Data Protection Issues - Essay Example

Table of Contents Table of Contents ii Summary 3 Question Report 3 Summary 9 2. Question 2 (Report 2) 9 Summary A research is not about information but about acquiring the right insight without compromising on integrity, to draw appropriate conclusions and initiate necessary actions. The following report provides an overview of the overall research framework, how data protection issues could possibly affect research activity and the extent it can affect the final report, subject to the fact that other elements of research are well established in the process. This report does not preach or offer any advice to those submitting research applications to fulfil data protection requirements while collecting personal data - it merely develops a singular focus on the approach and end result, abiding by data protection principles. 1. Question 1 (Report 1) In what way will your research be affected by data protection issues The objective of any research is pursuit for the truth, not popular conceptions. In fact, the whole idea and sole objective of a research is to penetrate the layers of myths and disintegrated notions scattered around about a particular subject and discover reality in the light of worked through well-researched content with due respect to data protection issue and other ethical practices. Research Steps Overview For a brief period, let us go ahead with a key assumption that one is free to take up a research assignment, bearing in mind that there is no data protection concepts involved in the exercise and all laws related to data privacy is temporarily abolished. Can we identify the steps in the pyramid above where research activity will be accelerated or hindered due to that relaxation While the readers are allowed some time to contemplate on that possibility, let us dwell on other relevant sources and strategies to gather data and briefly understand the impact of data protection, right from the bottom level in the pyramid. While most researchers are aware of the thin difference between methods and methodologies, reliability and validity of information, appropriate analysis and evaluation of data, data protection and ethical practices, results and conclusion - it is the their responsibility to ensure that the broader objective is not diluted in the multiple steps involved in research nor there is any compromise in the entire cycle. A general awareness of data protection needs in all spheres of life - beyond Universities, Corporate, Financial Institutions or wherever - will not only lead a researcher to have a better understanding about the hazards of not protecting data but also prepare him to value that aspect outside the premises of the current project. Once a researcher learns to appreciate data protection principles beyond definition, Act and Law, implementing good practice will be just as important as the authenticity of the report generated, by the end of the research. Identifying Scope of Research/ Problem Quoting an old proverb by Aristotle - "Well begun is half done". It is potentially important to acknowledge, that to obtain desired and realistic results of a research assignment, there is a definite need to have a defined framework. This might not necessarily be a tested or proven approach, however considering the complexity and magnitude of a research, the initial framework to drive all steps in an innovative manner has to be efficiently designed. It is the design that determines the strength of an analysis. There is one thing the researcher needs to have prior to working on the design - A problem. While some researchers are very clear about their needs for information when working towards their thesis or study project, some are quite confused and require information on what studies, topics and papers are available, on specific work in their particular zone of interest. They also might need advice on their proposal and an idea of how effective their findings would be. Some might even need an elaborate discussion on the overall framework and data sourcing. The need is not just to appraise an article but substantiating with evidence which could boil down to some need here to discuss data subjects from other research which according to data protection principles could be considered a violation. Research Plan A research plan is the second most significant step to ensure the desired objective is achieved. A subject that deals with global conditions would obviously require data subjects across geography and borders. However, the research needs to be planned and designed in such a manner so that the data sourcing is limited to places where equivalent levels of data protection for personal information is maintained, thus narrowing the field of research. Research Format A researcher is usually dependant on one or several formats of research to drive results. Data protection principles outline the need for accurate, up to date information, and the data samples collected once can neither be used again nor customized for another similar questionnaire to arrive at more realistic result and facilitate building of theories. Sampling - Data Subjects Instead of getting into the granular level of this activity like - identifying relevant sources, deciding if survey designs would be cross sectional or longitudinal surveys, modes used would be face to face, telephone, mail, web or combination of methods and the tremendous amount of effort a researcher has to invest in this elaborate activity - let us merely focus on the impact of data leakage at any point of this exercise and the possible consequences. The sampling scope involves a lot of preliminary work - a thorough thought through identification of population to tap, the specific characteristics of the sample that is required, working on the type of questions, probable response rate including cost and tentative time frame. A time estimation required for this activity based on earlier data subject's response or seeking for the same data subjects for a faster turn around, would be considered against the interest of the data subjects, as per the principles. Data collection and researching: Data collecting in research is a rich experience for any researcher. The questionnaires, interviews, accounts, observation, tests and other relevant methods assist the researcher to gather data in a structured manner to be able to analyse appropriately and derive at results. The Data Protection Act is based upon eight data protection principles. Any individual or organisation processing personal data is required by law to ensure that any data in their possession are managed in accordance with these principles to adhere to those principles. Data Analysis: Evaluating research content for balance and objectivity in compliance with methodologies and guidelines is a Herculean task in itself. Researchers in various disciplines who intend to inductively build theory through qualitative analysis of data are confused and perplexed by this much needed assignment. The experience of gathering data might have been exciting and interesting, exposing the researcher to various dimensions of a particular aspect while remaining focussed on the core subject. Yet when the time comes to make sense, analyse the notes, document, interview pages, questions, have a theoretical interpretation while counting upon the empirical reality reflected by all the materials - the effort required there to a large extent determines the success and futility of the research. The success of any research lies in distilling these very large volumes of data into clear, precise, actionable insight and advice so that the authorities can formulate plans or make further decisions. A researcher, here needs to break through the inevitable biases, prejudices, opinions and stereotypical perspectives. A mere discussion of these theories, data points, knowledge acquired and the human sources involved would violate ethical and data protection principle. Research Framework Vs Data Protection: We know from the above outline, a researcher's end results depends much upon effective planning, sourcing strategy, designs, theories developed, evaluation parameters and every research involves blending of a wide range of skills and activities. We can now safely assume data protection principles is a much needed mandate as loss of data at any step and consequent hassles is likely to cause substantial and unwarranted damage or distress to the researcher or any individual whose personal data is being used explicitly without informed consent of the concerned. There has been significant advances in methods, theory and application and data protection is not an issue in this broad network as long as they are used based on ethical standards. Within the limits of the data protection guidelines and ethical research practice, a satisfactory report can be submitted in order to openly and assertively address a specific issue, regardless of topic - whether it is agriculture and Food; Business and Economics; Climate change, Energy and Transportation; People and ecosystems; Population, Health and Human well being - as the research framework involves four broad activity that deals with Problem, People, Practice, and Purpose with a clear understanding of integrity for all aspects. Keeping in view research as a concept of developing knowledge, the various theories involved, the specific designs adopted, extensive search in libraries and other sources, ability to formulate a problem in social research, following different techniques and technologies of research shapes the research content and brings desired results. In this cycle, data security not only protects the interests of the data subject but the purpose of project itself. While there are minor compromises and hindrances and major complexity, creativity and choice of options often compensate adequately for the research content. As long as a researcher can appreciate data protection aspect in the light of positive implications, it can not really be a hindering factor in any research. The best of research skills would be wasted if there is initial distraction in identifying the problem accurately. While adhering to standards and ethical conduct, data should solely be used for the purpose it was intended. Any other usage would mean exploitation and integrity failure. Every insight acquired has to be substantiated, which is again dependent on facts and data gathered for a better visibility of the issue. Knowing most issues are independent of each other to some extent, recycling data or violating data protection principles will most certainly lead to skewed results. Now we can let go of that assumption we had considered in the first place of not having any data protection issues, and come back to reality as data protection, by now, we realise is inevitable in the overall framework of research. 1. Information Commissioner's Office http://www.ico.gov.uk/ 2. University of Essex, Records Management. Practical Tips - Applying Data Protection Requirements to University Activities. http://www2.essex.ac.uk/rm/dp/research.shtm 3. Research Methods in Education - Louis Cohen, Lawrence Manion & Keith Morrison 4. http://www.socialresearchmethods.net/kb/contents.php 5. Linda K. Owens, Introduction to Survey Research Design http://www.srl.uic.edu/seminars/Intro/introsrm.pdf 6. Data Protection Issues relating to survey research http://www.marketresearchworld.net/index.phpoption=com_content&task=view&id=391&Itemid=53 7. http://www.privacydataprotection.co.uk/ 8. Basics of qualitative research: Grounded theory procedures and techniques. - Strauss, Anselm; Corbin, Juliet M. Thousand Oaks, CA, US: Sage Publications, Inc. (1990). 270 pp. Summary Research is supposed to produce substantial social benefits. The consequence of unethical practice is not just counter reactive but also defeats the purpose of the research. Ethics is the basic sense of right and wrong that a community believes. If the medium and mode used to arrive at realistic results was based on violation of ethics, how trustworthy would one consider the researcher's intent and be able to rely on the acquired information Any breach of values and guidelines is probably equivalent to blasphemy, however this report briefly indicates the circumstances where some tailoring leads to maximum benefit and minimum harm with a little compromise allowed by governing bodies. 2. Question 2 (Report 2) With reference to ethical guidelines relevant to your discipline/field of study, consider how standards of 'good research practice' are ensured in the university and in the social science research community as a whole critically assess whether and under what circumstances guidelines can/need to be disregarded. Ethics in research is not supposed to be a matter of choice or a mandate but ideally should be a state of mind. Research is an activity designed to either test hypothesis or arrive at conclusions to enable a researcher to contribute to generalizable knowledge as theories or principles. Research is usually conducted with an objective and a set of procedures and processes are designed to reach that objective. In the research community there has been a gradually developing consensus about the key ethical principles that should rule the research endeavour. Universities and other governing bodies have been actively supporting that initiative over the years. University Responsibility: Universities have a responsibility for ensuring that the research undertaken is conducted in accordance with the law, in the public interest and is consistent with best practice. Develop core values and boundaries of research. Operating and reviewing policies and guidelines which are consistent with recognised standards and best practice in the disciplines, both in national and international level. Providing appropriate guidance to researchers. An example is indicated below. There is a reference document from The University of North Carolina at Chapel Hill at the end of this report regarding policy and procedures on Ethics in Research. Supporting researchers undertaking research, which is ethically sound through implementation of guidance and appropriate supervision. Establishing University and Faculty-based Research Ethics Committees. Example, Data Protection Guidance for Student Research Projects is a document that is intended for students who are undertaking research as part of their program of study at the University of Edinburgh with advise on best practice for data protection compliance, reference to Research and the Data Protection Act 1998, steps to responsible use of personal data and additional references to UK Information Commissioner's Office website. Empowering students with knowledge on data protection principles, ethical practice goes a long way in the research. Good research is not just about the quality or even the quantity of data one gathers, but also the way the entire research is conducted. University of Leeds, in their guidelines on ethical research practice for students details, in fairly simple language how the final presentation of research findings should respect the sensitivities of the community in the context in which the research has been undertaken. Ethical guidelines for research are formulated based on consensus that involves stakeholder groups. Guidelines for responsible conduct of research published in January 2007 by the Office of Research Integrity 1710 Cathedral of learning highlights some of the matters of ethical concern in research: Plagiarism: Presenting data and ideas of others with the implication that they are their own is a grave misconduct in research. Another particularly serious form of plagiarism is the misuse of privileged information taken from manuscript received for peer review. The severity of such a case is even higher as this theft of intellectual property not only deprives the original author of appropriate credit by citation but could also pre-empt priority of first publication or the use of original idea to which the source author is entitled. Data and data subject Management - Integrity of data; use and misuse of data; ownership and access to data; storage and retention of data are broad topics of discussion for ethical practices. Ethical Issues also revolves around the data subject's interest and well being - ensuring their voluntary participation, letting them know where the data will be used, having their informed consent, educating them about the risk of harm and finally to maintain confidentiality, if the data subject so demands. The need for conducting a research within the realms of fairness and scope of good practice has not evolved recently and cannot be emphasized enough. It is the researcher's responsibility to be acquainted with the good research practices or seek relevant information from the concerned, which is available in abundance from various reliable sources. The diagram below provides an outline of ethical practices control measures and sources in a research study, which a researcher can be exposed to for thorough understanding. Sources & Controls - Ethical Practice and Procedures Role of Research Ethics Committees Research Ethics Committees are the Committees which are convened to provide independent advice to participants, researchers, funders, sponsors, employers, care organisations and professionals on the extent to which proposals for research studies comply with recognised ethical standards - As defined by the Central Office for Research Ethics Committees (COREC). Many learned bodies have published ethical codes of practice: Violation of Ethical Guidelines/ Research Mis-conduct In the guidance document for research students in the University of Edinburgh, it is indicated, if research is strictly for domestic purposes related to one's own personal academic use whilst studying at the University, then the research may be exempt from the Data Protection Act. However, one should still follow the data protection principles as they also aid with ethical best practice. Many research designs involve a greater or lesser degree of deception of subjects. Because deceiving people violates common standards of ethical behaviour, deception in research requires a strong justification - and even then the justification may be challenged. Stepping into the border line of other researcher's subject of study knowingly and leveraging acquired data due to the similarity of scope is a serious violation. Evaluating research content for objectivity and adhering to ethical guidelines is equally important. There could be un-recorded cases that are regularly in practice which is nothing short of integrity failure or serious lapse in ethical practice. Researchers agree that research should not harm those who participate in it, unless they give their informed consent, thereby willingly and knowingly accepting the risks of harm. Barbie, Earl states in the book, the practice of social research that Social researchers have ethical obligations to the community of researchers as well as to subjects. These obligations include reporting results fully and accurately as well as disclosing errors, limitations and other short comings in the research. Professional associations in several disciplines publish codes of ethics to guide researchers. These codes are necessary and helpful, but they do not resolve all ethical issues. There are still grey areas. UK Research Integrity Office has recommended checklist for researchers which are key points to good practice, regardless of subject. It also provides information on conducting risk assessment to determine whether ethics review is required to understand risk factor for organisation, research, health, safety and well being of the researcher and research participants. Many researches are conducted without any such prior assessment. The check list has over twenty points to consider and in all probability not all researchers are acquainted with the significance of each parameter. If the researcher's is absolutely confident that the scope of study is well within the purview of ethical practice, it should be okay not to accommodate all of these as it might not be applicable in a few cases. Even when clear ethical standards and principles exist, there will be times when the need to do accurate research runs up against the rights of potential participants. No set of standards can possibly anticipate every ethical circumstance. Furthermore, there needs to be a procedure that assures that researchers will consider all relevant ethical issues in formulating research plans. To address such needs most institutions and organizations have formulated an Institutional Review Board (IRB), a panel of persons who reviews proposals with respect to ethical implications and decides whether additional actions need to be taken to assure the safety and rights of participants. By reviewing proposals for research, IRBs also help to protect both the organization and the researcher against potential legal implications of neglecting to address important ethical issues of participants. Additional information is available in the Institutional Review Board Guidebook Section 3.6 of UKRIO document Code of Practice for Research, Promoting good practice and preventing misconduct states, when addressing a conflict of interest, it must be decided whether it is of a type and severity that poses a risk of fatally compromising the validity or integrity of the research, in which case researchers and organisations should not proceed with the research, or whether it can be adequately addressed through declarations and/or special safeguards relating to the conduct and reporting of the research. Section 2.7 deals with safety. Organisations and researchers should ensure the dignity, rights, safety and wellbeing of all involved in research and avoid unreasonable risk or harm to research subjects, participants, researchers and others. They should report and address any concerns relating to the dignity, rights, safety and well-being of those involved in research. Research should be initiated and continued only if the anticipated benefits justify the risks involved There are several myths and realities around data protection also which can be accessed in the Information Commissioner's Office website which will enable a researcher to exercise his right to data appropriately and not be a victim of data denial in the name of Data protection principles. Definitions of ethics usually include reference to morals, values, rules, guidelines or standards governing the conduct of researchers, however what is of prime importance is the researcher's own set of values and conscious effort to match the external bench mark requirements in a research. 1. University of Edinburgh - Data Protection Guidance for Student Research Projects 2. Institutional Review Board Guidebook - http://www.hhs.gov/ohrp/irb/irb_introduction.htm 3. The University of Manchester Research Office http://www.campus.manchester.ac.uk/researchoffice/governance/goodresearchpractice/ 4. Ethics in Research http://www.socialresearchmethods.net/kb/ethics.php 5. Records Management http://www.recordsmanagement.ed.ac.uk 6. Economic and Social Research Council http://www.esrc.ac.uk/ESRCInfoCentre/index.aspx 7. Information Commissioner's Office - Myths and Realities/ Definition Documentation for the Model Publication Scheme for Universities http://www.ico.gov.uk 8. Policy and Procedures on Ethics in Research, The University of North Carolina at Chapel Hill http://www.unc.edu/campus/policies/ethics.html 9. U K Research Integrity Office http://www.ukrio.org Read More