Ethical considerations when conducting research and evaluation

Introduction

There is a distinction between what is ethical and what is lawful. Interpretations of the legal issues vary and may permit practices that are unethical. The first consideration must therefore be whether the research is ethical and only secondly whether such procedures are lawful.

General

• Researchers should operate with respect for all participants regardless of their age, sex, race, religion, political belief, or any other difference.
• Any study should be considered to eliminate potential threats to the values and dignity of those involved. The best judge of whether an investigation will cause offence is often a member of the population from which participants are drawn.

Voluntary informed consent

Researchers should obtain the voluntary informed consent of participants prior to the start of the research. In action, however, changes to the way in which data are used may occur in ways that could not be anticipated. This may require participants to be re-informed and consent to be re-sought on a number of occasions.

Consent

• Participants should take part willingly and be aware of their right to opt-out of the proceedings at any point.
• Records of when, how, and from whom consent was obtained should be kept by the researcher.
• Obtaining the consent of those who may not fully appreciate what is involved (children) calls for additional safeguards, such as the consent of parents, guardians or an ethics committee. However, children should also be assisted in being able to give their informed consent.
• Avoidance of a test situation might in itself be taken as evidence of child’s lack of consent.
• Unless those observed give their consent, observational research is only acceptable in situations where those being observed would normally expect to be observed by strangers.  

Voluntary

• Where researchers or sponsors (e.g. schools) are in a position of authority over participants, they should not be allowed to coerce participation.
• Researchers should not exert pressure that might lead to a child or guardian agreeing to participation in expectation of benefit, including the anticipation of intervention or support.
• Where research involves the use of experimental treatments, it is recommended that the researcher clarify:
  • The experimental nature of the treatment
  • The services that will or will not be available to the control group(s)
  • The means by which assignment to treatment and control groups will be made
  • Available treatment alternatives if an individual does not wish to participate or wished to withdraw once the study has begun

Informed

• Participants should fully understand what is involved, particularly about issues that might influence their willingness to participate. They should be aware of:
  • The use that will be made of the data
  • The extent to which confidentiality can be protected
  • How outcomes will be disseminated.
• If anonymity cannot be guaranteed, participants must be warned of this before they take part.
• The investigator should explain any aspects of the research about which participants enquire.

Consent exceptions

Where the research would not be assumed to create distress or harm, the following two exceptions may apply. Parental permission might not be necessary for:

• Archival research, naturalistic observations or anonymous surveys that are used to collect information about groups and do not aim to directly impact on individual children.
• The study of planned or enforced changes in educational practices (e.g. evaluating a change in the functioning of a school; the effects of introducing a new teaching method on attainment).

Deception

In exceptional cases, explaining the research hypothesis in advance of the study may compromise the outcome. If the participant were likely to object upon being debriefed, it would suggest that the ethical basis on which the research is based is questionable. (However, there is a distinction between withholding details and falsely informing participants of the purpose of the research).

Debriefing

Debriefing participants following involvement in research is recommended, especially if any form of concealment or deception has been involved.

Withdrawal from the investigation

• Participants should be free to withdraw irrespective of whether any form of financial inducement has been offered.
• Participants should have the right to retrospectively withdraw their consent. If this happens, researchers have an obligation to destroy the data collected.
• As longitudinal or action research passes through different phases, participants must be free to withdraw.

Protection of participants

• Participants should be protected from physical or mental harm and any threat should be no greater than they would encounter in everyday life.
• Researchers should take account of the emotional, social and psychological consequences of being involved in research, especially if children are taking part in a lot of studies or are perceived to be stressed through being tested.
• Researchers should ensure that information arising from research is not used in ways that could cause distress or harm.

Confidentiality

• Participants have a right to remain anonymous. This should be the understanding unless explicit agreement to the contrary has been reached.
• Researchers are responsible for protecting both the confidentiality of participants and the data. If prior assurance has been given, failure to do so may constitute breaking a legal contract.
• Researchers should remove identifiers as soon as possible in the data management process to preserve anonymity (and comply with the 1998 data protection act).

Confidentiality exceptions

If information relating to child protection is disclosed, the obligation to act in the best interests of children and young people takes precedent over obligations of confidentiality. In an interview it would be appropriate to make it clear that confidentiality cannot be maintained if information is given upon which one has a legal obligation to act.

Giving advice

• Researchers are obliged to inform participants of any evidence of psychological problems uncovered in the course of the research.  
• There is also an onus to offer advice on issues resulting from the research, if it is sought. To this end, the researcher should set out at the start what levels of advice they will be able to offer.  

Colleagues

Psychologists who delegate research work to trainee psychologists, assistant psychologists, psychology research assistants, teachers or others need to do so with appropriate care and should:

• Avoid delegating work to anyone who has a complex relationship with those being researched (as this could lead to exploitation or loss of objectivity).
• Delegate only those responsibilities that such a person could reasonably be expected to perform competently on the basis of their education, training and experience.
• Ensure that such persons perform such services competently.
• Claim only appropriate ownership or credit for the research or publications, and provide due acknowledgement of the contributions of others to collaborative work.

Research community

• The research community includes all those involved in research such as academics, professionals, teachers and students. Researchers have a responsibility to protect the integrity of this community. This can be compromised in a number of ways including:
  • Falsifying research
  • Sensationalising findings in order to maximise public exposure
  • Distorting findings by selective publication
  • Criticising others in a defamatory way
  • Undertaking work for which they are perceived to have a conflict of interest
  • Undertaking work for which they are not competent
  • Using research for illegal purposes
• If researchers become aware of another’s malpractice they should take their concerns to the researcher. If this does not resolve the situation the case should be reported to the relevant governing body.
• There is an onus on researchers to disseminate findings to those who could benefit from such information.  In doing so they should communicate findings in a clear and straightforward way (in language that is appropriate for the audience).
• Authors of publications should be defined as those who have made a ‘substantive’ and ‘identifiable’ contribution to the manuscript prepared for publication.

Sponsors of research

Sponsors are those that fund research or facilitate it by allowing access to data and participants.

• Researchers should not agree to any terms that would lead to a contravention of the ethical principles outlined here.
• Researchers should communicate to the sponsors to what extent the findings are reliable, valid and representative.

Overall

Researchers should undertake ‘critical ethical reflection’ of their work and this should be reviewed as the research progresses.  At the start of each piece of work researchers should define:

• How the research results will be used.
• What help/advice it would be possible to give as a result of the research (or what sources of help the parties involved could be referred to).  
• Who needs to be informed of how the research will be used.

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