Lecture two: Research and the respondent Ethical issues before the research commences

1. The principle of informed consent

A central feature of a research ethics is the principle that participants should be fully
informed about a research project before they assent to taking part. This principle is usually
known as informed consent. There may be difficulties with informed consent in situations
where participants are part of a hierarchical work structure. The workers will understandably
be cautious about making comments on the management style of the organization, unless they
are confident that the management at the highest level approves of their involvement. Even
then, respondents will almost certainly want there to be a system which ensures that
comments cannot be traced back to their originator.
2. Written information on the research project, and obtaining written consent
One of the slightly complicated issues with informed consent is deciding the limits of the
information to be passed on to potential respondents. The most natural way is simply to tell
respondents, using brief notes as a reminder of the key issues to be mentioned. Respondents
may ask questions and this may cause you to digress in your account. One strategy is to
prepare a card or flyer which describes the key aspects of the research, and to distribute these
to all potential respondents. The advantage of this is that at least all respondents receive the
standard information. It must also be stressed that the participant may withdraw from the
research process at any time on request. As an additional safeguard, participants could be
promised that any data provided by them will be returned to them on request.
3. Potential disadvantage or harm which might affect respondents
It is part of the informed consent process that the researcher should try to anticipate any
undesirable consequences for the potential participant. For example, you might be collecting
oral history data on employment in your local town, and you interview local residents. In the
middle of one interview, the interviewee suddenly bursts into tears. It transpires that he was
thinking about his early childhood and the relative who looked after him when his father was
in the armed forces. Nevertheless, these are often areas about which people may have strong
feelings. Either way, we may have inadvertently caused some distress. However, if as
researchers we always avoided any issue which could remotely be sensitive to someone, we
would risk making our research so bland that it would not generate any useful data. In the
case of interviews, it is probably worth making it clear to respondents that they can decline to
answer a question, or decline to discuss a particular topic. Another possible strategy is that, as
an interview develops, the interviewer provides advance warning of questions on a particular
topic. The interviewee may then be invited to reflect upon whether they wish to answer
questions on that subject.
4. The involvement of research participants in research design
There are several issues in the question of participation in research design; some are ethical in
nature, and others practical. Such preliminary discussions could also enable local members of
the public to explain to the research team, their own specific concerns in their lives. For
example, in a study of housing provision in an area, it would enable residents to articulate
their particular problems with their housing, and thus make the research much more relevant.
 There is also an ethical dimension to this, in terms of trying to ensure that social research does
not simply accumulate knowledge, but also tries to improve the quality of life for people. If
they are involved from the very beginning, they will be more likely to feel that they are a
genuine part of the research, and that the research is a part of them. This renders the research
much more democratic, and reduces the extent to which it may be perceived as the domain of
a privileged few. This could be psychologically more beneficial than simply leaving the
research to the ‘experts’. The same could be true of research in the area of children with
learning or behavioural difficulties. Certainly if parents could be involved in the research
design, it could give them a better sense of doing something active to help their children. It is
in situations like this that we can see the research process as a positive ethical action with the
genuine capacity to help people.
5. Researching vulnerable groups of people
People who we consider to be vulnerable in research terms are individuals or categories of
people who may not have the required degree of understanding to give their informed
consent to participation in research. Among them are children and people whose first
language is different from that of the researcher, participants may be higher in the hierarchical
system than the researcher. Other groups of people for a variety of reasons are socially or
economically vulnerable, such as unemployed or homeless people. People who are suffering
ill-health may be so concerned about this that it affects their response to a request from a
researcher. Some individuals or groups may, through limitations of education, have difficulty
in understanding what is being requested of them.
The question of vulnerability in research terms is a complicated issue. On the one hand, as
researchers we need to be sensitive to the situation of those people who we feel may not
understand the implications of requests to participate. On the other hand, we do not want to be
condescending towards people, or to make unwarranted assumptions about their competence,
or to engage in a process of social labelling.
6. Ethical Considerations and Safeguards

• Minimize Harm:

The primary goal is to do no harm. Research should not increase a participant's vulnerability
or exacerbate their marginalization.
• Justification for Inclusion:

Researchers must provide a clear rationale for why a vulnerable group needs to be included
in the study.

• Informed Consent and Assent:

Ensure participants fully understand the research and freely give their consent. For those
unable to give full consent, researchers should seek their assent (agreement).

• Proxy Consent:

For individuals lacking capacity, a legal representative (parent, guardian) may provide
consent. However, individual assent is still important.
• Protecting Interests:

Vulnerable individuals might be incapable of protecting their own interests, increasing their
risk of harm. Safeguards must be put in place to protect them.

• "Nothing About Me, Without Me":

The views and lived experiences of representatives from vulnerable groups should be
incorporated into the research process.

• Context-Specific Approaches:
Develop research methods and communication strategies appropriate to the specific
vulnerable group being studied.
A sociologist investigates the health problems of older homeless men and women and
hopes to use the research to publicize the health needs of such people, and to encourage the
relevant health authorities to establish an improved programme of regular intervention.
Several preliminary interviews conducted by the sociologist suggest that there is a possibility
that regular medical checks may have a restricting influence upon the lifestyle of the research
respondents. The sociologist is thus experiencing something of a dilemma, by wanting to
provide better health care for the homeless people, but equally not wishing to disturb the
social ecology of their lifestyle. There is nothing to stop the people accessing health care on
an ad-hoc basis, according to need, and this will not be likely to undermine their lifestyle.
7. Obtaining access to the research field via ‘gatekeepers’
To gain access to a research field, researchers work with "gatekeepers," individuals or
organizations who control access to a community or specific group of people. The
relationship between researcher and gatekeeper can be fully symbiotic when research
conducted on aspects of their work. Gatekeepers will inevitably have concerns about the
impact of the research on the organization like confidential information that may be disclosed
outside the organization. The researcher thus has an ethical obligation to fully inform the
gatekeeper about the proposed research, particularly in relation to any features which might
affect the gatekeeper’s decision.
8. The role of ethics committees and boards
An ethics committee is a formal committee established by an organization or institution, to
monitor ethical issues in research programmes. First, they are involved in the development
and dissemination of good practice in research ethics. Second, they are involved in the peer
review of research designs and proposals, to ensure that they address relevant ethical issues. If
issues are raised by participants, (gatekeepers) it is reassuring for both you and them to be
able to explain that your research has been through a vetting procedure.
9. Reaching agreement with institutions or organizations in which research will be
conducted
When dealing with classroom observation, the researcher at least knows the identity of the
significant gatekeeper, and hence whose permission to seek. However, in some cases,
researchers feel the need to ask and obtain permission to conduct research, and yet are unclear
about who they should ask. A researcher is interested in treating the park as a social space or
even as a type of community, and documenting the different forms of social interactions. The
park is owned and administered by the local authority. The local authority employees who
work in the park will be part of a probably large local authority department which includes a
wide range of facilities. There will possibly be a complex hierarchical management structure.
Conclusion
It can also be argued that one of the key features of ethical decision making is the process of
discussion and consultation. This implies that people are willing to listen to others, to take
advice and to recognize the complexity of ethical issues. It suggests that people realize that
there is usually more than one side to an ethical issue. In research ethics, as much as
elsewhere, it is essential that we take careful cognizance of the views of other people.