Guidelines for conducting research with
human participants
Researchers can be working with parents, colleagues, or students and see participants individually or in small
or large groups. Similarly, work with vulnerable groups (children, people with mental illness or learning
disabilities, prisoners, etc) can take place in a number of contexts, eg home, school, prison, or clinical
settings. These principles should be applied to all contexts and situations where work is undertaken with
human participants.
General points
1. Students should be aware of the BPS Code of Ethics and Conduct, which is based on the four ethical
principles of respect, competence, responsibility and integrity, and which sets out the standards of
conduct that the Society expects of researchers with respect to each of these principles.
2. Researchers should be explicit about their role and position (eg ‘Final year undergraduate doing a
final year project supervised by ...’, ‘Research fellow working for ... on project funded by ...’).
3. Researchers should not claim to have competencies that they do not have and should be aware of
implicit assumptions about their role (eg that all psychologists are able to make clinical judgements).
4. If in the course of research participants or other involved parties seek advice that the researcher is
not qualified to provide (eg on educational, clinical, or health issues), this should be clarified and the
researcher should, if reasonably possible, advise the party where professional advice can be
obtained.
5. Account should be taken of the organisation’s own procedures and guidelines for research and
working with vulnerable groups. It should be the responsibility of the researcher to ascertain
whether or not these exist.
6. Where researchers have any doubts about any of the guidelines they should consult colleagues (or,
in the case of students, supervisors). If doubts remain the Head of School should consider the issues
and if appropriate consult the Ethics Panel.
7. Participants should be given as much information as possible prior to participation. If studies involve
‘deception’ the procedure outlined above (point 6) should be followed.
8. In the case of research in schools, hospitals, prisons, and other similar contexts, researchers should
be aware that participants may think they are staff or other similar people with authority.
Researchers should take reasonable steps to assure participants that this is in fact not the case.
9. Where adults or children have impairments that prevent them understanding any of the points
below or children are very young, information or other issues should be directed at parents or other
responsible adults such as guardians/carers.
10. Proposals for research should contain a clear summary of procedures, including measures for
obtaining access, consent, debriefing, feedback, and maintaining confidentiality.
11. Research findings should be reported in an accurate and unbiased manner.
12. If the researcher is intending to work unaccompanied with children or vulnerable adults, they will
need to have a Criminal Convictions Disclosure.
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Scientific merit
Schools, hospitals, prisons, etc receive very many requests from students and other researchers who wish to
carry out research. By agreeing, the organisation implicitly approves of the study, its methods and its
potential scientific merit. It is important that researchers consider whether the potential scientific outcome
of the research justifies approaching the organisation and participants. Researchers should consider whether
there are any realistic potential outcomes for the organisation, what use the research will be put to, and
who will benefit from it. These concerns particularly apply to student projects.
Consent and withdrawal
1. Informed consent should be obtained from all participants. A full explanation of the procedures
involved must be given (see Obtaining informed consent). Where research is undertaken in schools
or other similar organisations, informed consent should be obtained from class and head teachers.
Consent must also be obtained from other involved adults or in approved circumstances (see below)
from those in loco parentis. [Note: Within this document parent should be taken to include the carer
or person responsible for the child or vulnerable adult where appropriate.]
Participants should be given two copies of the consent form, one to be signed and returned, the
other to be kept by the participant together with the participant information sheet and any
necessary debriefing.
Consent from participants
a. The procedure should be explained clearly to all participants and their informed consent
obtained prior to their participation. Some adults/children may have impairments that limit
understanding and communication to the extent that they are unable to give informed consent.
In these cases it is therefore essential that permission is obtained from parents/carers or other
responsible adults.
b. Involved adults such as parents should, where appropriate, be provided with enough
information relating to the research in order that they can answer any questions vulnerable
adults/children might ask them.
c. As far as possible, care should be taken to ensure that all participants are aware that they may
withdraw from the research at any time. Where appropriate, involved adults such as teachers
and parents should be asked to reiterate this point.
Consent from involved adults
a. In the case of schools and other contexts where initial contact is not directly with parents, this
should include letters to the Headteacher and then to parents.
b. The preferred method for parents opting their children in or out of research is for parents to opt
in by returning a slip at the bottom of the letter. Parents who do not respond should be deemed
as NOT giving permission. In exceptional circimstance, due to the nature of the project, the panel
may approve the alternative use of an opting out procedure. In this situation, it would be
deemed acceptable for written consent to be obtained from the Headteacher of the school
acting in loco parentis. In such cases the Headteacher will be required to sign their informed
consent (example Headteacher Consent Form). In these circumstances letters must first be sent
to parents informing them of the details of the research and giving them a reasonable period of
time to withdraw their child from the study. These procedures also need to be documented in
the informed consent signed by the headteacher.
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2. In instances where research focuses on another group that is not participating directly in the research
(eg research in schools where children are being asked about known peers), they and their
parents/carers should be informed of the research wherever possible.
3. If any reward is given, participants should be told that this will still be given if they withdraw.
Parents/carers and teachers should also be informed if rewards are to be given.
4. All parties should have the opportunity to ask questions prior to participation.
5. Where students (final year or postgraduate) are conducting research, supervisors should be named and
be available to discuss any problems or questions that any involved parties might have. In terms of
approaching schools or similar contexts, apart from exceptional cases (eg clinical or special school
settings) contact should be made by students (but see general points above).
6. Researchers should be aware that in longitudinal research it may be necessary to obtain consent on
more than one occasion.
7. Participants or their parents/carers may withdraw retrospectively (eg as a result of debriefing) and ask
that data pertaining to them be destroyed.
8. Participants should be aware that data may be used at conferences, etc, and if photographs or similar
are likely to be used then prior consent for this should be obtained.
Confidentiality
1. Researchers should take reasonable steps to preserve the confidentiality of participants, their families,
and other associated individuals.
2. In the case of research in schools or other organisations, neither the school/organisation nor individuals
within it should be identified unless prior informed consent is given.
3. Data and other information made available to researchers by individuals, schools, or other organisations
or involved parties should be treated as confidential unless otherwise agreed.
4. Points 1-3 above include the use of audio/video recordings, photography, and other similar procedures.
5. Researchers should decide prior to conducting research whether steps are to be taken if a
child/vulnerable adult should reveal information on matters pertaining to a child/vulnerable adult’s
personal safety. [Note: In the case of schools, LEAs, social workers, and EPS, members are quite clear
that any serious incidents that affect children’s safety should be revealed to the headteacher or other
professional. Colleagues from other institutions also take this view. Clearly this poses a problem in terms
of confidentiality and any problem would have to be considered on an individual basis. Whatever course
of action is decided on, a child/vulnerable adult should always be told that the researcher may tell
someone else.]
6. If such an incident occurs it should always be brought to the attention of supervisors, co-workers, and
the Head of School. The matter should then be discussed and a decision reached in consultation in terms
of notifying others (eg the Headteacher if a school is concerned).
7. Confidentiality of information is a requirement of the Data Protection Act.
Protection from harm
1. Researchers have a fundamental responsibility to protect participants from physical and mental harm.
2. Researchers must use their best endeavours to ensure that they are adequately aware of the
participants’ ability to understand the purpose of the research.
3. Researchers within the field of education have a responsibility not to intervene in the teaching and
learning process in a way that has the potential for disadvantaging participants.
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4. Participants should be made aware of how to contact the researcher within a reasonable time period
following the procedure should stress, potential harm, or related questions of concern arise.
5. Researchers must take all necessary steps to ensure that they do nothing to introduce or reinforce any
form of social prejudice.
6. Researchers must be mindful of cultural, religious, linguistic, gender, and other differences within
participants in the reporting of their research process.
Collecting sensitive information (personal, medical, or psychological)
1. Researchers should be aware that collecting personal, medical, or psychological information can
sometimes be painful to participants (eg eliciting responses to a questionnaire about bullying;
questioning women about physical assault). Researchers should be aware that their questions may
evoke painful memories and that participants may become distressed. Every effort should be made to
ensure that there is someone at hand to talk to such participants and deal with their distress/questions
(eg agreement of headteacher that there will be someone to offer help to children who come forward as
a result of a questionnaire about bullying).
2. Researchers should check whether participants who become distressed during an interview/experiment
wish to postpone the interview/experiment or withdraw from the research. If in the course of a
procedure a participant is uneasy about undertaking any tasks, etc, (s)he should be reassured, and if
(s)he is still uneasy or upset the procedure should be stopped.
Observational research
1. The above guidelines apply to observational research except in cases where those observed would
expect to be observed by strangers.
2. As with all research, particular account should be taken of local cultural values and the possibility of
intruding upon the privacy of individuals.
Debriefing and feedback
1. Debriefing should occur immediately after participation. Feedback should be provided as soon as
reasonably possible after research is completed. Where research is longitudinal, participants and other
involved parties should be periodically informed of findings. Debriefing should ideally be in written form.
2. All participants should, where possible, be given a full and clear explanation of procedures and the
outcomes of research.
3. In the case of research in schools/organisations, letters of thanks and written feedback should be
provided. Ideally parents should also be provided with feedback. Where this is not practical or possible,
parents should be informed in writing that they can obtain feedback via the school or the researcher.
4. Where procedures involve testing, researchers should decide prior to the study how and on what form
results will be given to participants or their parents. Cases of uncertainty should be discussed with
colleagues (or, in the case of students, supervisors). If doubts remain, the Head of School should
consider the issues and if appropriate consult the Ethics Panel.
5. Participants and other involved parties should have information on how to contact the researcher. They
should also be made aware that they are able to do this for a prescribed period after the research has
been completed.
6. Great caution should be exercised when discussing the results of research with parents, teachers, etc, in
terms of the potential effects of evaluative statements carrying unexpected weight.
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