Ethics for social research: guidance

1. Introduction and Summary

1.1. Welcome to the Ethics Guidance for Scottish Government social researchers. This document covers ethical issues, how to fill out an ethics checklist and the Scottish Government internal ethics peer review process.

1.2. This document takes as its base the previous Scottish Government guidance published in 2015. It contextualises the unique Scottish position drawing upon revised UK best practice and as a result also bears close resemblance to Version 3 of the GSR Ethical Assurance for Social and Behavioural Research in Government, to which the Scottish Government was a key contributor.

1.3. Anyone conducting or commissioning social research for government has the responsibility to consider ethical issues, principles and potential risks arising throughout the lifecycle of a research project, including for any secondary data analysis. The Scottish Government expects that its researchers and social research contractors will follow the highest practical ethical standards in delivering research that is vital to the interests of the people of Scotland.

1.4. The requirements in this guidance should be applied proportionately, and care taken to ensure that research questions, methods and engagement approach are appropriate to address the scale and profile of the policy issues. The approach should not be one of compliance, but rather seeking to use the principles to probe the need for a project, and what is being requested. Successful application of the ethical principles represents a key tool to shape work and enable constructive challenge of policy assumptions.

1.5. This guidance is mandatory for all research projects undertaken or commissioned by Scottish Government. However, it does not replace mandatory procedures within other organisations, for example when working in the NHS.

1.6. All staff commissioning or conducting social research for the Scottish Government have a responsibility to uphold six ethical principles:

• Principle 1: Research should have a clear user need and public benefit;
• Principle 2: Research should be based on sound research methods and protect against bias in the interpretation of findings;
• Principle 3: Research should adhere to data protection regulations and the secure handling of personal data;
• Principle 4: Participation in research should be based on specific and informed consent;
• Principle 5: Research should enable participation of the groups it seeks to represent;
• Principle 6: Research should be conducted in a manner that minimises personal and social harm.

Responsibilities of the Scottish Government

1.7. The Scottish Government is responsible for ensuring appropriate ethical standards are met. For all types of social research projects, the Scottish Government has a responsibility to ensure:

• Appropriate systems are in place which assess appropriateness of research methods; ability and capacity of contractors to undertake the research to appropriate quality standards; anticipated risks to researchers and participants at the outset of the project; and consideration of unanticipated ethical problems which emerge during the project. Systems should be regularly reviewed to ensure they are fit for purpose;
• The importance of good ethical practice is set out in departmental skills/competency frameworks, and staff training/development needs are met so that they can implement their ethical responsibilities;
• Appropriate management and quality assurance arrangements are in place for ensuring these ethical principles are upheld and any complaints for both internal and external research projects are monitored and responded to.

Existing legislation and guidance

1.8. Scottish Government researchers should remain mindful of the following external ethical resources that are also available. The present guidance is underpinned by the GSR Ethical Assurance for Social and Behavioural Research, UK Statistics Authority’s Data Ethics Principles and Framework; the Economic and Social Research Council (ESRC)’s Research Ethics Framework; the Social Research Association (SRA)’s Ethical Guidelines; the Market Research Society (MRS) Code of Conduct and the EU-funded PRO-RES ethical framework.

1.9. Considerations have been made for legal duties under the GDPR 2016 and the Data Protection Act 2018, as well as specific guidance on how this should be interpreted from the Information Commissioner’s Office (ICO) and the Scottish Information Commissioner.

1.10. When considering ethical implications of social research, due consideration should be given to the Scottish Government’s equality duties to ensure that research is designed and managed in a way that: (a) to eliminates discrimination; (b) advances equality of opportunity; (c) fosters good relations. Where relevant, references have been made throughout the six ethical principles within this guidance.