27
ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Embed Size (px)

Citation preview

Page 1: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

ESRC Framework Research Ethics (FRE)

Professor Ann Buchanan, Chair of FRE Committee

Page 2: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

In this talk:

I will outline the challenges of the task

I will summarise the conduct of the review

I will highlight the major changes in the new ESRC Framework for

Research Ethics. (FRE)

Finally will introduce some case studies for discussion

What I am hoping to do is to start a dialogue. We are all learning.

Page 3: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

The Challenge: Updating the Framework for Research Ethics

My background: considerable research with children and young people in

some very sensitive areas.

Involved in the development or original Barnardo’s Guide

The challenge was to continue the push for the development of high

ethical standards while at the same time not block research using new

innovative methodologies.

ESRC need to enforce basic minimum standards but we need a

flexible approach which enables us to overcome new ethical

dilemmas in research.

Page 4: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Key Aspects of Original Framework Research designed, reviewed and undertaken to

ensure integrity and quality

Staff and subjects must be fully informed about purpose, methods, uses and risks

Confidentiality and anonymity must be respected

Voluntary basis free from coercion

Harm to participants must be avoided

Independence of the research must be clear, and conflicts of interest must be explicit

Page 5: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

The 2009 Review

Promised after three years

Some issues had arisen in that time (none major)

Some significant developments in legislation

RCUK Research Integrity (Good Research Conduct)

2008 consultation and its relevance

Major developments in ESRC with new funding

across disciplines, across research councils, across

countries.

Page 6: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Conduct of the Review Aim was that the review would be light touch and

framework would retain similar structure for familiarity

Public consultation January-February 2009

Research organisations (universities, etc. - ROs), Learned Societies and wider public consulted

Over 100 responses

Reviewed by small review panel chaired by ESRC Council member (Professor Ann Buchanan) in May 2009.

Page 7: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

The Review Panel

Chair: Professor Ann Buchanan, ESRC Council and Oxford University

Professor Sheila Peace – Open university

Professor John Oates – Open University

Professor Graham Crow - Southampton

Professor William Dutton – University of Oxford

Dr Janet Boddy – Institute of Education

The Panel was ably assisted by:

Michele Dobson and Mary Day of ESRC.

 

Page 8: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Some of the Issues raised in the consultation

The non-prescriptive approach generally welcomed. But varying

levels of development in the different Research Organisations.

The need for enforcement of minimum standards.

Asked to make Framework make more accessible and to give

more information on specific concerns.

New methodologies and new technology were raising new

ethical issues.

They felt that the FRE should be available on the web: a ‘living

tool’:

Page 9: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Specific concerns

Vulnerable groups: need for greater definition and guidance

Security, Data and Risk: further guidance was needed

Use of technology: more guidance was necessary Privacy and consent: secondary, video and image

evidence in particular needed more guidance, and also for small / elite populations where people might be identifiable

Page 10: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Some more of the Issues Raised Risk assessment : more advice and guidance was asked for

Co-funded and International research: particular challenges

in ensuring ethical best practice

More guidance on social care issues in the light of recent /

current developments and the role of SCIE (Social Care

Institute for Excellence) and SCREC (National Social Care

Research Ethics Committee)

More guidance on and reference to other bodies with

supervisory responsibilities

Page 11: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Structure of updated ESRC Framework

SUMMARY Principles and Minimum Requirements

SECTION 1: The ESRC’s Minimum Requirements

SECTION 2: Frequently Asked Questions Relating to the

Principles: Assessing Risk, Consent, Vulnerable Groups and the

links between Research Governance and Ethics.

Appendices

Page 12: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Appendices

APPENDIX A: Sample REC Initial Checklist, List of Points to Consider

for Full Review, UKRIO Checklist

APPENDIX B : Flowchart of Review Process

APPENDIX C: Key Terms

APPENDIX D: Relevant Legislation and Data Requirements; Disciplinary Websites,

Useful Links

APPENDIX E: Summary of Changes made to the 2005 Framework

APPENDIX F: Illustrative Case Studies and Protocols

Page 13: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Key Changes

New Name: Framework for Research Ethics (FRE)!

New Guidance for key legislative changes: e.g.

Mental Capacity Act 2005 and links to relevant

websites for other legislation.

Clear link made between Governance and Ethics. The

RCUK Research Conduct and Research Integrity Policy.

Page 14: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Reminders and further changes

The role of Research Ethics Committees :

They should publish a timetable for considering proposals.

Feedback comments to researchers; dialogue between RECs and

researchers to inform best practice.

Institutions encouraged to undertake periodic reviews of research

funded by ESRC

ESRC to undertake periodic audits of institutional arrangements

Page 15: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Key changes: Types of review All ESRC research must go through at least a Light Touch Review. risk

awareness whilst not being risk adverse.

Light touch review for projects of minimum risk

Use of approved protocols. To speed up the approval process.

Full Ethics Review. This should be carried out by a REC under the same

conditions as stated in the original REF.

FRE encourages researchers to consider Full Ethics Review if research is carried

out in international settings or with international partners. Similarly Elite interviews,

internet based research (particularly those involving visual images).

Ongoing review may be necessary after the start of an award to consider emerging

ethical issues.

Page 16: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Further clarification Student research: treated in the same manner as other research. It

cannot be assumed that all student research is minimal risk.

International /security. ESRC/DflD is funding increasing volume of

overseas research, some in sensitive areas. Consultation raised issues

including risk to researchers and participants

Use of approved research ethics protocols for commonly occurring

situations (e.g. normally developing children in school).

Limits to Confidentiality. when working with vulnerable populations and

where it becomes apparent that the vulnerable person/child is at risk of

significant harm.

Internet and technology: concerns about the vast increase in the use of

e-technology: further guidance is given but it is also recognised that this

will be a growing area and experience needs to be exchanged.

Page 17: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Next Steps

Revised Framework for Research Ethics was

published on web in January 2010

New web version under preparation

Requirement for New ethics guidance to be

incorporated by researchers and RECs by next year.

Page 18: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Ethics and Knowledge Exchange Possible areas of concern that raise ethics’ issues

As far as possible these need to be considered at the start of a project:

Data archiving of interviews:

Linking and sharing of data: ‘Just because you can does not mean you should’

Pressures to demonstrate IMPACT. Could there be risks to researchers, participants or

others from demonstrating impact and/or disseminating findings?

Knowledge exchange is important.

Page 19: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Case Study: Evaluation of Creative Relaxation (not ESRC funded)

The Girasol Foundation established in 2006 for the well-being of children and

those who work with them.

Their vision is to give every child the opportunity to experience their positive potential and to

develop resources to deal with the inevitable difficulties which life presents.

Cascade programme: train teachers in Creative Relaxation and teachers then train children

Centre for Research into Parenting and Children at Oxford responsible for evaluation of pilot project

Page 20: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

What were the ethics’ issues?

Research with vulnerable group i.e. children

But research on ‘typically-developing children’ in school

Oxford University has an agreed Research Protocol for

‘Non-invasive methods with typically-developing children in schools.

(MSD/IDREC/2005/p.2.1)

For the ESRC purposes: this could be a Light Touch Review. This would

highlight that the research was with a vulnerable group but that the project

was suitable for and would be able to follow the agreed protocol

What issues does the protocol cover?

Page 21: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Young carers of AIDS’ parents in South Africa : Lucie Cluver (Ex ESRC student currently funded by ESRC)

What happens when a parent gets sick ?

Page 22: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Ethics’ Issues

The key issue here was risk awareness – unable to avoid all risks

Vulnerable group: interviewing children in a particularly vulnerable situation

Vulnerable parents: sick/dying ; stigma of HIV/AIDS

International setting: safety risks to children, parents, researchers (research took place in

townships with high levels of violence)

But also: politically sensitive. Findings presented as attacking Government are unlikely to enter

policy

This proposal had to go through a full Oxford Ethics Review as ell as Univ. of Cape town; Univ.

of Kwa-Zulu, natal; helth Departments and Education Departments of each province.

Page 23: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Young Lives funded Department for International Development (DFID)

Young Lives is a long-term international research project investigating the changing nature of childhood poverty in order to: improve understanding of the causes and consequences of childhood poverty and to examine how policies affect children’s well-being inform the development and implementation of policies and practices that will reduce childhood poverty.

To do this they are tracking the lives of 12,000 children growing up in four developing countries over 15 years. The study countries – Ethiopia, the state of Andhra Pradesh in India, Peru and Vietnam – were selected to reflect a wide range of cultural, political, geographical and social contexts.

What are the ethics’ issues?

Page 24: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Young Lives: ethics’ issues

The study raises numerous ethics questions :

Research with children

Research in a developing countries with international partners

Research that is longitudinal, thus requiring sustaining of relationships over time;

Research that involves the archiving of collected data.

Approach was informed by:

• Guidelines from the University of Oxford’s Department of International Development, adapted

from the ethical guidelines of the Association of Social Anthropologists of the Commonwealth,

and based on the Helsinki guidelines.

• Save the Children Child Protection Policy (2003).

Ethics approaches in Young Lives were developed collaboratively with the country

Process, not a one-off event.

Page 25: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Lessons learnt

The need to understand the dynamic nature of communities is crucial in longitudinal research.

While broad shared ethics practices are important, these need to be applied with some flexibility

Researchers should be aware that they are not going into neutral situations –

• Survey and qualitative research teams undergo additional training sessions before each

round of fieldwork, and ethics questions are discussed across the study, with the aim of

developing a shared understanding of research ethics.

• Consent is understood as an ongoing process and is renegotiated at each stage of the

study.

• To ensure that staff knew what to do should they encounter children they believe may be

suffering from abuse or exploitation; we use the child protection protocols developed by

Save the Children (2003).

Virginia Morrow (2009) The Ethics of Social Research with Children and Families in Young Lives:

Practical Experiences, Young Lives Working Paper 53

Page 26: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

For further information: contact ESRC

Michelle Dodson, Head of Research Grants, Policy and

Development [email protected]

telephone 01793 414357

Mary Day, Senior Policy Manager, [email protected] telephone 01793 413078

Phil Sooben, Director Corporate Strategy,

[email protected] telephone 01793 413028

Glyn Davies, Director with special responsibility for research

integrity, [email protected]

telephone 01793 413009

Page 27: ESRC Framework Research Ethics (FRE) Professor Ann Buchanan, Chair of FRE Committee

Now over to you! ESRC Framework Research Ethics (FRE)