oxfam Australia research teams are obligated to adhere to Oxfam Australias Guiding Values and Code of Ethical Research Practice, contained within this reading pack.
For more information, support and advice on research ethics contact the Research Unit: May Miller-Dawkins maymd@oxfam.org.au, +613 9289 9232 or Chrisanta Muli chrisantam@oxfam.org.au, +613 9289 9425. If you are considering a piece of research please talk to the Research Unit as early as possible for advice and support.
NOTE Oxfam Australia is not an organisation with a formally established ethics mechanism, and nor are these guidelines a substitute for formal research ethics approval. When Oxfam partners with academics on research projects, formal ethics approval will be sought through the usual university ethics committee processes.
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These Guiding Values are based on the Australian Government (2007) National Statement on Ethical Conduct in Human Research, a joint development by the National Health and Medical Research Council, the Australian Research Council and the Australian Vice-Chancellors Committee.
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involves recognising that where participants are unable to make their own decisions or have diminished capacity to do so, respect involves empowering them where possible, and providing for their protection as necessary.
Beneficence involves research having a potential benefit and thus merit; involves sensitivity to the wellbeing and interests of people involved in the research and positively contributing to their wellbeing; involves ensuring that research participants are included at all stages of the research process; and involves ensuring that the likely benefit of the research justifies any risks of harm or discomfort to participants. Integrity involves using methods appropriate to the research aims and following recognised principles of research conduct, including researchers acting with honesty and openness; involves ensuring research processes, findings and outcomes are accessible to research participants in a timely and clear manner; involves preserving and protecting the trust participants give researchers; and involves endeavouring to ensure that no harm comes to research participants either directly or indirectly as a result of their participation. Justice involves ensuring that the benefits for participants are at least as great as the risks, and that the benefits and burdens are fairly distributed; involves protecting the physical, mental, emotional and social wellbeing of those involved in the research process; involves treating all participants with dignity, regardless of gender, age, race, ethnicity, ability, religion and culture; and involves ensuring that all relevant social groups are actively included in research and that attempts are made to avoid further marginalisation and exclusion of under-represented social groups. These values must inform all stages of research from identifying research problems, aims and objectives, to procedures for data collection, interpretation and analysis, to dissemination and use of research findings. When conducting research with communities and partner organisations in development contexts, ethical research practice means respectful listening and sensitively negotiating the terms of the research with research participants. Researchers must develop self-conscious ethical research practice which takes account of how differences between researcher and research participant in terms of power, gender, culture, class, age, race, ability, world view and privilege shape all stages of the research process.
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With respect to commissioned research it is the responsibility of the commissioning manager to ensure that Oxfam Australias Guiding Values and Code of Ethical Research Practice are understood and adhered to. 3 Adapted from Dench, S., Iphofen, R. and Huws, U. (2004) An EU Code of Ethics for Socio-Economic Research. The Institute for Employment Studies, Great Britain. 4 Where there are no national ethics approval processes, Oxfam Australias Guiding Values and Code of Ethical Research Practice must still be adhered to.
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Researchers should endeavour to ensure that methodology and findings are open for discussion and peer review. Researchers should endeavour to ensure that any debts to previous research as a source of knowledge, data, concepts and methodology should be fully acknowledged in all outputs. Researchers should endeavour to ensure that participation in research is voluntary (see informed consent guidelines). Researchers should endeavour to ensure that decisions about participation in research are made from an informed position. Researchers should endeavour to ensure that all data are treated with appropriate confidentiality and anonymity (see confidentiality guidelines). Researchers should endeavour to ensure that research participants are protected from undue intrusion, distress, indignity, physical discomfort, personal embarrassment, or psychology or other harm. Research must not be exploitative and must take into account participants post-research wellbeing. Political and social factors may jeopardise the safety of participants and these need to be taken into account and adequately planned for. A local, readily accessible contact should be available to participants to receive responses, questions and complaints about the research. Researchers should ensure there is a process independent of the researchers through which complaints can be dealt with.
For more information, support and advice on research ethics contact the Research Unit: May Miller-Dawkins maymd@oxfam.org.au, +613 9289 9232 or Chrisanta Muli chrisantam@oxfam.org.au, +613 9289 9425. If you are considering a piece of research please talk to the Research Unit as early as possible for advice and support.
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Research Unit must be consulted where research involves those under 18 years of age. If research involves people who are unable to exercise individual autonomy and choice, or those whos capacity to do so fluctuates, such as people with intellectual impairments, mental illness or those highly dependent on medical care, the Research Unit must be consulted for advice on appropriate consent procedures. The decision to participate must not be contrary to the persons best interests. Special care must be taken when seeking consent from vulnerable groups, for example, people with disability, mental illness, prisoners, ethnic minorities or homeless people, to ensure that potential participants are able to exercise freedom of choice without feeling pressured or coerced. Even when there is no overt pressure or coercion, consent might reflect deference to the researchers position of power. Consent must be voluntary. The aim of informed consent is mutual understanding between researchers and participants. It provides an opportunity for participants to ask questions of the researcher and to discuss the research with others if they wish. Participants should be informed of changes to the original terms of their consent and given the opportunity to continue their participation or withdraw. It is generally appropriate to reimburse the costs of participation to participants, such as travel, lost work time, parking. Financial incentives to participation are ethically unacceptable. Decisions regarding reimbursement to participants or the community, should take into account the customs and practices of the community in which the research is being conducted. In some communities, decisions to participate in research rest not only with individuals but also with other bodies, such as family or community elders, and they must be properly engaged in planning the research.
NOTE: If you are planning to conduct research with individuals under 18 or people who are unable to exercise individual autonomy and choice, or those whos capacity to do so fluctuates, such as people with intellectual impairments, mental illness or those highly dependent on medical care, the Research Unit must be consulted for advice on appropriate consent procedures.
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People with a cognitive impairment, an intellectual disability or mental illness The capacity of a person with any of these conditions to consent to research, and the ability to participate in it, can vary for many reasons including: o the nature of the condition; o the persons medication or treatment; o the persons level of discomfort or distress; o the complexity of the research project; and o fluctuations in the condition. People with these conditions may be more than usually vulnerable to various forms of distress. Ways of minimising this distress need to be clearly described. Consent to participate should be sought from the person if they have the capacity to consent, or from the persons guardian or any person or organisation authorised by law. The researcher should explain to the participant, as far as possible, what the research is about and what participation involves. Researchers need to clearly describe how they will determine a persons capacity to consent to the research. This needs to include how they will make this decision, who will make the decision, the criteria used to make the decision and the process for reviewing the persons capacity during the research. Aboriginal and Torres Strait Islander peoples A cornerstone of an ethical research relationship with Aboriginal and Torres Strait Islander Peoples is respect for and valuing of cultural and language diversity. Design and conduct of the research should reflect continuing consultation with the local participant population and the communities to which they belong. Research must not be exploitative and must take into account participants post-research wellbeing. Researchers need to abide by the national laws of the country in which the research will be conducted. For more detailed guidance see Keeping research on track: A guide for Aboriginal and Torres Strait Islander Peoples About Health Research Ethics (NHMRC 2005). For research with specific participants or in specific circumstances not listed here, for example in humanitarian crises, please contact the Research Unit.
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