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| '''Research ethics''' make up the first pillar of the [https://github.com/worldbank/dime-standards/tree/master/dime-research-standards DIME Research Standards] compiled by [https://www.worldbank.org/en/research/dime/data-and-analytics DIME Analytics]. '''Ethical research''' requires the [[Impact Evaluation Team|research team]] to meet certain standards while conducting research, and ensures that steps taken to reach the outcomes of a study are just as important as the outcomes themselves.
| | [[Impact Evaluation Team|Impact evaluation teams]] (or '''research teams''') often work with, or have access to datasets that contain sensitive or [[Personally Identifiable Information (PII)|personal identifiable information (PII)]] on individuals. They can either have [[Primary Data Collection|direct access]] - for instance, through a [[Field Surveys|field survey]], or [[Secondary Data Sources|indirect access]] to this data - for instance, in the form of '''call data records (CDR)'''. In both cases, '''research ethics''' are important to ensure that '''research teams''' act responsibly. Broadly, '''ethical research''' means that research teams must obtain necessary [[IRB Approval|ethics approvals]], [[Protecting Human Research Subjects|protect rights of individuals]], and obtain [[Informed Consent|informed consent]]. '''Research ethics''' ensure that that steps taken to reach the outcomes of a study are just as important as the outcomes themselves, and improve the validity of results of a study. |
| Impact evaluations often directly involve [[Protecting Human Research Subjects|human subjects]], and the '''research team''' often [[Primary Data Collection|collects]] sensitive or [[Personally Identifiable Information (PII)|personal identifiable information (PII)]]. There are several ethical concerns related to handling personal data, and [[Publishing Data|publishing]] results from a field study. The '''research team''' must ensure complete [[De-identification|confidentiality]] of [[Survey Pilot Participants|respondents]], and ensure that respondents are providing [[Informed Consent|informed consent]], which they can withdraw at any time. | |
| == Read First == | | == Read First == |
| * [https://github.com/worldbank/dime-standards/tree/master/dime-research-standards/pillar-1-research-ethics DIME Research Ethics Standards], compiled by [https://www.worldbank.org/en/research/dime/data-and-analytics DIME Analytics]. | | * '''Research ethics''' make up the first pillar of the [https://github.com/worldbank/dime-standards/tree/master/dime-research-standards DIME Research Standards] compiled by [https://www.worldbank.org/en/research/dime/data-and-analytics DIME Analytics]. |
| * [[Protecting Human Research Subjects|Protecting human research subjects]] and [[Informed Consent|informed consent]]. | | * A '''human subject''' is a living individual about whom the [[Impact Evaluation Team|research team]] obtains [[Personally Identifiable Information (PII)|personal identifiable information (PII)]], either directly or indirectly. |
| * The [[Impact Evaluation Team|impact evaluation team]] (or '''research team''') must get an '''ethics approval''' from an [[IRB Approval|institutional review board (IRB)]], and an appropriate authority in the study location.
| | * All members of the '''research team''' who handle '''personally identifiable information (PII)''' must have up-to-date '''human subjects research certifications'''. |
| * All members of the research team who handle [[Personally Identifiable Information (PII)|personally identifiable information (PII)]] must have up-to-date '''Human Subjects Research Certification'''. | |
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| == Before Data Collection == | | == Ethics Approvals == |
| Before the [[Impact Evaluation Team|research team]] begins [[Primary Data Collection|primary data collection]], it is important to draft ethical standards that must be followed throughout the research study. The '''research team''' must follow the guidelines listed below to ensure ethical research:
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| * '''Pre-analysis plan.''' The research team must draft a detailed [[Pre-Analysis Plan | pre-analysis plan]] before starting the process of data collection. An ideal '''pre-analysis plan''' should discuss the following [[Randomized Evaluations: Principles of Study Design|principles of study design]] in as much detail as possible:
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| ** '''Sample and level of randomization.''' The research team must decide on the process of [[Sampling|sampling]], as well as the level of [[Randomized Control Trials#Randomized Assignment|randomization]]. For example, the research team might decide to perform [[Stratified Random Sample|stratified random sampling]], and randomize on the level of households in a village.
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| ** '''Sources of data.''' The research team must also decide the main sources of data they will use during the study. For example, the research team can use [[Administrative and Monitoring Data|administrative data]] for the study. <br>
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| ** '''Key outcomes and primary hypothesis.''' The research team should also lay out their primary hypothesis, that is, the main question they want to answer using the study. This is also called [[Theory of Change|theory of change]]. They must also clearly lay out the outcomes they wish to achieve, and what indicators they will use to measure outcomes.
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| * '''Human subjects and PII.''' In most cases, '''impact evaluations''' involve directly interacting with, or collecting [[Personally Identifiable Information (PII)|personally identifiable information (PII)]] about '''human subjects'''. In such a case, the research team must obtain a '''human research subjects certification'''. Two commonly accepted courses that [[Impact Evaluation Team|research team members]] can take to get certified are:
| | == Protect Rights of Individuals == |
| ** [https://phrp.nihtraining.com/users/login.php Protecting Human Research Participants] is an online course.
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| ** [https://about.citiprogram.org/en/homepage/ Collaborative Institutional Training Initiative (CITI)] offers a course on [https://about.citiprogram.org/en/series/human-subjects-research-hsr/ human subjects research].
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| * '''IRB approval.''' An '''institutional review board (IRB)''' is an organization which reviews and approves all aspects of a research study involving '''human subjects'''. After members of a research team obtain '''human research subjects certification''', they must apply for an [[IRB Approval|IRB approval]].
| | == Informed Consent == |
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| * '''Informed consent.''' Before involving any subject in a research study, the research team must obtain [[Informed Consent|informed consent]] from each individual. This means that the research team must clearly mention all possible risks and benefits from participating in a study, either for the [[Survey Pilot|survey pilot]] or as a [[Survey Pilot Participants|respondent]] in the actual survey.
| | == Other Aspects of Ethical Research == |
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| == During Data Collection == | | === Pre-Registration === |
| In some cases, the [[Impact Evaluation Team|research team]] does not need to obtain [[Informed Consent|informed consent]] from each individual. For instance, in cases where the research team is using [[Administrative and Monitoring Data|administrative data]], they can just obtain consent from the concerned government agency. However, even in such cases, when the research involves [[Data Analysis|analyzing]] data that contains sensitive or [[Personally Identifiable Information (PII)|personally identifiable information (PII)]], the research team must follow certain guidelines during data collection:
| | === De-Identification === |
| * '''De-identification.''' Often [[Primary Data Collection|data collection]] involves handling, [[Data Cleaning|cleaning]] and [[Data Analysis|analyzing]] data that contains sensitive information like names, addresses, mobile phone numbers, bank or credit accounts, or location information. In such cases, it is important to ensure '''anonymity''' of individuals, by hiding the identity of individuals through [[De-identification|de-identification]]. In general, the research team should always work with and analyze '''de-identified data''', except in certain cases, such as [[Monitoring Data Quality|monitoring data quality]], or conducting a '''follow-up''' survey.
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| * '''Encryption.''' It is important to remember that simply '''de-identifying''' data is not enough. The members of the research team often share data using the internet, or store it in the cloud. In such cases, the data is exposed to several risks the data is exposed to some risk. Therefore, [[Encryption|encryption]] of this data is also important to protect the identity of participants.
| | == Other Concerns in Research == |
| | | === Transparency === |
| * '''Documentation and protocols.''' Another important aspect of ethical and [[Reproducible Research|reproducible research]] is to carefully [[Data Documentation|document]] before [[Publishing Data|public release]] of the results of a study. This also involves developing detailed [[Survey Protocols|protocols]] for handling and sharing data that contains '''personally-identifiable information (PII)'''.
| | === Reproducibility === |
| | | === Data Security === |
| == After Data Collection == | | === Publication === |
| Even after data collection is complete, there are certain guidelines for ethical research that the [[Impact Evaluation Team|research team]] must follow before [[Publishing Data|publishing results]] of a study.
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| * '''Bias.''' One of the most common concerns in research is the possibility of researchers manipulating the results of a study before publishing it in a journal. This is called '''publication bias''', and can waste precious time and money. To ensure this does not happen, the research team can [[Pre-Registration | pre-register]] their study with a '''registry''', in addition to developing a [[Pre-Analysis Plan|pre-analysis plan]]. Some of the common registries are:
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| ** The [https://www.aeaweb.org/ American Economic Association (AEA)] hosts a [https://www.socialscienceregistry.org/ trial registry] specifically for [[Randomized Control Trials|randomized control trials]]. <br>
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| ** The [https://www.3ieimpact.org/ International Initiative for Impact Evaluation (3ie)] provides a [http://www.ridie.org/ registry] for both, [[Experimental Methods|experimental]] and [[Quasi-Experimental Methods|quasi-experimental research]] in developing countries. <br>
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| ** The [https://osf.io/institutions/cos/?gclid=Cj0KCQjw-_j1BRDkARIsAJcfmTFQUYhsJDTOljYCOKEsRzjNJo5QQHO_SSgFCglP5wxcF_l0zImzEaoaAvAuEALw_wcB Open Science Framework] offers a [https://osf.io/prereg/ pre-registration platform], and also houses its own [[https://osf.io/registries registry].
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| * '''Reproducible research.''' Another way to ensure ethical research is to [[Publishing Data |publically release]] data and codes for others to view and cross-check. This also ensures that research is not only transparent, but also [[Reproducible Research | reproducible]].
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| == Related Pages == | | == Related Pages == |
