Unit 5: Research Ethics

waiving informed consent

When the identity of the research participant will be completely anonymous and the study involves minimal risk When it is not feasible to obtain informed consent due to the cultural norms of the population being studied and when the study involves minimal risk When signing the consent to participate form would subject the participant to possible legal, social, or economic risk (e.g., revealing the status of an undercover drug enforcement investigator) Remember that it is the Institutional Review Board that must make the final determination of whether informed consent can be waived.

how does society influence the types of educational research that gets done?

Society influences the types of educational research that gets done by government, private foundations, and others that control funding prioritize the funds for topics they believe are important.

social responsibility

includes beneficence, or striving to act for the benefit of others in our society and world

respect for people's rights, dignity, and diversity

respect cultural and individual differences and work to eliminate bias and discrimination

most serious form of scientific misconduct

falsification or fabrication of research results

Ethics

Ethics are the principles and guidelines that help us to distinguish between right and wrong so that we do the right thing.

passive consent

a process whereby consent is given by not returning the consent form Parents or legal guardians are told to return the consent form only if they do not want their child to participate in the research. Some investigators have promoted passive consent as a legitimate means of securing parental consent. Ethical concerns have been raised when passive consent procedures are used, however, because these studies might include children whose parents actually opposed their participation in the research but did not return the consent form or maybe did not receive it. should be considered only when the integrity of the study would be seriously compromised by requiring active consent. advantage: more children can participate in a study because consent is not dependent upon returning a form which can be lost or not returned by parents or guardians

anonymity

identity of participants not known to researchers best way to protect privacy

educational researchers

educational researchers frequently must be more rather than less attuned to the ethical issues that surround their research.

costs resulting from study

harm to participants, expense of study, time requires of participants, time required of researchers

active consent

involves consenting to participate in a research study by signing a consent form we recommend that you use active consent whenever possible

The Buckley Amendment, or the Family Education Rights and Privacy Act of 1974

protects the privacy of the records maintained by agencies such as a school system states that records maintained by an agency for one purpose cannot be released for another purpose without the consent of the individual. Records such as student grades that are collected and maintained for the purpose of recording student performance cannot be released to a researcher for research purposes without the student's consent or the parent's consent for minors.

less serious issues

Although fraudulent activity is obviously the most serious form of scientific misconduct, several other, less serious issues also need attention. These include practices such as overlooking others' use of flawed data, failing to present data contradicting one's own work, or circumventing minor aspects of human-participant requirements. While these practices do not approach the seriousness of fabrication, falsification, or plagiarism, they are of concern to the profession

failure to return consent forms

However, studies (e.g., Ellickson, 1989) have revealed that only 50% to 60% of parents return the consent forms even when follow-up efforts are made. One interpretation of the failure to return the consent forms is that the parents are denying consent. However, there are other reasons why parents do not return consent forms. They might not have received the form, they might have forgotten to sign and return it, or they might not have taken enough time to read and consider the request. The existence of any of these possibilities would reduce the sample size and possibly bias the results.

additional consent

Many educational research studies are conducted within the confines of a school system. These studies require the approval and cooperation of a variety of individuals such as the teacher, principal, and superintendent. Often a study cannot be legally conducted without approval from a particular office or administrator in the system. The researcher must not underemphasize the importance of this. You must identify the "gatekeepers" in your particular school or organization and deal with all questions that they might pose.

debriefing and internet research

Nosek and Banaji (2002) have identified several options researchers can use to maximize the probability of a debriefing in the event that a study is terminated early, including the following: Require the participant to provide an email address so that a debriefing statement can be sent to him or her. Provide a "leave the study" radio button on every page that will direct the participant to a debriefing page. Incorporate a debriefing page into the program driving the study that directs the participant to this page if the study is terminated prior to completion.

informed consent and internet research

Obtaining the informed consent of participants is a vital component of conducting ethical research because this component recognizes the autonomy of research participants. The issue of when informed consent should be obtained is complicated because it involves a determination of what is public and what is private behavior. If it is determined that a study requires informed consent, then the issue becomes how to obtain it. Informed consent has three components: providing the information to participants, ensuring that they comprehend it, and obtaining voluntary consent to participate.

deception

Researcher misleads or withholds information from the research participants about the nature of the study. This is why the AERA Ethical Standards explicitly state that deception is discouraged unless it is necessary for the integrity of the study.

utilitarianism

This position, as applied in research, maintains that judgments regarding the ethics of a particular research study depend both on the consequences of that study for the individual research participant and the larger benefit that might arise from the study results. In this position, ethical decisions are based on weighing the potential benefits that might accrue from a research study against the potential costs. If the benefits are sufficiently large relative to the costs, then the study is determined to be ethically acceptable This is the primary approach used by the federal government, most professional organizations, and Institutional Review Boards in reaching difficult ethical decisions about studies that place research participants at risk but also have the potential for yielding important knowledge and significant benefit to humans.

professional, scientific, and scholarly responsibility

adhere to the 22 ethical standards

debriefing

refers to an interview conducted with each research participant after he or she has completed the study including purpose and deception. the reasons for the deception should be explained to the participants in the debriefing session held after the study has been completed. In this interview, the experimenter and research participant talk about the study. It is an opportunity for each research participant to comment freely about any part of the study and express any concerns. Debriefing is also an opportunity for the researcher to reveal aspects of the study that were not disclosed at the outset.

desensitizing

researcher attempts to eliminate any stress or undesirable feelings created by deception or study.

dehoaxing

researchers debrief participants about reasons for deception; attempt to restore trust

Butler and Neuman (1995) experiment

The form of deception used by Butler and Neuman (1995) consisted of withholding information

summary

Ethics are the principles and guidelines that help us to distinguish between right and wrong and to do the right thing. Consideration of research ethics is a necessary part of the development and implementation of any research study. Ethical issues in educational research can be subtle but are nonetheless critical. Educational researchers must address three areas of ethical concern: the relationship between society and science, professional issues, and treatment of research participants. In all cases, researchers must present their plan to an Institutional Review Board for approval before any research involving humans may be conducted. From the planning and implementation stages of a research study, to the collection and analysis of data, to the writing and publishing of the research, many ethical concerns can pose problems for educational researchers. Understanding ethical principles and procedures assists researchers in mitigating issues that arise and guides researchers in performing research that is ethically sound.

relationship between society and science

revolves around the extent to which societal concerns and cultural values should direct the course of research. The society in which we live tends to dictate to a great extent the issues and research areas that are considered important and should be investigated.

Research ethics

-Research ethics are a set of ethical guidelines that researchers use when conducting research. -assist researchers in conducting ethically sound research studies that contribute to our understanding of educational phenomena without inadvertently causing harm -include everything that enables us to foster research that protects the interests of the public, the subjects of research, and researchers themselves.

deontological approach

takes the position that ethical issues must be judged on the basis of some universal code

benefits resulting from study

benefits to participants, advancement of knowledge, benefit to society, improvement of educational system, etc

freedom to withdraw

AERA Ethical Standards explicitly state that research "participants have the right to withdraw from a study at any time, unless otherwise constrained by their official capacity or roles." Merely inform the participant that he or she is free to withdraw from the study at any time. From the researcher's perspective, such a statement would seem to be sufficient to comply with the "freedom to withdraw" principle. However, from the participant's perspective, such a statement might not be sufficient because he or she might feel coercive pressure to participate. In such instances, the participant is not completely free to withdraw, and the researcher must make a special effort to assure the research participants that refusing to participate or withdrawing from the study will have no adverse effect on them.

expedited review

Expedited review is a process whereby a study is rapidly reviewed by fewer members than constitute the full IRB board. Studies that receive expedited review are typically those involving no more than minimal risk, such as the following: Research involving data, documents, records, or specimens that have been collected or will be collected solely for nonresearch purposes Research involving the collection of data from voice, video, digital, or image recordings made for research purposes Research on individual or group characteristics or behavior (including, but not limited to, research on perception, cognition, motivation, identity, language, communication, cultural beliefs or practices, and social behavior) or research employing survey, interview, oral history, focus group, program evaluation, human factors evaluation, or quality assurance methodologies.

consent

Federal regulations as well as AERA guidelines state that research participants must give informed consent before they can participate in a study. Consent must also be given before a researcher can use individuals' existing records for research purposes. Before a person can participate in a research study, the researcher must give the prospective participant a description of all the features of the study that might reasonably influence his or her willingness to participate.

privacy and internet research

Maintaining the privacy of the data collected from research participants is essential to the conduct of an ethical study because participants can be harmed when their privacy is invaded or when their confidential information is inappropriately disseminated. This is important when conducting research over the Internet because one's ability to maintain the privacy and confidentiality of information is limited online. data that is encrypted and without identifying information might be more secure than data collected in person and stored in paper files

minor participants

Minors, however, cannot make decisions about consent. Consent has to be obtained from parents (or the minor's legal guardian) after they have been informed of all features of the study that might affect their willingness to allow the child to participate. Once consent has been obtained from the minor's parent or guardian, assent must be obtained from the minor. This means that the minor has to agree to participate in the research after being informed of all the features that could affect his or her willingness to participate.

S.R. Phillips (1994) research study

Phillips was interested in adolescents' attitudes and behaviors related to HIV/AIDS prevention. Fortunately, S. R. Phillips (1994) met with various groups before conducting her study, and these meetings revealed several ethical concerns that led her to alter her questionnaire and her procedures. removed the drug questions b/c there was a concern over the anonymity and privacy of the students created a separate set of questions for students in the study who would report that they were sexually inexperienced the students' sexual inexperience would be revealed if they finished the questionnaire too quickly because they did not have to answer as many questions Another subtle ethical issue S. R. Phillips (1994) had to contend with was the issue of privacy. Although the survey study that S. R. Phillips (1994) conducted did not place the participants in any physical danger, there was the potential for emotional harm

professional competence

act only in the areas of competence and be up-to-date in training

integrity

always be honest, trustworthy, and never jeopardize the welfare of others

ethical skepticism

argues that concrete and inviolate moral codes such as those used by the deontologist cannot be formulated. Such a skeptic would not deny that ethical principles are important but would claim that ethical rules are relative to one's culture and time According to this approach, an ethical decision must be a matter of the individual's conscience, and the researcher should do what he or she thinks is right and refrain from doing what he or she thinks is wrong.

assent of the minor

Federal regulations state that the assent of the minor should be obtained when he or she is capable of providing assent. However, the age at which a person is capable of providing assent can differ among children. To provide assent, the child must be able to understand what is being asked, realize that permission is being sought, and make choices that are free from outside constraints. This depends on the cognitive capabilities of the child. Because the cognitive capabilities of children develop at different rates, it is difficult to state an age at which a child is capable of providing assent. Individuals older than the age of 9 generally have sufficient cognitive ability to make a decision concerning participation in research, and individuals older than 14 seem to make the same decisions as adults (Leikin, 1993). Most individuals (e.g., Leikin) and the ethical guidelines provided by the Society for Research in Child Development (2007) state that assent should be obtained from all children. This is the guideline that we also recommend. Not only is it more ethically acceptable to obtain the assent of minors, but doing so might also enhance the validity of the study. Insisting that minors participate when they clearly state that they do not want to can alter their behavioral responses and introduce a confounding influence on the data collected.

information to include in a consent form

Purpose of the research along with a description of the procedures to be followed and the length of time it will take the participant to complete the study A description of any physical or psychological risks or discomforts the participant might encounter. A description of any benefits the participant or others might expect from the research A description of any alternative procedure or treatment that might be advantageous to the participant A statement of the extent to which the results will be kept confidential Names of people the participant can contact with questions about the study or the research participant's rights A statement indicating that participation is voluntary and the participant can withdraw and refuse to participate at any time with no penalty A statement of the amount and schedule of payment if participants are to be paid for participation The information should usually be written at an eighth-grade reading level; for studies targeting certain populations, a sixth-grade reading level might be appropriate.

active and passive consent

Research (e.g., Ellickson & Hawes, 1989; Severson & Ary, 1983) has revealed that active and passive consent procedures yield comparable rates of participation when the active consent procedures include extensive follow-up techniques. This suggests that nonresponse to passive consent represents latent consent and that it might be an appropriate means of obtaining consent.

exempt categories

Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (a) research on regular and special education instructional strategies, or (b) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior, unless: -information obtained is recorded in such a manner that the participants can be identified, directly or through identifiers linked to the participants; and -any disclosure of the participants' responses outside the research could reasonably place the participants at risk of criminal or civil liability or be damaging to the participants' financial standing, employability, or reputation. -Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior that is not exempt under 2 above if -the participants are elected or appointed public officials or candidates for public office, or -federal statute(s) require(s) without exception that the confidentiality of the personally identifiable information will be maintained throughout the research and thereafter. -Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens if these sources are publicly available or if the information is recorded by the investigator in such a manner that participants cannot be identified, directly or through identifiers linked to the participants. -Research and demonstration projects that are conducted by or subject to the approval of department or agency heads and that are designed to study, evaluate, or otherwise examine: -public benefit or service programs, procedures for obtaining benefits or services under those programs, -possible changes in or alternatives to those programs or procedures, or -possible changes in methods or levels of payment for benefits or services under those programs.

treatment of research participants

Research participants must be fully informed of the purpose of the research study, the procedures, risks of their participation, benefits, alternative procedures, and limits of confidentiality before they can participate in a study.

professional issues

The category of professional issues includes the expanding problem of research misconduct. The most serious professional crime any researcher can commit is to cheat or present fraudulent results to the research community. Both personal and nonpersonal factors seem to contribute to scientific misconduct Personal factors focus on the psychological makeup of the individual (e.g., personality, value orientation). Nonpersonal factors include such things as the pressure to publish and the competition for research funding. Most research is conducted at research institutions, most of which are universities. These institutions evaluate professors on the basis of the grants they receive and the articles they publish. Receiving a promotion or even keeping one's position might be contingent on the number of articles published and grants obtained. This pressure is frequently reported by researchers who engage in fraudulent activities. Other nonpersonal factors include inadequate supervision of trainees, inadequate procedures for keeping records or retaining data, and the diffusion of responsibility for jointly authored studies.

American Educational Research Association

developed a set of standards designed specifically to guide the work of educational researchers recognized that educational researchers come from many disciplines, each of which may have a set of ethical guidelines to guide its members. However, AERA recognizes that educational research is often directed at children and other vulnerable populations. Therefore, one key objective of the AERA standards is to remind researchers constantly to strive to protect these populations. The AERA standards also emphasize integrity in all other aspects of educational research. Here are the five broad principles you should always follow: professional competence, integrity, professional, scientific, and scholarly responsibility, respect for people's rights, dignity, and diversity, and social responsibility

IRB

members of the IRB are required to make judgments regarding the ethical appropriateness of the proposed research and ensure that research protocols are explained to research participants and any risks of harm are reasonable in relation to the hoped-for benefits. To make this judgment, IRB members must have sufficient information about the specifics of the proposed research study. This means that the investigator must submit a research protocol that the IRB can review. The following list identifies the information that must be included in this protocol. -Purpose of the research -Relevant background and rationale for the research -Participant population -Experimental design and methodology -Incentives offered, if any -Risks and benefits to participants and precautions to be taken -Privacy and confidentiality Once the research protocol is submitted, the IRB administrators determine whether the protocol should be reviewed by the full board. There are three categories of review that a proposal might receive from the IRB. These categories relate to the potential risk of the study to participants. Studies can receive exempt status, expedited review, or review by full board. The IRB might waive the requirement of informed consent under two conditions First, if the consent document is the only record that could link the participant to the research and the primary harm arising from the research is a breach of confidentiality, informed consent might be waived. Second, if the research presents no more than minimal risk to participants and consent procedures are typically not required in the context of the study, informed consent might be waived. All other studies must obtain informed consent.

confidentiality

refers to an agreement with the research investigators about what can be done with the information obtained about a research participant. only the research investigators know identity of participants means that researchers use to protect the privacy of research participants

exempt studies

refers to research that is exempt from certain requirements and full committee review, not exempt from IRB oversight altogether A member of the IRB decides whether the study is exempt and can proceed as proposed or must be reviewed by the full IRB Exempt studies are those that appear to involve no risk to the participants and do not require review by the full IRB If the IRB staff reviews a protocol and places it in the exempt category, the protocol is typically returned to the investigator within a few days, and the investigator is free to begin his or her research project.

informed consent

refers to the fact that a person, once given the pertinent information, is competent and legally free of the desire of others to decide whether to participate in a given research study usually includes a brief summary of the general purpose of the study without providing information about the researcher's specific hypotheses. what is most important is to include a description of anything that might affect a potential participant's willingness to participate. research participants must be informed of all parts of the study that could influence their decision to participate before they agree to participate in the study Whenever a judgment is made that informed consent would alter the outcome of a study or that the study could not be conducted if informed consent were required, the investigator incurs an added ethical obligation to ensure that the benefits of the research outweigh the risks number of limited circumstances where the requirement of informed consent will be waived. These circumstances include the following:

Tuskegee experiment

represents the most blatant example of violation of human rights in the United States. one of the ethic standards violated: lack of informed consent failure to treat the men for syphilis and the active discouragement of them getting treatment from others violates the freedom from physical or psychological harm (ethical concern)

additional strategies

researchers must make sure to check and verify dat that are collected supervising researchers can follow up with participants to ensure that they participated in the study researchers follow their approved study design closely Prior to analysis, researchers can carefully and consistently review the work of every person who collects the study data research teams can review and share guidelines for handling cases of suspected misconduct

privacy

the control of others' access to information about you There are two aspects to this concept. The first involves a person's freedom to identify the time and circumstances under which information is shared with or withheld from others The second is the person's right to decline receiving information that he or she does not want. Respecting the privacy of research participants is at the heart of the conduct of ethical research Researchers attempt to ensure the privacy of research participants by either collecting anonymous information or ensuring that the information collected is kept confidential.