- Define and describe informed consent
- Identify the unique concerns related to studying vulnerable populations
- Differentiate between anonymity and confidentiality
- Explain the ethical responsibilities of social workers conducting research
As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation, after being fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, the definitions of consent and identity protection may vary by individual researcher, institution, or academic discipline. In section 5.1, we examined the role that institutions play in shaping research ethics. In this section, we’ll look at a few specific topics that individual researchers and social workers must consider before conducting research with human subjects.
All social work research projects involve the voluntary participation of all human subjects. In other words, we cannot force anyone to participate in our research without their knowledge and consent, unlike the experiment in Truman Show. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. Informed consent is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.
The first requirement to obtain informed consent is that participants may neither waive nor even appear to waive any of their legal rights. In addition, if something were to go wrong during their participation in research, participants cannot release the researcher, the researcher’s sponsor, or any institution from any legal liability (USDHHS, 2009).  Unlike biomedical research, for example, social work research does not typically involve asking subjects to place themselves at risk of physical harm. Because of this, social work researchers often do not have to worry about potential liability, however their research may involve other types of risks.
For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics, such as trauma or suicide that may be difficult for participants to discuss. Participants may re-experience traumatic events and symptoms when they participate in your study. Even after fully informing the participants of all risks before they consent to the research process, there is the possibility of raising difficult topics that prove overwhelming for participants. In cases like these, it is important for a social work researcher to have a plan to provide supports, such as referrals to community counseling or even calling the police if the participant is a danger to themselves or others.
It is vital that social work researchers craft their consent forms to fully explain their mandatory reporting duties and ensure that subjects understand the terms before participating. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is preferred.
In addition to legal issues, most IRBs are also concerned with details of the research, including: the purpose of the study, possible benefits of participation, and most importantly, potential risks of participation. Further, researchers must describe how they will protect subjects’ identities, all details regarding data collection and storage, and provide a contact reached for additional information about the study and the subjects’ rights. All of this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Figure 5.1 showcases a sample informed consent form taken from a research project on child-free adults. Note that this consent form describes a risk that may be unique to the particular method of data collection being employed: focus groups.
When preparing to obtain informed consent, it is important to consider that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion.  The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate consent forms. Vulnerable populations raise many unique concerns because they may not be able to fully consent to research participation. Researchers must be concerned with the potential for underrepresentation of vulnerable groups in studies. On one hand, researchers must ensure that their procedures to obtain consent are not coercive, as the informed consent process can be more rigorous for these groups. On the other hand, researchers must also work to ensure members of vulnerable populations are not excluded from participation simply because of their vulnerability or the complexity of obtaining their consent. While there is no easy solution to this double-edged sword, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.
Protection of identities
As mentioned earlier, the informed consent process requires researchers to outline how they will protect the identities of subjects. This aspect of the process, however, is one of the most commonly misunderstood aspects of research.
In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. Anonymity is the more stringent of the two. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise because several of the modes of data collection that social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.
Offering confidentiality means that some of the subjects’ identifying information is known and may be kept, but only the researcher can link identity to data with the promise to keep this information private. Confidentiality in research and clinical practice are similar in that you know who your clients are, but others do not, and you promise to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data collection takes place in public or in the presence of other research participants, like in a focus group study. Social workers also cannot promise confidentiality in cases where research participants pose an imminent danger to themselves or others, or if they disclose abuse of children or other vulnerable populations. These situations fall under a social worker’s duty to report, which requires the researcher to prioritize their legal obligations over participant confidentiality.
Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned how difficult this task was while conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. When some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009). 
Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? By protecting his research subjects, is Mr. DeMuth harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs, or is it more important that he emphasize the promise of confidentiality to his research participants? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice (http://sajumn.wordpress.com), to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?
Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these guidelines outline that as a representative of the social work profession, it is your responsibility to conduct to conduct and use research in an ethical manner.
A social worker should:
- Monitor and evaluate policies, programs, and practice interventions
- Contribute to the development of knowledge through research
- Keep current with the best available research evidence to inform practice
- Ensure voluntary and fully informed consent of all participants
- Avoid engaging in any deception in the research process
- Allow participants to withdraw from the study at any time
- Provide access for participants to appropriate supportive services
- Protect research participants from harm
- Maintain confidentiality
- Report findings accurately
- Disclose any conflicts of interest
- Researchers must obtain the informed consent of the people who participate in their research.
- Social workers must take steps to minimize the harms that could arise during the research process.
- If a researcher promises anonymity, they cannot link individual participants with their data.
- If a researcher promises confidentiality, they promise not to reveal the identities of research participants, even though they can link individual participants with their data.
- The NASW Code of Ethics includes specific responsibilities for social work researchers.
Anonymity– the identity of research participants is not known to researchers
Confidentiality– identifying information about research participants is known to the researchers but is not divulged to anyone else
Informed consent– a research subject’s voluntary agreement to participate in a study based on a full understanding of the study and of the possible risks and benefits involved
- US Department of Health and Human Services. (2009). Code of federal regulations (45 CFR 46). The full set of requirements for informed consent can be read at https://www.hhs.gov/ohrp/regulations-and-policy/regulations/45-cfr-46/index.html ↵
- Figure 5.1 is copied from Blackstone, A. (2012) Principles of sociological inquiry: Qualitative and quantitative methods. Saylor Foundation. Retrieved from: https://saylordotorg.github.io/text_principles-of-sociological-inquiry-qualitative-and-quantitative-methods/ Shared under CC-BY-NC-SA 3.0 License (https://creativecommons.org/licenses/by-nc-sa/3.0/) ↵
- The US Department of Health and Human Services’ guidelines on vulnerable populations can be read at https://www.hhs.gov/ohrp/regulations-and-policy/guidance/vulnerable-populations/index.html. ↵
- Jaschik, S. (2009, December 4). Protecting his sources. Inside Higher Ed. Retrieved from: http://www.insidehighered.com/news/2009/12/04/demuth ↵