Chapter 4
Answers to
Study Questions
4.1. What is the definition
of ethics, and how does this definition relate to research?
Ethics
are the principles and guidelines that help us to uphold the things we value.
In educational research, the American Educational Research Association has
developed a set of ethical guidelines that must be followed. You can view these
guidelines at this URL: http://aera.net/about/policy/ethics.htm
. At this site, you will see that the AERA Guidelines are
classified into the following major sections:
I. Responsibilities to
the Field
II. Research Populations, Educational Institutions, and the Public
III. Intellectual Ownership
IV. Editing, Reviewing, and
Appraising Research
V. Sponsors, Policymakers, and Other Users of Research
VI. Students and Student
Researchers.
4.2. How do the three
approaches that are used in considering ethical issues in research differ?
The three major approaches
to ethics are the deontological approach (which states that we should
identify and use a Universal
code in making ethical decisions), the ethical skepticism approach
(which says that ethical
standards are not universal but are relative to one’s own particular
culture and time), and the utilitarianism
approach (which says that decisions should be based on
an examination and
comparison of the costs and benefits that may arise from a study). As you
can see, one approach is
absolutist, one is relativist, and one says to evaluate the costs and
benefits and then make a
decision. Researchers and institutional review boards at universities use
the utilitarian approach.
4.3. How do societal concerns relate to research ethics?
Societal concerns raise
ethical questions such as these:
·
Should
researchers study what is considered important in society?
·
Should the federal government and other
funding agencies determine what is studied?
·
Should
researchers ignore societal concerns?
4.4. What are the professional issues involved in research ethics,
and what is the appropriate ethical behavior related to each of these issues?
Professional issues include
the following:
· Obviously cheating and other
fraudulent activity is never ethically justified.
· What measures should be
taken for professional misconduct?
· Duplicate publication, which involves publishing
the same data and results in more than one journal or in other publications, is
considered unethical except in very unique cases (e.g., it would be ethical to
publish your results in a journal article but also provide your research
participants with a summary of the results; it also is unethical to send your
results to more than one journal even if you ultimately only publish the
results in one of the journals).
· Partial publication, which involves publishing
several articles from the data set collected in one large study is allowable as
long as the different publications involve different research questions and
different data, and as long as it facilitates scientific communication. For
example, it would be unethical not to publish together highly questions
in the same article if it would facilitate communication; it also would be
unethical to select out of a set of
findings only the “statistically significant” results in a large data set and
act as if all of the findings were significant.
4.5. Why is treatment of the research participant an ethical issue
to be considered in educational research when the potential for physical and
psychological harm is minimal?
The treatment of research
participants is a fundamental issue and it involves insuring that
research participants are
not harmed physically or psychologically in any way. This issue is
essential because if
researchers mistreat people and violate their individual rights, then the
entire
enterprise of research will
fail. The book discusses some egregious examples of unethical
treatment of participants
that occurred in the past (e.g., see the Tuskegee Experiment).
4.6. What must a researcher do to ensure that his or her study is
ethical?
The researcher must
carefully consider all the ethical issues that may arise in the conduct of a
study and plan and design the study to prevent unethical mistakes. The
researcher also must submit an IRB Protocol to be reviewed by the Institutional
Review Board to make sure the plan demonstrates an understanding of the ethical
issues involved and that all guidelines are met. Note that many subtle issues
can be involved that the researcher must be aware of; for example, researchers
are often in a power relationship with potential participants so the researcher
must do everything he or she can to make potential participants know and FEEL
free not to participate and, later, to withdraw if they want to do so. Informed
consent is a must before anyone participates in a research study.
4.7. What kinds of information does a consent form have to include?
Informed consent is provided by research
participants and it means they know what participation
in the study entails and
that they choose to participate. To obtain informed consent you need to
provide the following
information to potential participants: a statement of the research purpose,
description of any potential
risks or discomforts, description of potential benefits, description of
confidentiality policy to be
used, give a list of names participants can contact if they have any
questions, and a statement
that participation is voluntary and participants are free to withdraw at
any time from the study (for
the full list, see Table 4.1).

4.8. Under what conditions can an investigator get a waiver of the
requirement of informed consent?
If a research study cannot
be conducted if the research participants are fully informed without
invalidating the outcomes and if the study has strong scientific merit, then
the IRB sometimes foregoes the requirement of informed consent. Even in this
situation, however, the following four conditions must be satisfied:
1) The research presents
minimal risk to participants.
2) The waiver will not
affect the rights and welfare of the participants.
3) The research could not be
practically carried out without the waiver.
4) The participants will be
provided with additional information after participation.
4.9. What is the difference between consent from a minor’s legal
guardian and assent from the minor, and why are both important?
Legally, minors must have
their parent or guardian’s consent for them to participate in a research
study. The parent or guardian needs to read, consider, and decide whether to
sign the consent form for their child to participate in the study. An actual
consent form is shown in Exhibit 4.4. In addition to the parent’s consent, the
minor must provide assent; assent means that the minor agrees to
participate in a study after being informed of all the features of the study
that could affect the participant’s willingness to participate. The researcher
discusses the issues with the minor and should then have the minor also sign
the consent form (if he or she can write) to record his or her assent. Also
note on the consent form on page 106 the following sentence: “If you are
willing for your child to participate, and your child wants to participate,
please sign below and return this form to school with your child...”
4.10. What is the difference between active and
passive consent, and what are the advantages and disadvantages of each?
Active consent has been the
norm in research for many years. Active consent is the process
whereby a potential
participant indicates his or her consent by signing the consent form. The advantage of active
consent is that it is the most direct form of consent, and it is usually the
recommended form of consent. The disadvantage is that when used with minors,
some forms may not be returned for reasons other than lack of consent. To help
solve this problem, some researchers use passive consent for minimal risk
studies such as surveys or routine instruction. Passive consent is the
process whereby consent is given by not returning the consent form. Note
the following passage in the passive consent form shown in Exhibit 4.5:
“Participation in this study is completely voluntary. All students in the class
will take the test. If you do not wish for your child to be in this
study, please fill out the form at the bottom of this letter and return it to
me. Also, please tell your child to hand in a blank test sheet when the class
is given the mathematics test so that your child will not be included in this
study.” The advantage of passive consent is that children will be allowed to
participate in research who would have been missed by active consent if their
parents simply forgot to sign and send in the active consent form or if the
child didn’t get it back to the teacher. In other words, active consent forms
that are not returned often do not mean lack of consent; it can result because
the parents didn’t get the form, didn’t take the time to look at the form, etc.
Still, passive consent is controversial and the legislation should be carefully
followed.
4.11. What is deception, and when is it used in a research study?
Deception is the lack of full
disclosure to participants. It can be used if it is needed to produce a
scientifically valid
research study. However, the use of deception must be clearly justified, and
the advantages must outweigh
the disadvantages and this must be approved by the Institutional
Review Board.
4.12. What are the ethical
obligations of a researcher who makes use of deception?
The researcher is ethically
obligated not to use any more deception that is needed to conduct a
valid study. If extensive
deception is used debriefing must be used. The two goals of debriefing
are dehoaxing (informing
the participant about the deceptive aspects of the study) and
desensitizing (reducing or eliminating
any stress or other undesirable feelings that may have
been created by
participation in the study).
4.13. Why can participants still feel pressured to
participate in a study even after the researcher has stated that they can
withdraw or decline to participate?
Mainly because they may feel
some sort of implicit cultural pressure not to withdraw.
Researchers in a power
relationship with potential participants must be extra careful that people
do not feel pressured or
coerced to participate. The researcher must make participants feel that
there really there will be
no adverse effect if they refuse to participate or decide to withdraw after
starting participation.
4.14. What are the issues relating to freedom to
withdraw with respect to minors?
The minor’s wish to dissent
(e.g., not participate or drop out) must be respected according to the ethical
standards of, for example, the AERA and the SRCD. Things get more complicated
when the minor is too young to understand what participation entails, as is the
case with very young children and infants. The research must, in these cases,
look out for any verbal or nonverbal indicators of discomfort and wish for
dropping out.
4.15. Why do educational researchers have to be
concerned with protecting participants from mental and physical harm in their
studies?
Because we live in a society
where we have the right to privacy and the right to expect freedom from
surveillance of our behavior without our consent. We also have the right to
know when our behavior is being manipulated, and, if so, why. The research
enterprise must protect its most valuable resource: the actual participants in
our research studies. Mistakes have been made in the past that we cannot afford
to relive again (e.g., see the Tuskegee Experiment in Exhibit 4.2).
4.16. What is the difference between confidentiality and anonymity?
Confidentiality is a basic requirement in
all studies. It means that the researcher agrees to not reveal the identity of
the participant to anyone other than the researcher and his or her staff. A
stronger and even better condition if it can be met is that of anonymity.
This means that the identity of the participant is not know by anyone,
including the researcher. An example of this would be where a researcher had a
large group of people fill out a survey instrument but NOT include their names
on the instruments. In this way, the researcher will have the data but no
names.
4.17. What is the purpose of the IRB?
It is the researcher’s and
Institutional Review Board’s responsibility to ensure that all research studies
conducted at a university meet the ethical requirements discussed in this
chapter.
4.18. What kinds of information should be contained in a research
protocol submitted to the IRB?
This information is shown in
Table 4.2 and reproduced here for your convenience.

4.19. What are exempt studies, and what type of studies meet the exempt
criterion?
Exempt studies are studies
involving no risk to participants and not requiring full IRB review. A list if
exempt categories is given in Table 4.3. Many educational research studies are
exempt from full IRB review; however, it is the IRB staff and not the
researcher that must make the decision as to whether a research protocol is
exempt. If a study is exempt, the IRB will provide documentation of this
status.
4.20. What is expedited review, and what type of studies would received
expedited review?
Expedited review is the
process by which a study is rapidly reviewed by fewer members than constitute
the full IRB board. Studies likely to received expedited review must involve no
more than minimal risk.