Ethics Guide
Ethics Guide
practice guide to
researching LGBT
communities and issues
LGBT Foundation
Purpose of this Guide
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Contents
1.1: Are my research questions worth asking and what do they add to existing
knowledge?                                                                         4
1.2: Do I have a good knowledge of the community I intend to work with?            4
1.3: Are the methods I intend to use appropriate for the research I am conducting?
                                                                                   5
1.4: Am I confident that I have the necessary skills for this piece of research?   5
1.5: If the research is funded, what are the expectations of the funder?
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Principle 2: Fully Informing Researchers and Participants
2.1: How informed and aware are the research staff?                                7
2.2: How can I fully inform participants about my research topic?                  7
2.3: How might other factors affect my ability to fully inform participants?       8
2.4: If the research is funded, what implications might this have for informing
participants?                                                                      9
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4.2: Do I know how to obtain informed consent from children and other vulnerable
people?                                                                          14
4.3: How do I avoid coercion?                                                      14
4.4: Should I allow participants to withdraw their consent?                        15
4.5: How do I obtain proof of consent?                                             15
4.6: Am I aware of when it might be inappropriate to seek proof of consent?        16
Further Information 19
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Principle 1: Integrity and Quality
Ensuring that your work is of a good standard should be a priority for any researcher,
but it should be regarded as an ethical concern as well. People give their time and
energy to participate in research, so to produce something which lacks integrity,
quality or impact would be a waste of this input. Researchers are encouraged to ask
themselves the following questions:
1.1: Are my research questions worth asking and what do they add to existing
knowledge?
What does your research hope to achieve and what impact will it have? Look into
previous research surrounding the topic you hope to investigate and identify what is
and is not known already. Make a commitment to avoid using the time and input
given to you by participants on questions that have already been answered. Design
your research questions with the aim of contributing new knowledge to the field.
If you intend to conduct research with a particular community, it is important that you
have a good understanding of said community from the outset. This will help to
ensure that your research is designed with respect for your participants in mind, that
your interactions with participants are sensitive and appropriate and that the findings
you generate can more accurately represent the community you are working with. If
you are uncertain, it is recommended that you seek out relevant resources and
information about the community you are researching before beginning your work.
Application to LGBT Research: If, for example, you wish to conduct research with
members of the trans community, ask yourself how well you understand trans
identities and issues. Try and familiarise yourself with the full spectrum of gender
identity, the social and political issues affecting the lives of trans people
(discrimination, healthcare, abuse etc.) and the kind of language you should be using
to ensure your research is inclusive.
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Following the same example, if you are not trans yourself you should also
acknowledge that despite how well-informed you are, you will not understand more
about being a trans person than your trans participants do. The ability to conduct
research with particular communities is absolutely not limited to members of those
communities, but it is important to understand that if you are not a member of the
community you are researching, this deprives you of personal knowledge and
experience that your participants will have.
1.3: Are the methods I intend to use appropriate for the research I am conducting?
1.4: Am I confident that I have the necessary skills for this piece of research?
Identify your strengths and weaknesses as a researcher, then determine how they
will affect the research you intend to conduct. Do you feel confident that you are
equipped with the necessary knowledge and skills? These may include planning,
timekeeping, understanding of the research methods you will be using, knowledge of
relevant software, etc. If not, aim to develop these skills before you begin your
research or consider adapting the design of your research to better suit your abilities.
1.5: If the research is funded, what are the expectations of the funder?
Check whether the person or organisation funding your research has any
expectations that might affect its quality, such as the use of a particular research
method. With the previous guidelines in mind, evaluate how well these specifications
meet the aims of the research and be willing to discuss your ideas. In the interests of
integrity, it is also important to know how your funder intends to use the research
once complete, especially when the research involves vulnerable or marginalised
people. Can you be certain that the research will be used to benefit these
communities and will not be used in an exploitative manner? How do you feel about
the intended outcomes of the research?
 Application to LGBT Research: Knowing how your funder intends to use your
research will help you to ensure that the finished product will actually be used to
benefit LGBT communities. Perhaps your funder wants to use your research in order
to find out how to better target advertising at the LGBT community. Do you feel like
this is a use that benefits the LGBT community, or does it simply benefit your
funder? Is this something you are comfortable with?
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Principle 2: Fully Informing Researchers and Participants
Ensuring that everybody involved in the research is fully informed of its purpose,
methods and intended uses is a very important ethical concern. They must also be
aware of what their participation in the research entails and any risks that might be
involved. Researchers are encouraged to ask themselves the following questions:
You should also make sure that all researchers are aware of the impact the research
might have on them. How might the research affect those conducting it? Are there
any emotional concerns that might arise for you or your team during the research
process, e.g. because the topic is sensitive to a particular researcher or you are
gathering data on a difficult issue? Has it been ensured that everyone involved in
conducting the research will be properly acknowledged and thanked for their
contribution? Might the research conflict with the personal views of any of the
researchers and will this affect their ability to be involved?
Application to LGBT Research: You should make sure that none of the
researchers are ignorant or prejudiced towards LGBT people as best you can, as
this is only likely to make participants uncomfortable and compromise the quality and
aims of the research. Beyond this, you need to ensure that the researchers are
sufficiently knowledgeable about LGBT issues and the topic you are researching to
be able to adequately inform participants. If any of the researchers are themselves
LGBT, think about how the topic you have chosen to research might affect them
personally. In the case of sensitive research topics, a variety of support services and
charities specifically for LGBT people (including LGBT Foundation) exist as useful
places to signpost participants toward.
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(which can be printed or online, depending on the methods used) is an ideal way to
communicate any necessary details. Try to include the following information:
2.3: How might other factors affect my ability to fully inform participants?
You should consider what else might affect your ability to fully inform your
participants. If you plan to access participants through a service or organisation, do
you have permission to do so and contacts that can help you distribute information?
If you are informing participants in person, are you in a quiet space where your
participants can listen to you clearly and without interruption? Are there any
language or access needs issues that you need to address? Are your participants in
a fit state to understand you and give consent? Are you giving your participants time
to ask you any questions they might have?
If you are conducting your research online, be aware that you are not physically
present for participants to ask you any questions they might have. Try to be as
comprehensive as you can with the information you give and make sure you provide
some contact information so that participants can reach you if they are unsure about
any aspect of the research.
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2.4: If the research is funded, what implications might this have for participants?
Your participants should be made aware of who is funding your research and why.
Though it might not seem like an obvious concern, there are situations where a
funding source might affect participant willingness to be involved in your research. In
such cases, failing to inform your participants about your funding would amount to
deceiving them and would not be considered ethical.
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Principle 3: Confidentiality and Anonymity
Participants must be able to trust that researchers will not share any of the
information given to them to anybody outside of the research team, so it essential
that everybody involved is properly briefed on confidentiality and anonymity. Ensure
that all members of the research team understand who they can and cannot discuss
the data with. It is best to select participants that are not known to anybody involved
in conducting the research, as this risks the participant being identified and also risks
the researcher learning information about the participant that they would not have
otherwise been told. This also helps to avoid situations where participants might not
feel able to answer honestly because of their relationship to the researcher, which
can also affect the principle of integrity and validity.
Consider all the ways you can preserve participant confidentiality and anonymity,
then decide which are best suited to your research. Your participants must not be
identified with their real names, so what will you use instead? Some options include
using pseudonyms (false names) and number-coding (Participant 1, Participant 2
etc.). You must also ensure that any other information that could help identify
participants is not published in your research. This is largely context-dependent and
relative to your sample size; information like gender, age or ethnicity might well
enable identification of a participant from a small sample (within an office), but is
unlikely to be able to from a large one (across a city). Some details such as specific
postcode, appearance or other distinctive information about a participant should be
avoided altogether, as these can enable identification even within a very large
sample.
All research must ensure confidentiality and anonymity, but sometimes this
requirement is particularly important due to the nature of the research itself. For
example, if you were researching intimate partner violence by interviewing survivors,
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it could present obvious danger to your participants if they were to be identified. In
such cases, particular attention should be paid at every stage to ensure that
participants cannot be identified through the research. You may choose to adapt the
resources you give to participants (such as the information sheet) so that the subject
of your research is not over-emphasised, in case the document is later found by
anyone other than the participant. Returning to the example of an interview-based
study on intimate partner violence, you might generalise by stating on your
information sheet that the research concerns experiences of relationships. You can
then discuss the specific nature of the topic verbally and in person with participants,
without risk.
Sometimes the methods you use to collect data require extra consideration with
regard to confidentiality and anonymity. This is particularly true of methods which
involve groups of participants, such as focus groups. In such cases, it is not only
important to understand that researchers are committed to preserving confidentiality
and anonymity, but participants are as well. Ensure that everybody understands not
to discuss the information shared outside of the group. Create some “ground rules”
and make sure that everybody follows them. If you intend to use a group-based
method for a sensitive research topic, evaluate whether the data you hope to
generate is worth the potential harm that could be caused if confidentiality and
anonymity is breached. Similarly, if your research methods require you to provide
additional staff (translators, sign language interpreters etc.) you should ensure that
they are also properly briefed.
3.5: What other factors might affect my ability to preserve confidentiality and
anonymity?
You should give some thought to the setting in which you are collecting your data. If
interviewing or leading a focus group, ensure that you will not be overheard by
anybody outside of the room. It is harder to control the privacy of particularly public
settings, like cafes or bars, so make sure your venue is appropriate. If you are
conducting your research at an institution or organisation, the conditions of using the
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setting might present a challenge to confidentiality and anonymity. For example, a
school might ask you to disclose any examples of bad behaviour that you are told
about, or office managers might be keen to know if anybody criticised the workplace.
In the interests of confidentiality and anonymity, you should be prepared to seek a
different setting if such conditions are put forward.
In order to preserve confidentiality, you will need to store the data in such a way that
it cannot be accessed by anyone outside of the research. Digital documents and
recordings can be stored in password-protected folders, while physical documents
can be placed in a locked cabinet. You should aim to destroy the data (by deleting or
shredding as appropriate) after an agreed period of time, so that records of the
information given to you by participants do not remain long after the project is
complete.
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have a discussion with your funder before beginning the research about the
information that you are and are not prepared to give them. It may be useful to get
their agreement to these conditions in writing.
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Principle 4: Voluntary Participation, Free from Coercion
No participant should feel as though they are taking part in research against their
will, at any stage of their involvement. It is therefore essential that participants are
able to give their informed consent to take part in research and are given the right to
withdraw their consent at any time. Ensuring that your participants can give informed
consent means making sure that they are provided with sufficient information about
the research, free from any element of coercion, so that they can make an informed
and free decision on their involvement with the research. In this respect, this
principle is strongly related to the principle of providing full information. Researchers
are encouraged to ask themselves the following questions:
4.1: How can I ensure that participants are able to give informed consent?
First, ensure that you are adhering to the second principle: fully informing
researchers and participants. This will ensure that any decisions your participants
make are appropriately grounded in knowledge of the research. Whether you are
using a written information sheet to inform your participants or plan to verbally inform
them, ensure that information about the research has been appropriately delivered
before you ask for consent. However you choose to inform your participants, make
sure that it is easy to understand and accessible. You should also ensure that
participants are given time to ask you any questions they might have about the
research or their involvement before you ask them to give consent.
4.2: Do I know how to obtain informed consent from children and other vulnerable
people?
When working with participants who may need to access support in deciding whether
to participate, it is appropriate to ensure that they have time and opportunity to do so.
As an example, you should give a child time to discuss their involvement in your
research with a trusted adult, such as a parent or guardian. Specifically in the case
of children, it is good practice to also gain permission from a responsible adult. This
should be in addition to child consent, not instead of.
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Unless otherwise indicated, participants may feel like they must continue their
involvement in the research once they have begun, even if they become
uncomfortable or no longer want to take part. Researchers must therefore allow
participants to withdraw from the research at any time, making it very clear that they
are permitted to do so, as failure to provide this information constitutes a form of
coercion.
If you are using a reward to encourage participation, such as money or a gift card,
make sure that the value is not so great that people would participate in the research
purely to obtain the reward, as it then becomes a coercive practice. You must also
avoid making reward eligibility contingent on participants answering all of your
questions or completing their participation. Even if a participant wishes to withdraw
halfway through, they should not forfeit their reward eligibility, otherwise this risks
creating a situation where participants feel forced to answer questions or maintain
their involvement for the sake of the reward.
You will typically need to produce a written consent form for your participants to read
and sign, so that you have evidence that informed consent was given. This should
be easy to understand and accessible. In terms of content, it should cover all of the
issues previously addressed in this section, asking participants to sign off on the
following questions:
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In the case of participants who are not literate, it is appropriate to obtain verbal
consent in place of using a written consent form, but a recorded written sign-off from
a witness should also be obtained where possible.
Sometimes, the methods you are using might make it difficult to obtain proof of
consent. For example, a telephone interview presents challenges in that you cannot
physically present your interviewee with any written material and you may not be
able to record verbal consent. In such circumstances, you might consider sending a
consent form to potential interviewees ahead of the interview. If you are using an
online survey, you also cannot physically present a written document to your
respondents, but you can dedicate a page of the survey to answering the same
consent questions. This page can then function as your consent form. Try to think of
ways to address the issues your methods present in terms of obtaining proof of
consent.
Application to LGBT Research: Certain pieces of LGBT research may fit one of
these conditions. For example, your research might focus on individuals who are in
the country having fled persecution for being LGBT and may be at risk of being
deported. In such cases, it might be appropriate to avoid obtaining proof of consent
in ways which could identify your participants.
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Principle 5: Avoiding Harm
Some research subjects are quite clearly sensitive, such as those concerning
discrimination or abuse, but it should be acknowledged that all research topics are
likely to involve some degree of sensitivity. You must determine how sensitive your
research might be, so that those involved do not feel uncomfortable or negatively
affected by participating. Think in broad terms; all of your participants will have
different life experiences, so the topic might be sensitive to a participant for reasons
that might not be immediately obvious to you. Bear these sensitivities in mind when
designing, communicating and conducting your research.
Application to LGBT Research: Think about the specific ways that your research
topic might affect LGBT communities. In what ways might discrimination be involved
in the subject you are investigating? The same broad approach should be taken
here, as discrimination can manifest in many ways that may not be immediately
obvious. You must also ensure that the research itself is designed in a sensitive
manner. Is the language you are using LGBT-inclusive and appropriate? Many
resources exist detailing the kind of language to favour and avoid when working with
particular groups. These can be found online, through charities, within research
literature etc. Additionally, try to make sure that you do not ask anything of your
participants that could be considered offensive, disrespectful or invasive.
5.2: What can I do to help preserve the wellbeing of those participating in sensitive
research?
First, ensure that your research adheres to the principle of voluntary participation,
making it very clear to participants that they are allowed to withdraw from the
research at any point. This ensures that participants are knowingly involving
themselves in the research, helps to establish trust and offers a clear way out should
they become uncomfortable. Try to identify some relevant support services that you
can direct participants towards if any aspect of the research causes them distress.
These can be with external organisations or within your own organisation if
applicable.
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participant gives you any indication that they are currently being harmed (such as
declaring that they are experiencing abuse), it may be unethical to withhold this
information and you may be required to break confidentiality in order to safeguard
the participant in question. Try to anticipate whether there is any chance of this
happening in your research and ensure that participants are told what the procedure
is should it occur. If you feel obligated to break confidentiality at any point, it is
essential that you discuss this with the participant.
5.3: What can I do to help preserve the wellbeing of those conducting the research?
Remember that the sensitivities of your research topic can affect researchers just as
much as participants. The research team will be collecting and analysing all the data
generated through the research. This means you will be spending a lot of time
working with information that, on some projects, may be uncomfortable or
distressing. Try to ensure that your research team is fully briefed on the topic, that
everyone is aware of the risks involved and that everyone has an opportunity to
indicate if there are any tasks that they would not be willing to undertake. Where
appropriate, ensure that your research team has access to the same support
services that you would signpost participants towards if they were feeling upset.
5.4: How can I avoid harm with respect to the methods I am using?
All research methods have some potential for harm, so you should consider this
when choosing how you will conduct your research. For questionnaires and surveys,
try to ensure that what you produce is as accessible as possible (has a readable
font, avoids specialist language, can be translated/interpreted/verbally
communicated), uses appropriate language and asks appropriate questions. Be
aware of the potential for negative or offensive responses, especially if distributing
your survey online. These considerations also apply to interviews, though for this
method you must also try to ensure that there is mutual respect between interviewer
and participant. The same can be said for focus groups, though here you should try
to ensure that there is respect amongst the group members themselves as well.
Similar considerations will be likely be present with all methods, so consider how
your method has potential to cause harm and how you might address it if it is not
listed here. Finally, adhere to the principles of voluntary participation and
confidentiality when quoting from your data, to ensure that you have permission to
do so and that participant identity is protected when you do.
The response to this question should consider all of the ethical issues regarding
funded research that have previously been outlined. As much as possible, you
should try to ensure that your funding body is as committed to upholding ethical
research standards as you are. Knowing what your funder expects from the research
is critical to avoiding harm. Make sure that once complete, the research will not be
exploited and will be put to good use by your funder. Inform participants about who is
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funding your research and why, so they are able to make their own judgements
about being involved. Finally, ensure that your funder respects anonymity and
confidentiality and does not wish to gain information about participants that they
would not otherwise be given.
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Further information
For further information about the topics covered in this guide, please contact
research@lgbt.foundation.
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