You are on page 1of 14

Research Ethics Guidelines

August 2009

Photograph: Matthew Willman/ Oxfam Australia (2008) 14577

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.

Remember: doing research with people is a privilege, not a right!

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.

Page 2 of 14

Oxfam Australias Ethics Checklist


The following ethical issues need to be considered when planning any research: Is the research necessary? Is the research well-planned as a project, and integrated into a programme of practical work? Have you considered the specific ethical issues raised by this project, and how to address them? How will informed consent be obtained from respondents? Are you providing accessible information about your project? What level of confidentiality and anonymity can you offer to participants, and how can they be effectively informed of this? Is there appropriate stakeholder participation in the project? Are you offering appropriate return for assistance? Are respondents able to check your version of the information they have given you? How will you ensure that information is appropriately fed back to those who were researched? What systems are in place to ensure that you learn from your experience? How are respondents to be informed of, or consulted on, the results of the research? Have risks to field researchers been assessed and have ways to minimise them been devised?

Page 3 of 14

Oxfam Australias Guiding Values for Conducting Ethical Research


The heart of respect Oxfam Australias commitment to overcoming the structural causes of poverty and injustice, empowering people to control their lives and claim their human rights translates into a research agenda and practice committed to bringing about change and benefiting communities and society more generally. To achieve these aims Oxfam Australia has adopted responsible and accountable practices embodied in its research Code of Ethics. Responsibility entails thinking about the consequences of ones actions on others, and the establishment of clear lines of accountability and the redress of grievances and inappropriate conduct (EU:3). These ethical guidelines are expected to be followed in all research undertaken by Oxfam Australia. These Guiding Values 1 are designed to assist researchers, those commissioning research and commissioned research partners to meet their ethical responsibilities: to identify ethical issues in the design, review and conduct of research; to deliberate about ethical issues; and to justify decisions made about the research process. What are research ethics? People and their relationships are at the heart of social research. For this reason, ethical issues that is, questions regarding what is socially right, fair and just are central to research involving people. Ethics however, are about more than just doing the right thing. Ethics involve acting in the right spirit out of an abiding respect and concern for others (Australian Government 2007:3) it is an ethos which should be embodied in all social interactions between researchers and research participants. Ensuring ethical research is a vital part of maintaining the legitimacy of research practice (May 2001:46). For research conducted and commissioned by Oxfam Australia, this means abiding by the guiding values of respect, beneficence, justice and integrity. These values must inform all stages of the research process, the knowledge created and the use of that knowledge. Respect involves recognising that each human being has values and these values must inform all social interactions; involves recognising the capacity for people to determine their lives and make their own decisions, including their level of involvement in research; involves having due regard for the wellbeing, beliefs, perceptions, customs and cultural heritage, both individual and collective of research participants; and
1

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.

Page 4 of 14

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.

Page 5 of 14

Oxfam Australias Ethical Research Code of Practice


Oxfam Australia staff, and those commissioned to do research for Oxfam, must adhere to the Guiding Values and to this Code of Ethical Research Practice. It is the responsibility of individual researchers to ensure that the research they conduct is ethically acceptable 2 . Researchers must follow this Code of Practice 3 : The research aims of any study should both benefit society and minimise social harm. Researchers should maintain professional integrity and abide by national and international law. Research proposals should be ethically approved by relevant national bodies, where possible, in the countries in which the research will be conducted 4 . Researchers should endeavour to ensure that research is commissioned and conducted with respect for, and awareness of, gender differences. Researchers should endeavour to ensure that research is commissioned and conducted with respect for all groups in society, regardless of race, age, ethnicity, ability, religion, beliefs and culture. Researchers should endeavour to ensure that research is commissioned and conducted with respect for under-represented social groups and that attempts are made to avoid their marginalisation or exclusion. Researchers should endeavour to ensure that the concerns of relevant stakeholders and user groups are addressed. Researchers should endeavour to ensure that an appropriate research method is selected on the basis of informed professional expertise and are used in a consistent, logical and well-documented manner. Researchers should endeavour to ensure that the research team has the necessary professional expertise and support. Researchers should endeavour to ensure that the research process does not involve any unwarranted material gain or loss for any participants. Researchers should endeavour to ensure accurate accounts and avoid falsification, fabrication, suppression or misinterpretation of the data. Researchers recognise that building trust with participants is crucial to knowledge production. This includes researchers listening without judgement. Researchers should endeavour to reflect on the consequences of research engagement for all participants, and attempt to alleviate potential disadvantages to participation for any individual or category of person. Researchers should endeavour to ensure that reporting and dissemination are carried out in a responsible manner.

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.

Page 6 of 14

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.

Remember: doing research with people is a privilege, not a right!

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.

Page 7 of 14

Oxfam Australias Guidelines for Informed Consent


Researchers must gain informed and voluntary consent before commencing any research with participants. Researchers have a responsibility to ensure that potential research participants are given sufficient information to ensure they have a full understanding of their requested involvement, including: o the aims and objectives of the research; o the time commitment associated with participation; o the type of activities involved; o topics to be covered; o confidentiality and privacy arrangements; o dissemination strategy; o any expected benefits and risks of involvement; o sources of research funding; o participants right to withdraw at any stage, including withdrawing their data; and o that this information is presented in ways suitable to each participant. Participants must understand the information given to them, including the risks and possible benefits to them, and implications of participation in the research. All individuals are free to choose whether to give their consent or not, without inducement, and are free to withdraw their involvement in the research at any stage without any negative implications. Consent can be given orally or in writing depending on the nature and complexity of the research and the participants personal and cultural circumstances. If research participants are given a consent form to sign, it must be written in plain language and accompanied by a plain language statement describing the research aims and objectives, possible outcomes and include the researchers and/or partner organisations contact details. In some contexts, verbal consent may be more appropriate than written consent. For example, where there is a history of authoritarian governments, research participants may not be familiar with being asked to give their consent. Signing a formal written document may provoke feelings of fear, anxiety and intimidation, especially if they are illiterate, and may be counter to building trust with participants. If research involves children (those under the age of 18), their and their parents or guardians consent must be gained for them to participate. The

Page 8 of 14

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.

Page 9 of 14

Oxfam Australias Guidelines for Confidentiality & Anonymity


Researchers have a responsibility to protect participant confidentiality; that is the identity of those providing research data. Researchers must not discuss information shared by participants with people other than the research team. All information collected from participants must be given a de-identified code number (eg. A01, A02) to protect their confidentiality. Pseudonyms may not be sufficient to hide participant identity. It may be necessary to develop typologies or to seek approval for disclosure. Anonymity goes a step further than confidentiality and refers to protection against identification even from the researcher. Information, data and responses collected anonymously should not be identifiable with any particular respondent. Anonymity also involves secure storage of data, restricting access to the data, the need for permission for subsequent use of the data and eventual destruction of the data. All stored data must be de-identified. The Research Manager must be the only person with access to identified data records. All data must be stored safely and if in electronic form, must be password protected, or if in a hard copy must be in a locked filing cabinet. Data must be safely stored (see above point) for 5 years following the completion of the research project and then destroyed.

Page 10 of 14

Oxfam Australias Guidelines for Using Research Findings


Potential research participants must be told as a part of the informed consent process how Oxfam intend to use the research findings. Research participants must be asked, and are free to choose whether or not: o they can be quoted in the research findings and Oxfam materials, o if their real name can be used in the research findings and Oxfam materials; o if their photograph, audio recording, video recording can be used in the research findings; and o the use, and potential future uses, of research materials must be clearly identified and discussed with participants as a part of the Informed Consent process. The choices of research participants must be clearly recorded on their written consent form, or in the case of oral consent, on appropriate participant records. All information collected from participants must be given a de-identified code number (eg. A01, A02) to protect their anonymity. All stored data must be de-identified. The Principle Researcher must be the only person with access to records linking the de-identified data with participants. This information must be stored safely and if in electronic form, must be password protected, or in a locked filing cabinet. Data must be safely stored (see above point) for 5 years following the completion of the research project. Participants consent must be re-negotiated if research findings are to be used in ways outside initial agreements.

Page 11 of 14

Oxfam Australias Guidelines for Specific Participants


Children and young people Research involving children and young people under 18 years raises particular ethical concerns about: o their capacity to understand what the research entails, and therefore whether their consent to participant is sufficient for their participation; o their possible coercion by parents, peers, researchers or others to participate in research; and o conflicting values and interests of parents and children. Researchers must respect the developing capacity of children and young people to be involved in decisions about participation in research. The young persons level of maturity has particular implications for whether their consent is necessary and/or sufficient to authorise participation. All children and young people should be engaged at their level in discussion about the research and its likely outcomes. Researchers need to specify how they will judge the childs vulnerability and capacity to consent to participation in research and describe the form of proposed discussion with children about the research and its effects, at their level of comprehension. People in dependent or unequal relationships These relationships may compromise the voluntary character of participants decisions, as they involve unequal status, where one party has a position of influence or authority over the other. For example: o carers and people with chronic conditions or disability, long term hospital patients or involuntary patients; o health professionals and their clients; o teachers and their students; o prison authorities and prisoners; o government authorities and refugees; o service-providers and especially vulnerable communities to whom the service is provided. Being in a dependent or unequal relationship constitutes a reason to pay particular attention to the process through which consent is negotiated. Researchers should invite potential participants to discuss their participation with someone who is able to support them in making their decision. People in these relationships are vulnerable to being over-researched because of the relative ease of access to them as research populations. Researchers should take this into account when deciding whether to seek out members of these populations as participants. Throughout the research process, researchers should take particular care to minimise the impact of that dependency.

Page 12 of 14

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.

Page 13 of 14

Oxfam Australias Guidelines for Assessing Research Risk


Oxfam Australia considers research fulfilling the following criteria to be have significant risks: o Research conducted with vulnerable social groups: for example, minors (those under 18 years of age); people with disability; Aboriginal and Torres Strait Islanders; ethnic minority and other disadvantaged social groups. A risk is a potential for harm, discomfort or inconvenience. It includes: o the likelihood that a harm (or discomfort or inconvenience) will occur; and o the severity of the harm, including its consequences. Research will be ethically acceptable only if its potential benefits justify the risk of harm to participants. Researchers have an obligation to minimise the risks to participants. Research may lead to harms, discomforts or inconveniences for participants and/or others. For example: o physical harms including injury, illness or pain; o psychological harms including feelings of worthlessness, distress, anger; o devaluation of personal worth including being humiliated, manipulated or treated disrespectfully or unjustly; o social harms including damage to social networks or relationships with others, discrimination in access to services, benefits or stigmatisation; o economic harms including imposition of direct or indirect costs; and o legal harms including discovery and prosecution of criminal conduct. Discomfort is less serious than harm; inconvenience is less serious than discomfort. Low risk research describes research in which only foreseeable risk is one of discomfort. Negligible risk research describes research in which there is no foreseeable risk of harm or discomfort; and any foreseeable risk is no more than inconvenience. When gauging the severity of the harm, the choices, experience, perceptions, values and vulnerabilities of different populations of participants will be relevant. Minimising risk involves an assessment of the research aims, their importance, and the methods by which they can be achieved. Where the Research Unit judges that the level of risk in a research proposal is not justified by the benefits, either the research aims or the methods by which they are to be achieved, or both, will need to be reconsidered if the research is to proceed. When risks have been identified, gauged and minimised, and the research has been approved, the risks must then be managed. This means dealing with any harms that occur and managing them as well as possible, including that the participants clearly understand the risks they are assuming.

Page 14 of 14

You might also like