ETHICAL CONSIDERATIONS .1 Introduction to research ethics

Ethics is about relationships. A qualitative research study in a business context has a number of key relationships within the academy and the business and/or other organisations that comprise the research setting (Josselson, 2007). In both cases, there are organisational aspects such as the institutional standards or company specific requirements and there are individual relationships with the research supervisor, members of faculty and individual research participants. It follows that there are ethical considerations relating to each and every relationship that is connected with the research. Josselson explained that research requires an ethical attitude; it requires responsibility rather than rules.

Ethical considerations may be discussed as general principles, which apply at all times throughout the research. These general principles may then be extended to include specific considerations that are determined by the specific research design. So in the case of research that uses interviewing as a method, the ethical considerations may differ at a detailed level from those required for a survey method. In the one, there is direct face-to-face contact with research participants, whereas in the other, participants remain anonymous. The relationship in each case is different and the ethical considerations therefore differ.

It should be noted that the more common situations encountered in research settings are, by and large, covered at a procedural level in either the ethical clearance process or in the recommended procedures that are abundant in the literature on research ethics.

As with any ethical matter, the more difficult ethical situations are those that are not anticipated and do not have preventative procedures. These are often situation specific and quite commonly there is more than one course of action that may be followed. Often described as ethical dilemmas, these difficult situations need to be recognised and then carefully considered so that a suitable

response may be actioned in order to rectify the potential risk or minimise the impact of the risk if already incurred.

Ethical matters that arose during the design phase of the research are noted below. Those that arose during the execution of the research process are considered in Chapter 10 at the end of the dissertation, along with a self-assessment of the other validation and quality controls.

5.3.2 General principles

The overall principle for all research is to avoid harm to any participant or stakeholders in the research (Lincoln & Guba, 2013: 74-75; Smith & Osborn, 2008: 53; Josselson, 2007). Other general principles include respecting all stakeholders in the research process and ensuring that all professional obligations and responsibilities of the researcher as a representative of the academic community have been upheld.

Further, there are principles related to the dissertation, its content, claims and disclosures. The work of others must be respected and all direct quotations must be fully acknowledged and referenced to avoid any actual or perceived plagiarism. In addition, it is prudent to adopt an open and transparent approach so that there is disclosure of underlying research assumptions, the role of the researcher and researcher biases (Merriam, 2009: 230). According to Josselson (2007:

549), this requires researcher reflexivity which means being open, honest and authentic (Lincoln, 2002; Lincoln & Guba, 1985: 76). This advice was adopted and incorporated into the research process.

5.3.3 Ethical issues required by the academic community

The academy, as represented by the institution that is sponsoring the research, has certain established standards that are formalised.

All procedures were followed in accordance with the University of Stellenbosch Business School (USB) requirements. A copy of the signed approval is provided at Appendix A.

5.3.4 Ethical issues specific to the research design

The choice of using interviews as the primary method of data collection means that there are research participants and ethical duties towards the participants.

5.3.4.1 Informed consent

In addition to the general ethical responsibilities noted above, the specific undertakings towards the research participants are set out in the informed consent form, a copy of which is included in Appendix B. The consent form used for the research included the Stellenbosch University standard requirements with some adjustments so that it could be included on one page for ease of communication with the participants. The undertakings in the informed consent were discussed with each participant before the first interview and this included a discussion of the rights of the participant. The informed consent includes the following undertakings:

i) Information on the context and purpose of the research and expected requirements of the participants.

ii) Non-disclosure of personal identity or source of statements, i.e. participant anonymity.

iii) Permission to make an audio recording.

iv) Disclosure of any potential risks to the participants; in this case there are none.

v) Voluntary consent to participate and right to withdraw.

All participants confirmed their understanding and agreement with these terms. Signed original consent forms for all participants are held on file and each participant was given a copy for their records. These are the only documents that retain the name of the participant and in the interests of anonymity, all references in the research texts apply a coded initial for each participant.

5.3.4.2 Confidentiality undertaking

As is common in business studies where there may be sensitive strategic or competitive information included in the content of interviews, the retail organisation that provided the access to the research setting requested that a confidentiality undertaking be signed. After researching the requirements of the participating organisation and discussing the requirements of the university, a short confidentiality undertaking was prepared. The head of the PhD programme at USB confirmed that the undertaking was between the researcher and the company so that there were no restrictions placed on the university.

The wording was approved by the participating organisation and was signed by the researcher and by a representative of the company. All the participants were provided with a copy of the confidentiality agreement. The confidentiality restrictions were carefully worded to cover sensitive company information without unduly limiting the scope of the research. A copy of the signed confidentiality agreement is included in Appendix C.

5.3.4.3 Disclosures – transparency and reflexivity

A further ethical matter that is fundamental to the research process is the attitude of transparency required of the researcher, including but not limited to, the disclosure of role of the researcher. It is an ethical issue because the researcher’s role defines the relationships with other stakeholders, particularly the participants, and it is therefore a central consideration in making ethical choices.

In addition, it is the research choices that have a significant impact on the validity and reliability of the research, as is discussed in detail below, and that direct the research arguments and outcomes. It is only through appropriate disclosures that the reader can fully assess the coherence and credibility of the research arguments and understand the research claims.

Details of the researcher role are provided at Paragraph 5.7 below.