This Research Ethics Framework (REF) is intended to sustain and encourage good ethical practice in UK social science research. Almost without exception, social science research in the UK has been carried out to high ethical standards. But the growing range and sophistication of social science research requires this Framework to make the ESRC’s ethical requirements more explicit. It provides a frame of reference for new and established researchers in social science and for interdisciplinary research involving social science.This document sets out what the ESRC requires by way of ethical approval for the research it is asked to support, and sees as good practice for all social science research. Whilst the REF is available for use by other funders if they wish, it is mandatory for ESRC – funded research.

Social science is broad and varied, but often involves human beings. Other ethical frameworks for research on human subjects, such as that which addresses biomedical research, may not be appropriate, which is why a framework specific to social science is necessary. In some areas of social science ethical issues are limited, but in others they raise significant challenges that need to be addressed at an appropriate point or points.The ESRC expects that the research it supports will be designed and conducted in such a way that it meets key ethical principles, and is subject to proper institutional and professional oversight in terms of ethical research governance to ensure that these principles are met. These principles are intended to ensure that unethical research is prevented from the outset.

There are six key principles of ethical research that the ESRC expects to be addressed, whenever applicable:

■ Research should be designed, reviewed and undertaken to ensure integrity and quality

■ Research 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. Some variation is allowed in very specific and exceptional research contexts for which detailed guidance is provided in the policy Guidelines

■ The confidentiality of information supplied by research subjects and the anonymity of respondents must be respected ■ Research participants must participate in a voluntary way, free from any coercion

■ Harm to research participants must be avoided

■ The independence of research must be clear, and any conflicts of interest or partiality must be explicit.

To implement these principles:

■ The responsibility for conduct of the research in line with relevant principles rests with the principal investigator.

■ The responsibility for ensuring that research is subject to appropriate ethical review, approval and monitoring lies with the institution seeking or holding an award with the ESRC and which employs the researchers performing it, or some of the researchers when it is acting as the co-ordinator for collaborative research involving more than one

organisation. Institutions should have clear, transparent, appropriate and effective procedures in place for ethical approval whenever it is necessary.

The following research would normally be considered as involving more than minimal risk:

■ research involving vulnerable groups – for example, children and young people, those with a learning disability or cognitive impairment, or individuals in a dependent or unequal relationship

■ research involving sensitive topics – for example participants’ sexual behaviour, their illegal or political behaviour, their experience of violence, their abuse or exploitation, their mental health, or their gender or ethnic status

■ research involving groups where permission of a gatekeeper is normally required for initial access to members – for example, ethnic or cultural groups, native peoples or indigenous communities

■ research involving deception or which is conducted without participants’ full and informed consent at the time the

study is carried out

■ research involving access to records of personal or confidential information, including genetic or other biological information, concerning identifiable individuals

■ research which would induce psychological stress, anxiety or humiliation or cause more than minimal pain

■ research involving intrusive interventions – for example, the administration of drugs or other substances, vigorous physical exercise, or techniques such as hypnotherapy. Participants would not encounter such interventions, which may cause them to reveal information which causes concern, in the course of their everyday life.

http://students.shu.ac.uk/rightsrules/resethics1.html

2 Guiding Principles  

2.1 Research should be undertaken in accordance with commonly agreed standards of good practice such as are laid down in the Declaration of Helsinki. These fundamental and widely accepted principles may broadly be categorised as:

Beneficence - 'do positive good'

Non-Malfeasance - 'do no harm'

Informed Consent

Confidentiality/ Anonymity

2.2 Beneficence and Non-Malfeasance
Terms such as risk, harm and hazards include emotional and mental distress, and possible damage to financial and social standing, as well as to physical harm.

The research should be scientifically sound and the purpose should be to contribute to knowledge;

The research should be undertaken and supervised by those who are appropriately qualified and experienced;

The importance of the objective should be in proportion to the inherent risk to the subject. Concern for the interests of the subject must always prevail over the interests of science and society;

The research should be preceded by careful assessment of predictable risks in comparison with foreseeable benefits to the subject or to others;

Research should not be undertaken where the hazards involved are not believed to be predictable;

Adequate facilities and procedures should be in place to deal with any potential hazards.

2.3 Informed Consent

Each potential subject must be adequately informed of the aims, methods, anticipated benefits and potential hazards of the research and any discomfort it may entail;

Any documentation given to potential participants should be comprehensible and there should be an opportunity for them to raise any issues of concern;

Consent should be required in writing and records of consent should be maintained;

Potential participants must be informed that they are free to withdraw consent to participation at any time;

There should be a procedure for making complaints and participants should be made aware of this;

All participants should be volunteers. Considerable care should be taken where consent is sought from those in a dependent position and it should be made clear that refusal to participate will not lead to any adverse consequences. For example, students must be assured that any decision not to participate will not prejudice in any way their academic progress;

Any inducement offered to participants should be declared and should be in accordance with appropriate guidelines;

Consent must be obtained from a legal guardian in the case of minors or any others who do not have the legal competence to give informed consent.

2.4 Confidentiality/ Anonymity

All research should conform with legislation relating to data protection;

Details that would allow individuals to be identified should not be published, or made available, to anybody not involved in the research unless explicit consent is given by the individuals concerned, or such information is already in the public domain;

All reasonable steps should be taken to ensure that confidential details are secure;

Great care must be taken where there is an intention to use data collected for one study, for another study. It is important that relevant guidelines are followed.