Independent Studies 7BM998 Resource 2

1. Independent Studies7BM998 Resource 2 Designing Methodology and Ethics Dr Jill Hanson N509 J.Hanson@derby.ac.uk

2. Devising An Appropriate Methodology 1 Broadly speaking there are TWO main research approaches: Positivistic Phenomenological How do you know which is the right approach?!!

3. What is a positivistic approach? Saunders et al : Deductive (theory tested by observation) Seeks to explain causal relationships between variables Normally uses quantitative data (numbers or categories) Employs controls to permit the testing of hypotheses Uses a highly structured methodology to facilitate replication Attempts to permit generalisation (uses many subjects) Ask students when they think this approach might be useful and what sorts of data collection techniques lend themselves to this approach. What are the weaknesses of this approach?Ask students when they think this approach might be useful and what sorts of data collection techniques lend themselves to this approach. What are the weaknesses of this approach?

4. What is a phenomenological approach? Concerned with the meanings that research subjects attach to social phenomena Permits a more in depth analysis of people’s experiences and perceptions Findings not generalisable (uses small number of participants) Quite useful for theory building Ask students when this approach is going to be more useful and what data collection techniques lend themselves to this approach. What are the weaknesses of this approach?Ask students when this approach is going to be more useful and what data collection techniques lend themselves to this approach. What are the weaknesses of this approach?

5. Research Strategy Is roughly how you will go about answering the objectives you have set Saunders et al: 3 different research strategies Experiment Survey Case study Also need to consider dimension of time – will your research be cross-sectional or longitudinal? And, will your study be exploratory, descriptive or explanatory? Ask students what they think constitutes each of the three approaches ALSO, REMEMBER THAT MOST PROJECTS ADOPT MULTI-METHOD APPROACHES.Ask students what they think constitutes each of the three approaches ALSO, REMEMBER THAT MOST PROJECTS ADOPT MULTI-METHOD APPROACHES.

6. Experiment A favourite in the social science of psychology Involves devising specific hypotheses and testing them Select samples from known populations Manipulate independent variables to see if that affects the dependent variable whilst controlling other important variables

7. Survey Most popular method in more ‘applied’ social sciences Usually involves questionnaire as a data collection technique But limits to what can be assessed through a questionnaire Difficult to determine causality using survey method

8. Case Study Detailed, in depth study of a particular case such as a person or organisation to provide a rich understanding of that specific subject. Can include a variety of data collection techniques Results not generalisable – only applicable to case in hand.

9. Research purpose Descriptive research – to literally describe a phenomena e.g. census Exploratory research – useful for finding out what is happening, seeing whether a large set of variables are related to each other, or clarifying your understanding of a problem Explanatory research – establishing whether one or more variables cause changes in other variable(s).

10. Cross-sectional v Longitudinal Cross-sectional research – snapshot of phenomena at a particular point in time excellent for descriptive or exploratory research less useful for explanatory research Longitudinal research – measuring things at several points in time Good for researching processes, change and development But time consuming and problem of participant drop out Ask students which approach is best for establishing cause and effect.Ask students which approach is best for establishing cause and effect.

11. Data Requirements Table

12. Access Be realistic. The most likely sources of data will come from organisations Where you work/used to work Where you friends/family work Other access routes could be through the mentoring scheme Professional bodies such as CIPD. Become a member if you are not already and get networking ASAP

13. GANTT Chart A GANTT chart should show all the key milestones and activities you have to complete and the timescale which you will work to. Yours should refer to : Topic selection Aims and objectives written Methodology planned Data requirements table Literature search Prepare ethics approval form/proposal Data collection methods produced and signed off by supervisor Completed ethics approval form submitted to ethics committee Literature review written and submitted to supervisor Methodology section written and submitted to supervisor Data collection Data anlaysis Final write up A GANTT chart should show all the key milestones and activities you have to complete and the timescale which you will work to. Yours should refer to : Topic selection Aims and objectives written Methodology planned Data requirements table Literature search Prepare ethics approval form/proposal Data collection methods produced and signed off by supervisor Completed ethics approval form submitted to ethics committee Literature review written and submitted to supervisor Methodology section written and submitted to supervisor Data collection Data anlaysis Final write up

14. ETHICS You MUST consider Ethics in your design This year you will have to complete an ethics approval form and have your research design approved by the subject area research ethics committee

15. Research Ethics – University Code of Ethics Researchers must not compromise the overriding principles of non-malfeasance and beneficence, legal obligations and any pre-existing rights in the conduct of research. Researchers must weigh up the potentially conflicting risks and benefits of a particular piece of research, for instance the potential conflict between human and animal welfare. Researchers should consider the principle of justice and the fair treatment of participants in research. Thus the researcher, supervisor or IS tutor may be required to make judgements about the essential fairness of the activity and to ensure that the interests of all participants, whether directly or indirectly involved, are taken into account. Researchers should consider the ethical implications of the research and the physiological, psychological, social, political, religious, environmental, cultural and economic consequences of the work for the participants. Researchers should be sensitive to the possibility of blasphemy or giving offence to followers of faiths or beliefs arising from a piece of work. The appropriateness of your behaviour in relation to the rights of those who become the subject of your work, or are affected by it” (Saunders et al, 1999, p. 109). University has a Research Code of Ethics – in particular you need to pay attention to following points: Researchers must not compromise the overriding principles of non-malfeasance and beneficence, legal obligations and any pre-existing rights in the conduct of research. Researchers must weigh up the potentially conflicting risks and benefits of a particular piece of research, for instance the potential conflict between human and animal welfare. 3.6 Researchers should consider the principle of justice and the fair treatment of participants in research. Thus the researcher, supervisor or IS tutor may be required to make judgements about the essential fairness of the activity and to ensure that the interests of all participants, whether directly or indirectly involved, are taken into account. 3.7 Researchers should consider the ethical implications of the research and the physiological, psychological, social, political, religious, environmental, cultural and economic consequences of the work for the participants. Researchers should be sensitive to the possibility of blasphemy or giving offence to followers of faiths or beliefs arising from a piece of work.The appropriateness of your behaviour in relation to the rights of those who become the subject of your work, or are affected by it” (Saunders et al, 1999, p. 109). University has a Research Code of Ethics – in particular you need to pay attention to following points: Researchers must not compromise the overriding principles of non-malfeasance and beneficence, legal obligations and any pre-existing rights in the conduct of research. Researchers must weigh up the potentially conflicting risks and benefits of a particular piece of research, for instance the potential conflict between human and animal welfare. 3.6 Researchers should consider the principle of justice and the fair treatment of participants in research. Thus the researcher, supervisor or IS tutor may be required to make judgements about the essential fairness of the activity and to ensure that the interests of all participants, whether directly or indirectly involved, are taken into account. 3.7 Researchers should consider the ethical implications of the research and the physiological, psychological, social, political, religious, environmental, cultural and economic consequences of the work for the participants. Researchers should be sensitive to the possibility of blasphemy or giving offence to followers of faiths or beliefs arising from a piece of work.

16. Ethics Procedures Informed Consent Participants must be fully informed re the nature of the research and of their right to privacy Must also be informed of right to not answer any questions they do not want to or to withdraw at any time Consider participant age (parental consent may be required) Confidentiality, Anonymity and Data Protection Animal Rights Research undertaken in a public place Academic Integrity Contractual Responsibilities Signed form Ethical conduct in research demands respect for the rights of others who are directly or indirectly affected by the research. For human participants, both their physical and personal autonomy should be respected. Participation in the research should be on the basis of fully informed consent and participants’ rights of privacy should be guaranteed. Written consent should be obtained where appropriate. There should be no coercion of any kind. Equally, the means by which participants are recruited should be carefully assessed in relation to possible rewards for participation. Participants will have the right to withdraw at any time and are not obliged to continue if they do not wish to. Prior to gaining informed consent the researcher should ensure that participants are fully informed of the nature and the purpose of the research well in advance of the work to be carried out. Where there are third parties marginally involved in the research, for example as members of the public in an observer capacity, or where groups of people are involved, informal consent might be more appropriate than formal consent. Where participants are not in a position to give informed consent the researcher should have regard to the advice of the Royal College of Physicians (1990) and the Royal College of Psychiatrists (1990). English law may not currently permit guardians/parents to give consent on behalf of mentally incapacitated adults in certain matters. Researchers should seek advice as to whether they need to obtain a declaration from the court that the proposed research procedures are lawful. 3.12 Young persons over the age of 16 are generally thought to be able to give informed consent but it might be appropriate to seek advice depending on the nature of the work. Research involving children under 16 will require the informed consent of parents, carers or guardians. Notwithstanding the fact that parental consent has been obtained, primary responsibility for safeguarding the rights of the child remains with the researcher. 3.13 Where the nature of the research is such that informing participants before the work is carried out might render the results invalid, for example within aspects of the social and cognitive sciences such as perception, there must be appropriate explanations following the study. In these circumstances, justification for this course of action is required to be submitted for approval to the School Research Committee. Researchers must provide convincing reasons why such research should proceed without the necessary informed consent. Researchers should not mislead participants if it is thought that prior permission will not be obtained. It is essential that researchers should be aware of any professional guidelines pertaining to their field of study. ) Confidentiality and data protection 3.14 Participants’ confidentiality and anonymity should be maintained, and their personal privacy protected. The identity of participants should not be revealed unless written permission is obtained prior to the research being carried out. 3.15 The collection, storage, disclosure and use of research data by researchers must comply with the Data Protection Act 1998. Researchers should be aware of the risks of identification and breach of privacy and confidentiality posed by all kinds of information storage and processing, including computer and paper files, email records, photographic material, audio and videotapes and any other information in which an individual is named, or from which an individual could be identified. Research undertaken with users and participants should be premised upon a clear agreement regarding the use of confidential information Research undertaken in public places 3.17 Researchers should pay particular attention to the implications of research undertaken in public places. The impact on the environment will be a key issue. Researchers must observe the laws of obscenity and public decency. Those engaged in research should also have due regard to religious and cultural sensitivities. ) Academic Integrity 3.19 The general principle of integrity should inform all research activities. Honesty should be central to the relationship between researcher, participant and other interested parties. Research outputs should contain acknowledgements of the work of others as appropriate. Plagiarism is deemed to have occurred if a researcher does not acknowledge the work of another person or persons, eg when the source or cited quotations are not identified. Particular care should be exercised in acknowledging the work of research students. Normally, joint ownership of work by students and supervisors would pertain. For detailed advice on IPR see separate guidance notes. Issues arising from industrial placements and the protection/registration of materials should also be considered. 3.20 Participants and other relevant stakeholders should be offered access where appropriate to a summary of the research findings. Research reports should be truthful, accurate and demonstrably the work of the author concerned. f) Contractual responsibilities 3.21 The terms of any contract relating to research must not compromise the overriding principles of non-malfeasance and beneficence, legal obligations and any pre-existing rights. 3.22 The terms of research undertaken on behalf of a sponsor must be agreed in advance. Terms will include the specification of the research project, the roles and responsibilities of the researchers, the University and the sponsor and agreement on the dissemination and exploitation of the research outputs. The need for confidentiality or non-disclosure agreements must be negotiated in advance. Issues of pre-existing rights and other legal issues should be clarified in advance with the Company Secretary. 3.23 There should be a clear agreement on intellectual property rights. 3.24 Terms and conditions of research contracts should be clarified with all participants with particular regard to copyright, rights to publications, prior disclosure and disclosure of information, remuneration and any other benefits. 3.25 The researcher should furnish the sponsor with research reports and other deliverables as agreed in the original contract.Ethical conduct in research demands respect for the rights of others who are directly or indirectly affected by the research. For human participants, both their physical and personal autonomy should be respected. Participation in the research should be on the basis of fully informed consent and participants’ rights of privacy should be guaranteed. Written consent should be obtained where appropriate. There should be no coercion of any kind. Equally, the means by which participants are recruited should be carefully assessed in relation to possible rewards for participation. Participants will have the right to withdraw at any time and are not obliged to continue if they do not wish to. Prior to gaining informed consent the researcher should ensure that participants are fully informed of the nature and the purpose of the research well in advance of the work to be carried out. Where there are third parties marginally involved in the research, for example as members of the public in an observer capacity, or where groups of people are involved, informal consent might be more appropriate than formal consent. Where participants are not in a position to give informed consent the researcher should have regard to the advice of the Royal College of Physicians (1990) and the Royal College of Psychiatrists (1990). English law may not currently permit guardians/parents to give consent on behalf of mentally incapacitated adults in certain matters. Researchers should seek advice as to whether they need to obtain a declaration from the court that the proposed research procedures are lawful. 3.12 Young persons over the age of 16 are generally thought to be able to give informed consent but it might be appropriate to seek advice depending on the nature of the work. Research involving children under 16 will require the informed consent of parents, carers or guardians. Notwithstanding the fact that parental consent has been obtained, primary responsibility for safeguarding the rights of the child remains with the researcher. 3.13 Where the nature of the research is such that informing participants before the work is carried out might render the results invalid, for example within aspects of the social and cognitive sciences such as perception, there must be appropriate explanations following the study. In these circumstances, justification for this course of action is required to be submitted for approval to the School Research Committee. Researchers must provide convincing reasons why such research should proceed without the necessary informed consent. Researchers should not mislead participants if it is thought that prior permission will not be obtained. It is essential that researchers should be aware of any professional guidelines pertaining to their field of study. ) Confidentiality and data protection 3.14 Participants’ confidentiality and anonymity should be maintained, and their personal privacy protected. The identity of participants should not be revealed unless written permission is obtained prior to the research being carried out. 3.15 The collection, storage, disclosure and use of research data by researchers must comply with the Data Protection Act 1998. Researchers should be aware of the risks of identification and breach of privacy and confidentiality posed by all kinds of information storage and processing, including computer and paper files, email records, photographic material, audio and videotapes and any other information in which an individual is named, or from which an individual could be identified. Research undertaken with users and participants should be premised upon a clear agreement regarding the use of confidential information Research undertaken in public places 3.17 Researchers should pay particular attention to the implications of research undertaken in public places. The impact on the environment will be a key issue. Researchers must observe the laws of obscenity and public decency. Those engaged in research should also have due regard to religious and cultural sensitivities. ) Academic Integrity 3.19 The general principle of integrity should inform all research activities. Honesty should be central to the relationship between researcher, participant and other interested parties. Research outputs should contain acknowledgements of the work of others as appropriate. Plagiarism is deemed to have occurred if a researcher does not acknowledge the work of another person or persons, eg when the source or cited quotations are not identified. Particular care should be exercised in acknowledging the work of research students. Normally, joint ownership of work by students and supervisors would pertain. For detailed advice on IPR see separate guidance notes. Issues arising from industrial placements and the protection/registration of materials should also be considered. 3.20 Participants and other relevant stakeholders should be offered access where appropriate to a summary of the research findings. Research reports should be truthful, accurate and demonstrably the work of the author concerned. f) Contractual responsibilities 3.21 The terms of any contract relating to research must not compromise the overriding principles of non-malfeasance and beneficence, legal obligations and any pre-existing rights. 3.22 The terms of research undertaken on behalf of a sponsor must be agreed in advance. Terms will include the specification of the research project, the roles and responsibilities of the researchers, the University and the sponsor and agreement on the dissemination and exploitation of the research outputs. The need for confidentiality or non-disclosure agreements must be negotiated in advance. Issues of pre-existing rights and other legal issues should be clarified in advance with the Company Secretary. 3.23 There should be a clear agreement on intellectual property rights. 3.24 Terms and conditions of research contracts should be clarified with all participants with particular regard to copyright, rights to publications, prior disclosure and disclosure of information, remuneration and any other benefits. 3.25 The researcher should furnish the sponsor with research reports and other deliverables as agreed in the original contract.

17. Ethical Issues In Design and Access Your research should be designed in line with ethical principles (think of participants and the factors on the previous slide) When seeking access you must not put pressure on intended participants to grant access (particularly salient for those of you conducting research in the organisation in which you work) Right to privacy Secondary data and right to privacy Deception – informed consent (the aims and nature of the research, who is undertaking it, who is funding it, its likely duration, why it is being undertaken, the possible consequences of the research and how the results will be disseminated) In particular you must be careful when negotiating access – do not offer the organisation more than you ethically give. Your research should be designed in line with ethical principles (think of participants and the factors on the previous slide) When seeking access you must not put pressure on intended participants to grant access (particularly salient for those of you conducting research in the organisation in which you work) Right to privacy Secondary data and right to privacy – does any secondary data you are using contain personal details? Deception – either concealing the real purpose of your research or undeclared sponsorship where the data you collect might end up being used by another company for competitive gain for example. This is usually dealt with by requesting Informed consent from intended participants and gatekeepers being told the aims and nature of the research, who is undertaking it, who is funding it, its likely duration, why it is being undertaken, the possible consequences of the research and how the results will be disseminated. Your research should be designed in line with ethical principles (think of participants and the factors on the previous slide) When seeking access you must not put pressure on intended participants to grant access (particularly salient for those of you conducting research in the organisation in which you work) Right to privacy Secondary data and right to privacy – does any secondary data you are using contain personal details? Deception – either concealing the real purpose of your research or undeclared sponsorship where the data you collect might end up being used by another company for competitive gain for example. This is usually dealt with by requesting Informed consent from intended participants and gatekeepers being told the aims and nature of the research, who is undertaking it, who is funding it, its likely duration, why it is being undertaken, the possible consequences of the research and how the results will be disseminated.

18. Ethical Issues During Data Collection General Issues Right to privacy, to refuse to answer questions, to withdraw at any time Objectivity Confidentiality and anonymity Qualitative Issues Greater scope to breach ethical code because of personal contact, non-standardised questions, observation and incremental developments to your knowledge base Must avoid ‘over-zealous’ behaviour/questioning and pressing people for answers Must be very careful that the questions you ask are not demeaning and that interview does not intrude on other activities General Issues Right to privacy, to refuse to answer questions, to withdraw at any time. In particular you must not ask people to give information beyond what they have agreed to- once access has been granted you should remain within the boundaries of your research project. To do otherwise could cause upset and the termination of your data collection Another related issue is collecting data in an objective fashion. You must try to avoid being subjective and you must not be selective about the data you decide to record. It goes without saying that making up data is wholly unacceptable and unethical. Confidentiality and anonymity – once these promises have been made when negotiating access, you must adhere to them. With qualitative research in particular this can sometimes be problematic. Interviews with people may raise certain points but to raise these points in later interviews could be a breach of anonymity or confidentiality. Caution must be exercised and the researcher can only steer the conversation such that any participant arrives at the point of their own accord. General Issues Right to privacy, to refuse to answer questions, to withdraw at any time. In particular you must not ask people to give information beyond what they have agreed to- once access has been granted you should remain within the boundaries of your research project. To do otherwise could cause upset and the termination of your data collection Another related issue is collecting data in an objective fashion. You must try to avoid being subjective and you must not be selective about the data you decide to record. It goes without saying that making up data is wholly unacceptable and unethical. Confidentiality and anonymity – once these promises have been made when negotiating access, you must adhere to them. With qualitative research in particular this can sometimes be problematic. Interviews with people may raise certain points but to raise these points in later interviews could be a breach of anonymity or confidentiality. Caution must be exercised and the researcher can only steer the conversation such that any participant arrives at the point of their own accord.

19. Ethical Issues During Data Collection Observation - Boundaries of what is permissible to observe must be very clear Cannot intrude on personal life (right to privacy) Do not want to constrain participants activities Reactivity v habituation Covert observation? An ethical minefield and often just best avoided

20. Ethical Issues In Analysis and Reporting Must represent your data honestly and remain objective Confidentiality and anonymity – must maintain promises made regarding who sees data and report Anonymity for organisation or individual participants to avoid embarrassment and harm If you want to release the organisations name you will likely need their written permission which will probably involve people from that organisation reading the report. Ask students for examples of when identities could accidently be revealed.Ask students for examples of when identities could accidently be revealed.

21. Statement of Intent and Informed Consent Participant must be given information on: Nature and purpose of research project Anonymity and confidentiality Right to withdraw or to refuse to answer any questions Data protection (what happens to the data after it has been collected? How long will you keep it? Where will you keep it? Who will have access to it?) Informed consent (signature) Who will see the written results?

22. Other Issues and Procedures Deception Debriefing Protection of participants Observation research Giving advice Research undertaken in public places Data protection Environmental protection

23. Proposals This year proposal takes the shape of ethics approval form Your proposal must convince your tutor that: The research topic is relevant to your degree The research topic is interesting and worthwhile studying, there is a clear rationale The research objectives are pitched at the right level Your methods are appropriate to your objectives and will allow you to answer them That your design is ethically sound and you have a comprehensive statement of intent and informed consent

24. How do you do that? Make sure your project is at the right level, feasible and sufficiently detailed in terms of aims and objectives Provide a clear rationale for your project that is derived from organisational demands AND a gap in the existing literature Make sure you have a detailed and clear explanation of how EVERY objective will be met and analysed (draw up a data requirements table) Have a brief justification for your choices Meet the ethics requirements with respect to access, design, data collection, analysis and writing up

25. Proposal Structure Title Introduction, Review of Literature and study rationale Aim Objectives Method Research Philosophy Research Strategy and Design Data Collection Methods Participants and Sampling Techniques Analyses to be conducted Ethical considerations Data requirements table GANTT chart References

26. Summary - Key points Do your homework and know the subject area Don’t choose a topic that is unrealistic (e.g. CSR in Shell), instead choose a topic based on WHERE you can actually get access Choose an appropriate theoretical framework Write clear, feasible objectives A literature review is not an essay, it is a critical review of research done on the same topic(s) that you are looking at Devise a sensible methodology and make sure you JUSTIFY your decisions (i.e. WHY are you doing it that way?) Make sure you attend to ethical considerations and have worked out these issues before the ethics committee sits.

27. The Ethics Approval Form – Guidance Notes 1 Section 7 – State clearly your overall aim and then list your objectives Section 8 – Introduce topic area/organisation(s) under investigation and briefly discuss literature directly relevant to YOUR objectives. Include the rationale for your research (i.e. why is it important?) Refer to organisational demands Indicate a gap in the literature

28. The Ethics Approval Form – Guidance Notes 2 Section 9 – Use subheadings to describe AND justify: Research approach Research strategy and design Data collection methods Structure this part by objective and refer to your data requirements table You should demonstrate an awareness of alternatives when you justify your selections

29. The Ethics Approval Form – Guidance Notes 3 Section 10 – Likely answer is Yes. In majority of cases your ethical considerations will relate to: Access Confidentiality and anonymity Data protection act Informed consent/right to withdraw Who sees final report You will need to discuss the extent to which these things will feature in your project and how you will deal with them – do this in section 11.

30. The Ethics Approval Form – Guidance Notes 4 Section 12 – Provide details on who is taking part. Age – over 18? How selected? Inclusion/exclusion criteria Section 13 – Payments and incentives are unlikely Section 14 – For initial submission you should indicate what data collection methods you will use and the themes to be addressed

31. The Ethics Approval Form – Guidance Notes 5 Section 15 – note what you will need Section 16 – This may be particularly relevant if you work in the health services.