Ethics for social research: guidance

APPENDIX: Scottish Government Ethics checklist

Project Title:

Project Manager:

Department/Division/Branch:

Principle 1: Research should have a clear and defined public benefit

Principle components

a) Identifying a user need

• Does the research aim to meet a clearly defined, legitimate and unmet user need?
• Have you engaged with relevant stakeholders in order to fully establish the user need?
• Is other research already taking place with the same groups, which could be amalgamated to prevent over-researching small populations?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) Public benefit

• How will the findings from this research benefit the public?
• Are there any risks that public benefits will not be realised?
• Could the research disproportionately benefit or disadvantage a particular group?
• Is it necessary to conduct this research in order to realise the public benefits?
• Does the public benefit outweigh any identified risks?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

c) Transparency and Dissemination

• Have you got a clear dissemination strategy in place? i.e. where, when and how you will disseminate findings?
• What elements do we want to disseminate?
• What is our role/responsibility to different stakeholders and research participants around dissemination?
• Are there any accessibility or equality issues about how findings are made available or presented?
• How will you ensure that research findings are brought to the attention of relevant stakeholders?
• Will the research process be fully transparent?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle 2: Research should be based on sound research methods and protect against bias in the interpretation of findings

Principle components

a) Proposed methodology

• From an ethical perspective, is the research design appropriate to the groups being interviewed?
• Is this level of respondent burden appropriate for the groups of people involved in the research?
• How will the research consider the diverse perspectives of people according to their gender, disability, ethnicity, religion, sexual orientation, socio-economic status and age?
• Is the proposed methodology the best and most cost-effective way of answering the research questions?
• Have you considered all the possible potential biases in the data, methods and analysis techniques that will be used in the project?
• Are you using new, emerging, or controversial methodologies or techniques? If so, what steps have been taken to ensure the integrity of the methods and results?
• Have issues of inclusivity been considered with regard to the use of generative AI, which is reliant on existing data sources to generate results?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) External ethical scrutiny

• Has your project been subject to independent ethical review?
• Are you interviewing NHS staff or patients? If so – the successful contractor may be required to obtain clearance from the National Research Ethics Services (NRES) Scotland Committee.
• Are you interviewing participants who may lack the mental capacity to provide informed consent? If so, the successful contractor may be required to obtain clearance from NRES.
• Are Academic institutions likely to be asked to tender? If so, they will still be required to go through their ethics committees. How will this affect the timetable?
• If AI is used in the analysis of transcripts, or secondary data, is there a mechanism for ensuring it does not produce biased results?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

c) Tendering

• Is this research using a new technique or is it innovative in its approach?
• Are there enough suppliers with the right experience to deliver the project without increased ethical sensitivity, for example in cases where the use of AI is proposed?

Considerations and mitigations:

Sensitivity rating

Red/ Amber/ Green

Principle components

d) Analysis and reporting of findings

• What measures are in place to ensure that the reporting and interpreting of findings protects against distortion and bias?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

e) Freedom of information

• What impact does FOI legislation have on the ethically sensitive management of all stages of the project, particularly on release of sensitive information? (E.g. release of an interim report)

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle 3: Research should adhere to data protection regulations and the secure handling of personal data

Principle components

a) Data Protection

• What procedures are in place to ensure adherence to appropriate data security requirements?
• Describe the personal data being collected and the method for storing and transfer of this data. Are you collecting any “sensitive” data, as defined by the Act?
• Is personal data of identifiable people being used when anonymised data would adequately achieve research objective? How will SG anonymize data it holds, at what stage.
• If you are using personal data gathered for another purpose, do you have an adequate legal basis to share the data and use it in this research?
• Are respondents clearly informed that their personal data will be used in this research? Are they informed about any third parties that will have access to their personal data?
• If the data is collected by another organisation (as data controllers) and shared with SG for further SG analysis, SG does not have the remit to enforce GDPR for other organisations. How does SG know if an organisation that collected the data for their own purpose (and is sharing with SG) fully complied with UKGDPR? What is the legal position if an organisation collecting data and sharing with SG did not meet UKGDPR? Can SG retain the data?
• What procedures are in place to ensure respondent confidentiality, including but not limited to ensuring respondent names and addresses are stored securely and kept separately from their responses?
• Is there a Controller/processor contract in place if analysis of data is contracted out to an external provider?
• In cases where generative AI is being used, further investigation may be required to ensure satisfactory answers to this set of questions.

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) Research findings

• How can you ensure that the data collected during the research is not going to be used for any other than its originally defined purpose?
• Reporting should not identify any individual. What measures are in place to protect the anonymity of research participants and organisations or, in some cases, to obtain permission to name?
• Do you have measures in place to guard against re-identification of individuals using research findings? This can be especially pertinent to groupings of 5 participants or less.
• - Is the personal data deleted when it is no longer needed for this research purpose? How long will the data be retained for, and why?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

GSR Principle 4: Participation in research should be based on specific and informed consent

Principle components

a) Consent to take part in

primary research

• What processes are in place to ensure that participants are informed and understand the project, the purpose, the client, topics, sufficient understanding of techniques and methods and that their participation is voluntary?
• Will you ensure that participants have given fully informed consent before taking part in the research?
• If you intend to follow up participants with further research, has this been made clear and consent given?
• If using AI, can you ensure the participants have given informed consent and that the anonymity of participants is assured? For example when carrying out social media research.

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) Consent via gatekeepers or proxy

• Is this required? If so, what processes need to be in place?
• What steps can be taken to ensure representativeness, i.e. to ensure that participants are not “hand-picked” by gatekeepers or that there is a minority view promoted?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

c) Children and young people (aged under 16)

• What processes are in place to ensure consent from a parent or legal guardian has been sought for children under the age of 16 and how has this been done? If parental consent is not to be sought, this is by default a ‘red’ risk and should be dealt with and mitigated accordingly.
• How can you ensure that the children are also adequately informed about the research?
• What processes are in place to ensure, where required, an adult accompanies children and young people during an interview? Who is best to accompany the child(ren)?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

d) Vulnerable adults

• Are you interviewing participants who may lack the mental capacity to provide informed consent for themselves? If so, the successful contractor will be required to obtain clearance from the ‘Scotland A’ Research Ethics Committee .
• How can you ensure that participants are adequately informed about the work?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

e) Access protocols

• Are there any particular access protocols for certain groups, does this apply to your respondent group Access protocols could apply to: Courts, Police, Prisons, Schools

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

f) Secondary Research

• Does the consent cover all potential future uses of the data?
• If your legal basis for processing data is not consent, have you still considered whether individuals have been (or should be) given the choice of their data being included in this research? Are participants (especially if children or vulnerable adults) clearly informed of future data linkage etc in a way that is age appropriate?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

g) Incentives?

• Is the use of incentives necessary? What evidence do you have that the use of incentives will significantly improve the research?
• Is your use of incentives in keeping with the GSR ethical principles? (See section 2.40 to 2.42 in the main guidance for further information)

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

GSR Principle 5: Research should enable participation of the groups it seeks to represent

Principle components

a) Identifying and reducing the barriers to participation

• What steps have you taken to identify potential barriers to participation? (e.g. cover for travel costs, childcare, varying times and locations of interviews, accessibility of venues etc.)
• What steps can be taken to encourage and widen participation? (e.g. travel costs, childcare, varying times and locations of interviews, accessibility of venues, advance letters in different languages etc)
• What considerations have been given to participants privacy in responding, if supports are required for their inclusion (e.g. children with Additional Support Needs)?
• Do you need interviewer assistance such as offering help with completion, or a translator?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) Ensuring that hard to reach groups are included

• Is the research and sample design appropriate?
• Might the data collection method exclude some groups of people?
• Do you need to consult with others (e.g. support groups, charities and other relevant stakeholders) so that barriers to participation for certain groups are fully identified and reduced?
• Do you need to over sample certain groups and/or weight the data?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

GSR Principle 6: Research should be conducted in a manner that minimises personal and social harm

Principle components

a) Research participants

• Do any of the research questions cover stressful or culturally sensitive subjects? If so, how will stress and sensitivities be minimised?
• How can interview length be kept to the minimum?
• Do you need to ensure that there is post-interview support?
• How will you offer support to those that are approached but decide not to participate in the research?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

b) Interviewers/ researchers

• What procedures are in place to ensure interviewers are properly trained (for example in methods, relevant legislation such as the Equality Act)? Training is available for Scottish Government Social Researchers who are advised to explore with the Office of the Chief Researcher.
• Do all interviewers /researchers have appropriate security clearance (e.g. criminal record checks or Disclosure Scotland if interviewing/ working with children)?
• What procedures are in place for handling disclosures of abuse, self-harm or suicidal ideation?
• What procedures are in place to ensure the safety of the interviewer/ researcher?
• Has consideration been given to exposure of researchers and analysts to sensitive topics? ( e.g. potential for vicarious trauma)
• Have the interviewer/researchers demonstrated awareness of equality issues and an ability to work inclusively?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Principle components

c) Wider Social Groups

• How will you mitigate any potential for harm to those who have not taken part in the research? For example, research focussing on specific groups has the potential to impact the wider social group.
• Have you considered or sought the public’s views on the research?

Considerations and mitigations:

Sensitivity rating

Red

Amber

Green

Summary

What are the key sensitivities?

How are you addressing them?

How often will you re-visit this research ethics assessment?

Date of completion:

For red projects only - Date of Ethical Sponsor and/or Peer Review Group sign off: