Ethics and Consent Forms
- Philip Northgraves
- Ned Potter
It’s absolutely essential that we protect our users as part of the UX research process.
It is worth noting that UX Projects do not require the approval of an Ethics Committee. Ethical review via the various Departmental ethics sub-committees doesn't apply for what might be termed ‘corporate data collection and analysis', driven by business needs around service improvement. UX Research focuses primarily on benefits and insight which accrue directly to the organisation, rather than for academic research as a public good - even if ultimately we share the results of our findings for other institutions to learn from.
This position is confirmed by the University’s Research Strategy and Policy Office, whose "consensus is this doesn't count as research as the primary purpose is business need and sharing of good practice. We don't count student questionnaires on satisfaction as research, for example.”
As such the onus is on the researcher to ensure the participant is fully protected, and six essential steps are listed in the following section.
The following are important steps to help protect any participants in your research and should be taken as a minimum:
- Create a folder structure in Google Drive to store your data
Google Drive is a safe way to store ethnographic data as long as it is used properly. Create a folder for the project, and anonymous folders for each participant entitled ‘Participant A’ and so on. You may need some further identifying information for the purposes of analysing the data - for example, you may note that Participant A is a 3rd year undergraduate, or the Department they belong. Keep this to a minimum, and don’t ever put the participant's name into the notes. Ensure the directory has the correct permissions and only shared with the appropriate people. - Ensure only necessary personnel can access the original data
While you may set wider permissions for the overall project, on a participant level access should only be given to those who specifically require it in order to review or analyse the data. This also includes not giving access to the data to third-parties (for example, a transcription company or tool) unless the user is specifically informed about this ahead of time and signs to give their informed consent - Set a limit on how long you’ll retain the raw data
In ordinary circumstances we would recommend you keep the raw data in its original form (for example, interview transcripts) for a maximum of one year after the project finishes. After this it should be destroyed and only aggregated data retained. Physical items, such as pieces of paper with cognitive maps drawn on them, should be destroyed as soon as a digital copy has been made and uploaded to a secure folder on Google Drive.
In the Library we’ve found that the volume of ethnographic research we’re undertaking requires a different approach - we have a date each year where we destroy the previous years’ original research data, even if fewer than 12 months have passed since the various projects’ completion. - Anonymise all quotations in reporting and other documentation
Participants should not be referred to by name at any stage of the project. If quoting someone in a report or other output from the project, it is acceptable to say attribute the words to ‘Taught Postgraduate, Department of English’ for example, but nothing more specific than that. - Ensure the participant understands their right to withdraw
If a participant doesn’t want to participate in a particular technique then don’t put any pressure on them to do so. For example if you’re doing a session of cognitive mapping leading into an interview, and the participant is uncomfortable with the mapping task, move directly to the interview. Furthermore, participants can also withdraw retrospectively up until the point that the project is complete - if someone decides 6 months later that they don’t want their views and experiences documented, you should be able to delete their data from the project entirely. - Ensure you have informed consent
The Consent Forms you ask the participant to sign should be comprehensive and detailed. They should be sent out at least 24 hours before the session takes place in order for the participant to review the form in their own time, and the researcher should take the participant through the form, paragraph by paragraph and ensuring they have the chance to ask questions, prior to the session beginning.
Participants should also get an Information Sheet with more detail on: we strongly suggest anyone undertaking UX research take this example and adapt it for their own needs and, needless to say, ensure you adhere to what it promises you will do.
With the exception of the ‘at a distance’ techniques such as Behavioural Mapping and Graffiti Walls, all the ethnographic research methods require Consent Forms - you can access these below and adapt them for your project. They ensure we’re operating within in the GDPR framework, and ensures that our research process is robust with regards to privacy compliance.
The Forms themselves actually give a very good account of our responsibilities towards our UX participants, so please read through at least one of them for a fuller picture.
Please always use the consent forms below for your fieldwork, adapting them to put in relevant details of your project: these forms are updated periodically.