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Research Methods
Negotiating access and research
ethics
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Previously…we looked at
turning Research ideas into Research Projects
Move from a Research idea
To a General Focus Research Question
To a series of Research Questions
To Specific Research Objectives
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And we considered..The literature review
process
Research questions and objectives
Define parameters
Generate and refine key words
Conduct search Feedback
loop
Obtain literature
Evaluate
Record
Start drafting review
……….after several iterations…
Written critical review of the literature…..
Differing approaches to research
Research philosophy
Research approaches
Research strategies
Data collection Time horizons
methods
Wish to research
The research
Formulate and clarify your Process
Research topic
Critically review the literature Reflection and
review at each
Choose your research
approach and strategy stage
Negotiate access and
address ethical issues
Plan your data collection and collect the data using one or more of :
Sampling Secondary data Observation Semi-structured and in-depth interviews Questionnaires
Analyse your data using one or both of:
Quantitative methods Qualitative methods
Write your project report
Submit your report
Negotiating Access and Research
Ethics
Outline
5.1 Introduction
5.2 Problems associated with access
5.3 Strategies to gain access
5.4 Research ethics
5.5 Summary
Main Reading: Saunders et al, ch. 5.
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Negotiating Access and Research
Ethics
You should be:
• aware of issues to gaining access and research ethics;
• able to evaluate a range of strategies to help you to
gain access to organisations and to individual participants;
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Negotiating Access and Research
Ethics
You should be:
• able to anticipate ethical issues at each stage of your
research process.
to help you to deal with these;
• able to evaluate the ethical issues associated with
particular data collection methods,
so that you can consider these in relation to your
proposed research methods.
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5.2 Problems associated with access
Physical access or entry - obstacles include:
time and resources available an org.
lack of perceived value of your work
potentially sensitive topic area
concerns over confidentiality
perceptions of researcher‟s credibility or competence
a change in external events force refusal
You may need to re-consider your case study, your
Research q. and objectives.
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5.2 Problems associated with access
Access is a process not an event – you may need
to visit other parts of the org. and need to re-negotiate
access each time.
The gatekeepers with who you negotiate access may
not be the actual participants in the research.
How representative are those who you actually
Interview on the „shopfloor‟? Who chooses them?
This affects reliability and validity.
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5.2 Problems associated with access
Cognitive Access is your ability to understand the
social reality of the org. in relation to your research q‟s.
Tip:
If you are clear enough in advance about your research
q‟s and objectives then this will enhance your credibility
with the gatekeepers and facilitate both types of access.
Don‟t just expect permission for access to be granted -
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5.2 Problems associated with access - Feasibility
Just how feasible is your research?
“In the conflict between the desirable and the possible,
The possible always wins”
You may consider developing a topic where you are likely
to be able to gain access.
This is especially true of longitudinal research.
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5.2 Problems associated with access
External researcher : goodwill needs to be sustained!
You need to demonstrate competence and integrity,
appear objective and without a „hidden agenda‟
Internal role : your status may work against you.
Some may be suspicious of your motives and fear
that the results of your work may harm them.
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5.3 Strategies to gain access
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Table 5.1 Summary of 9
strategies to gain access
1. Allowing yourself sufficient time to gain access
2. Using existing contacts and developing new ones
3. Providing a clear account of purpose and type of access
required
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Table 5.1 Summary of 9
strategies to gain access
4. Overcoming organisational concerns about the granting
of access
5. Identifying possible benefits to the organisation in
granting you access
6. Using suitable language
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Table 5.1 Summary of 9
strategies to gain access
7. Facilitating ease of reply when requesting access
8. Developing your access on an incremental basis
9. Establishing your credibility with intended participants
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Table 5.2 Summary checklist to gain
access
Allow yourself plenty of time
Be prepared to make a follow-up telephone call or email
Allow time for your request to be considered and
evaluated
You may be called in to an explanatory meeting
Understanding the org. culture takes time
(Cognitive access)
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Table 5.2 Summary checklist to gain
access
Consider using existing contacts, at least at the start
of your research project, in order to gain access and
gather data
Helps you develop a track record and build credibility.
Link to sampling theory e.g convenience sampling
Consider your work placement organisation, where
appropriate, as a case study setting for your research
project
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Table 5.2 Summary checklist to gain
access
Where you need to seek information about organisations
that may be able to grant access, approach appropriate
local and/or national employer or employee, professional
or trade bodies to see if they can suggest contacts.
e.g. Chamber of Commerce, TEC‟s employers orgs.
Consider making a direct approach to an organisation to
identify the most appropriate person to contact for access.
The „gatekeeper‟
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Table 5.2 Summary checklist to gain
access
Invest sufficient time to identify this person and be
prepared to make a number of telephone calls to achieve
this.
Maintain politeness at all times.
Even where your initial request for access involves a
telephone conversation, it is advisable to follow this with an
introductory letter to confirm your requirements.
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Table 5.2 Summary checklist to gain
access
Always provide a clear account of your requirements when
requesting access (at least your initial requirements).
Outlining the purpose of your research project and
demonstrating clarity of thought should help to establish
your credibility and assist the goal of gaining access.
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Table 5.2 Summary checklist to gain
access
The construction, tone and presentation of an introductory
letter will assist also the establishment of your credibility
and the goal of gaining access.
a well designed and presented letter, typed on
headed notepaper, personally addressed with a
handwritten
signature – its about persuasion!
assure anonymity
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Table 5.2 Summary checklist to gain
access
Any request for access will need to consider and address
organisational concerns relating to the amount of time or
resources which would be involved on the part of the
organisation, sensitivity about the topic, and confidentiality
and anonymity.
Consider possible benefits for the organisation should
they grant access to you and the offer of a report
summarising your findings to enhance your chance of
achieving access. Devise a „contract‟ with the org.
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Table 5.2 Summary checklist to gain
access
Exercise care and attention in your use of language, so
that it is appropriate to the person who receives it without
any hint of being patronising, threatening or boring.
In your introductory letter:
Refer to yourself as a „researcher‟ not a „student‟.
Draft and re-draft.
See example in textbook.
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Table 5.2 Summary checklist to gain
access
Include a simple pro forma for recipients of your request for
access to use as a means to reply, and also send a stamped
or freepost, addressed envelope, or email address, plus a
fax number, where possible.
Be prepared to attend a meeting to present an discuss
your request for access.
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Table 5.2 Summary checklist to gain
access
Be prepared to work though organisational gatekeepers
in order to gain access to intended types of participants.
Consider developing your access on an incremental basis
where it is likely to lead to a refusal to gain entry.
Allow further time to contact intended participants and to
develop a good relationship with them in order to
gain their acceptance, once physical access has been
granted.
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Table 5.2 Summary checklist to gain
access
Remember that some methods will require lengthy
periods of your time being spent within an organisation
in order to gain „cognitive access‟ to data.
You will need to invest time in building relationships.
Cooperation must not be taken for granted, especially
if you use observational techniques.
Maintain credibility.
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Table 5.3 The implications of respecting privacy
in business and management research.
Respecting privacy in business and mngt. research
means the right:
not to participate;
not to be harassed or offered inducements to
participate or to extend the scope of participation
beyond that freely given;
not to be contacted at unreasonable times or at
home where the scope of the research is related
to an org. setting;
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5.4 Research Ethics
Definition:
“ ..a code of behaviour appropriate to academics and
the conduct of research.”
(Wells 1994, in Saunders et al)
See Appendix 3 for a code of ethics.
Watch out for social norms and power relationships.
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Table 5.3 The implications of respecting privacy
in business and management research.
Respecting privacy in business and mngt. research
means the right:
of participants to determine, within reason, when
they will participate in the data collection process;
of participants to expect the researcher to abide by
the extent of the consent given and not to find that
the researcher wishes to widen the scope of the
research without first seeking and obtaining
Permission;
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Table 5.3 The implications of respecting privacy
in business and management research.
Respecting privacy in business and mngt. research
means the right:
of participants not to be subject to any attempt to
prolong the duration of an interview or observation
beyond that previously agreed unless the participant
freely proposes this as an option;
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Table 5.3 The implications of respecting privacy
in business and management research.
Respecting privacy in business and mngt. research
means the right:
of participants not to answer any question, or set of
questions , or provide any related data where requested;
of participants not to be subjected to q‟s that create
stress or discomfort;
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Table 5.3 The implications of respecting privacy
in business and management research.
Respecting privacy in business and mngt. research
means the right:
to expect agreed anonymity and confidentiality
to be observed strictly both in relation to
discussions with other research or organisational
participants and during the reporting of
findings (including from those who gain subsequent
access to data).
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Fig 5.1 The nature of
participant consent
Lack of consent Implied of consent Informed consent
• Participant lacks
knowledge
• Researcher uses
deception
to collect data
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Fig 5.1 The nature of
participant consent
Lack of consent Implied of consent Informed consent
• Participant does not
fully understand her/
his rights
• Researcher implies
consent about the use
of data from fact of access
or return of q‟aire
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Fig 5.1 The nature of
participant consent
Lack of consent Implied of consent Informed consent
• Participant consent
given freely and based
on full information
about participation
rights and use of data
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Table 5.4 Checklist of requirements
for informed consent
Organisational gatekeepers and intended participants
need to be informed about the following aspects
of research:
About the nature of the research
What is its purpose?
Who is or will be undertaking it?
Funded or sponsored – if so by whom and why?
Who is being asked to participate (Sampling frame)
How far has the research project progressed?
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Table 5.4 Checklist of requirements
for informed consent
About the requirements of taking part
What type of data will be required from those
who agree to take part?
How will these data be collected?
How much time will be required and on how many
occasions?
What are the target dates to undertake the research
and for participation ?
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Table 5.4 Checklist of requirements
for informed consent
About the implications of taking part and participants
rights
Recognition that participation is voluntary
Recognition that participants have the right to
decline to answer a question or to be observed
Recognition that participants have control over the right
to record any of their responses where use of a tape
recorder is contemplated
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Table 5.4 Checklist of requirements
for informed consent
About the implications of taking part and participants
Rights
Recognition that participants may withdraw at any time
What are the consequences of participating risks v.
benefits?
What assurances will be provided about participant
anonymity an data confidentiality?
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Table 5.4 Checklist of requirements
for informed consent
About the use of the data collected and the way in which
it will be reported?
Who will have access to the data collected?
How will the results of the research project be
disseminated?
How will assurances about anonymity and confidentiality
be observed at this stage?
What will happen to the data collected after the project
is completed?
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Table 5.4 Checklist of requirements
for informed consent
About the use of the data collected and the way in which
it will be reported?
Where data are to be preserved, what safeguards will
be built in to safeguard future anonymity and
confidentiality of participants?
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Attempt to recognise potential ethical issues that will
affect your proposed research
Utilise your university‟s code on research ethics to guide
the design and conduct of your research (see Appendix 3).
Seek informed consent through the use of openness and
honesty, rather than using deception.
Do not exaggerate the likely benefits of your research for
participating organisations or individuals.
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Respect others‟ rights to privacy at all stages of your
research project.
Maintain objectivity and quality in relation to the processes
you use to collect data.
Recognise that the nature of a qualitatively-based approach
to research will mean that there is greater scope for ethical
to arise, and seek to avoid the particular problems related to
interviews and observation.
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Avoid referring to data gained from a particular participant
when talking to others, where this would allow the individual
to be identified with potentially harmful consequences to
that person.
Covert research should only be considered where reactivity
is likely to be a significant issue or where access is denied
(and a covert presence is practical). However, other ethical
aspects of your research should still be respected when using
this approach.
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Maintain your objectivity during the stages of analysing and
reporting your research.
Maintain the assurances that you gave to participating
organisations with regard to confidentiality of the data
obtained and their organisational anonymity.
Protect individual participants by taking great care to ensure
their anonymity in relation to anything that you refer to
in your research project report, dissertation or thesis.
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Consider how the collective interests of your research
participants may be adversely affected by the nature of the
data that you are proposing to collect and alter the nature of
your research question and objectives where this possibility
is likely to be the case. Alternatively, declare this possibility
to those who you wish to participate in your proposed
research.
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Table 5.5 Summary checklist to
anticipate an deal with ethical issues
Consider how you will use secondary data in order to protect
the identities of those who contributed to its collection or
who are named with it.
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5.5 Summary
Access and ethics are critical aspects for the conduct of research;
Different types and levels of access have been identified which
helps us to understand the problem of gaining entry: physical
access to an organisation; access to intended participants;
Continuing access in order to carry out further parts of your
research or to be able to repeat the collection of data in another
part of the organisation; cognitive access in order to get sufficiently
close to fine out valid and reliable data.
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5.5 Summary
Feasibility has been recognised to be an important determinant
of what you choose to research and how you undertake the
research;
Strategies to help you to gain access to organisations and to
intended participants within them have been described and
discussed.
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5.5 Summary
Potential ethical issues should be recognised and considered
from the outset of your research and be one of the criteria against
which your research proposal is judged;
Ethical concerns are likely to occur at all stages of your research:
when seeking access, during data collection, as you analyse data,
and when you report them.
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5.5 Summary
Qualitative research is likely to lead to a greater range of ethical
concerns in comparison with quantitative research although all
research methods have specific ethical issues associated
with them.
Qualitative research is likely to lead to a greater range of ethical
concerns in comparison with quantitative research although all
research methods have specific ethical issues associated with them.
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5.5 Summary
Ethical concerns are also associated with the ‘power
relationship’ between the researcher and those who grant access,
and the researcher’s role (as external researcher, internal
Researcher or internal consultant).
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Exercises
You want to study the extent to which people will obey
orders.
You decide to set up an experiment where you will ask
volunteers to administer what they think are electric
shocks of increasing intensity to other volunteers.
What are the implications?
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Ethical issues
You have been conducting research in your local college
for some time, and have been accepted by the staff.
Some data which would be of interest to you is kept in
confidential files in the principal’s office.
His secretary offers to lend you the key one day while
he is out.
Do you accept?
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Ethical issues
You are carrying out a series of telephone interviews,
but have assured your respondents that you will not
tape-record he interviews.
However a friend has offered you the necessary
equipment.
Do you use it? ?
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Ethical issues
You are surveying employee conditions within your own
organziation.
During on of your interviews, a respondent expresses
views which are in direct contravention to your views
and the organisation’s policy.
How do you react?
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Ethical issues
You have been granted access to an archive of rare
documents of crucial importance to your research.
It would save a lot of time if you could take some of the
documents home, and security is very lax.
Do you ‘borrow’ some of the documents?
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Ethical issues
Which strategies to help to gain access are likely to
apply to the following scenarios:
A an external researcher seeking direct access to
mangers who will be the research participants
B an external researcher seeking access through an
organisational gatekeeper to his/her intended
participants
C an internal researcher planning to undertake a
research project within his/her place of employment?
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