Guidelines for ethics in dual-role research for teachers & other practitioners
These guidelines are intended to:
- assist graduate students and their supervisors in the Faculty of Education and other applied or professional faculties to better understand some of the challenges of practitioner-researchers undertaking research in professional/classroom settings
- outline recommended approaches to ensure that the study involves procedures consistent with the current ethical standards of research practice outlined in the Tri-Council Policy Statement on Ethical Conduct for Research Involving Humans (TCPS 2)
Ensure you follow the full set of standard application guidelines when you complete the application for ethics approval for human participant research.
Professional codes of ethics, e.g. those that bind teachers and other practitioners, do not address matters of research and are not sufficient to guide research activities.
Practitioner-researchers must follow UVic's ethics guidelines, which adhere to the TCPS 2, as well as their professional codes of conduct.
Research design
The research design is the responsibility of the student and their academic supervisor(s). Most types of research are acceptable if they adhere to the UVic ethics guidelines and the TCPS 2.
When they review the ethics application, the Human Research Ethics Board (HREB) will assess the acceptability of the research design. They may make suggestions to ensure the research is carried out in an ethical manner.
Definition of dual-role research & core ethical issues
Practitioners assume the dual role of practitioner and researcher when they investigate their own professional practices to fulfill academic requirements that include the participation of others they already have a relationship with, such as students, colleagues or employees.
Research conducted in this context typically raises 2 overarching issues that require special attention:
- Dual relationships exist between the researcher and participants when people in positions of status (power-over) or undue influence undertake research in addition to their already established roles and responsibilities.
- the research will potentially involve individuals of lesser power or status such as students, employees, etc.
- Information and results obtained from studying one’s own practice is made public through research presentations, publications, reports to the executive director or management and website postings.
- the release of results could compromise the privacy or professional status of participants in a workplace setting
- the potential harms on the participants cannot outweigh the potential benefits
Power-over
Power-over refers to the power differential between the researcher and the participant, such as:
- a teacher’s relationship with students
- a school administrator’s relationship with teachers
- a researcher’s relationship with professional colleagues or family and friends
The nature of this relationship exerts undue influence or power over the potential participant’s ability to give their consent freely.
The influence is not always negative or coercive in nature and practitioner-researchers may conduct research in settings where they have a power-over relationship with participants.
Even when a practitioner-researcher perceives that their workplace, school or classroom has a “warm and friendly” atmosphere of trust and openness between teachers-students and supervisor-colleagues, the quality of these relationships does not address the underlying differences in status and influence that structure the nature of the relationships. The researcher needs to recognize the structure of the relationships to assess the role of power-over in the research context.
When participants include children or youth, the researcher needs to be especially attentive to the role of power-over. Students at a school, especially young children, can be “captive audiences” for research particularly when a study is conducted by their own teacher, or even another teacher or staff member at their school. Younger children may not make a distinction between the activity that forms a regular part of their learning and what is an additional and voluntary activity for research purposes.
See Safeguards for free & informed consent under the Consent section for more information.
Examples of power-over relationships
- a staff member may feel obligated to participate in a colleague or supervisor’s study
- a staff member may perceive that participating in a supervisor’s study will gain them a professional advantage, especially if the study is about professional practice
- a student may not know that they can decline consent for a teacher to use a sample of their classroom work for research since it was a required assignment
- a young student may not know that they can decline being asked to leave the classroom (and miss instructional time) and go with another teacher to participate in that teacher’s computer activity for research purposes
Various forms of dual-role practitioner research present unique challenges given the dual and ongoing relationships that exist between the practitioner-researcher and participants.
Tips for researchers
It is critical that the ethical issues associated with dual-role research are explained clearly in the ethics application and adequate procedures for mitigating the dual-role relationship are described upon completion.
It is the job of the researcher to think through, explain and justify the ethical approach and procedures in the ethics application form so that UVic HREB can understand the research context and assess the ethical adequacy of the proposed procedures.
Regular professional practice vs. research data
Many practitioner-researchers propose to study the outcomes of practice in their own professional settings. When they do, they must distinguish between:
Activities & materials that constitute part of regular professional practice
- teaching a lesson that is part of the school curriculum and observing how students respond
- grading assignments
- reviewing policy documents or meeting minutes
and
What will be done solely for the purpose of a research project
-
interviews
- focus groups
- pre- and post-surveys
- videotaping meetings or lessons
Although practitioner-researchers may conduct practice as usual without obtaining UVic HREB approval, they must follow procedures to use the data generated during this practice for research purposes.
In this case, information and documents that arise during regular professional practice are used not only as part of that professional practice but also for the purpose of research.
When there is a dual use of data from regular professional practice, UVic HREB approval is required for the research component. Consent must be sought from participants (and if applicable, their guardians) to use the data for research purposes.
Tips for researchers
Researchers need to account for all forms of data and data-gathering activities in the ethics application: Data Collection Methods section.
They must delineate which forms of data originate from regular professional practice and which constitute additional activities or data used for research purposes only.
In some studies, the research design will involve activities and materials arising from both professional practice and additional research activities.
Examples of activities already part of professional practice to be included in the research:
| Activity |
Generated materials for research data (secondary use) |
|---|---|
| Teaching a unit on language arts |
|
| Program evaluation in the workplace |
|
Additional research activities
- pre- and post-survey to evaluate a training program already being offered at the work site
- videotaping participants in a meeting or a classroom discussion
- focus group discussion with employees about their views on using a computer program
- individual interviews with students about strategies they use to learn in a science unit
Tips for researchers
When the data collection method requires student participants to leave their classroom on an individual or group basis to participate in a voluntary research activity, the researcher needs to be vigilant about how this may disrupt students’ learning and/or the classroom teacher’s schedule. This is an ethical issue in that research needs to be voluntary and children attending school are a “captive population” during school hours.
Inconveniences to participating must be explained to participants and to their parents. One option might be to schedule data collection activities outside instructional time such as at lunchtime or after school. If this is not possible, the researcher needs to be explicit about the loss of students’ instructional time with the principal, classroom teacher and parent for consent.
Group observations
Researchers who collect data through group observations using written field notes need to explain in the Data Collection Methods section of the UVic RAIS standard application form or in the Summary of Procedures section in the Provincial Research Ethics/harmonized ethics application form if the field notes will focus on group actions and responses.
They must also explain how they will treat field notes if a participant or guardian decides to withdraw or decline consent.
Video & photos
Dual-role practitioner-researchers sometimes collect data by recording visual images of themselves and/or their participants together “in action” with videos, photos and/or slides.
These visual forms of data, the activity of recording images and the intended uses of the data raise several ethical issues that the researcher must address in the ethics application.
In the description in the Data Collection Methods section of the UVic RAIS standard application form or in the Summary of Procedures section in the Provincial Research Ethics/harmonized ethics application form, the researcher should justify the use of visual recording and explain if the data will be used for analysis and/or dissemination of the results:
- if the intention is to use participants’ images in dissemination and other projects (at presentations, posted on a website, used for teaching purposes, in a documentary film about the study), this information needs to be explained clearly in the consent form(s) to participants and/or their parents
- the UVic HREB will assess the ethical suitability of the dissemination based on the perceived risk to the participants
In a group or classroom setting, visual images limit participants’ degree of anonymity. Even if the researcher will not publish or disclose the names of the participants, disseminating their image(s) compromises full anonymity. This is of particular concern when the research involves the recording and release of children’s images.
The researcher needs to explain in the ethics application and consent form(s) the procedures for using footage, what will happen to the images when a participant/participant’s parent withdraws or declines consent and the loss of full anonymity.
The researcher-practitioner must outline on the application form how they will remove the images and/or voices from all photos, videos or audio recordings of all non-participants or those who withdraw from the study part-way through.
Consent
For research to be ethical, consent must be given freely to ensure voluntary participation. The context of dual-role research makes the consent process especially challenging for researchers.
Tips for researchers
In the ethics application form, care must be taken to justify research involving power-over relationships: Section I, Recruitment, Power-over Relationship, and Section M Free and Informed Consent, items 11-16
When these potential influences on voluntary consent are present, it is especially important for the practitioner-researcher to plan for and explain how pressures on potential participants to consent will be mitigated during the recruitment and consent process.
Safeguards for free & informed consent
Even when the research is of a non-sensitive nature, the UVic HREB requires practitioner-researchers to put safeguards in place to reduce potential inducements, pressures or coercion on potential participants.
The safeguard(s) employed in a particular study depends on the design and nature of the research and typically extend from the time of recruitment through to informed consent. These safeguards must be clearly explained in the application. Simple assurances are not sufficient.
Exclude from the pool of participants those whom the researcher has a direct power-over relationship with by selecting a different school, organization or group of participants, excluding one’s own employees, students or past or current clients.
Include participants in the study only after the dual-role relationship has terminated or the researcher is no longer in a power-over position.
Depending on the scheduling of the research and the nature of the study, the UVic HREB may approve collecting data from participants while the practitioner-researcher is still in a power-over relationship with them.
This is provided the UVic HREB is convinced that the potential ethical problems associated with this type of research have been adequately addressed.
The rationale for conducting research while in a power-over relationship must be clearly explained and justified in the application: Section I Recruitment, Power-over Relationship, item 3.
Please note that convenience for the researcher is not sufficient grounds for conducting research in settings where power-over relationships exist.
General ways to mitigate the power-over relationship
In the recruitment and consent process, declare the power-over situation in the recruitment and informed consent materials and/or processes.
Describe clearly in the recruitment and informed consent materials or process the safeguards that will be used to prevent undue influence such as inducement, pressure, obligation and coercion during participation.
Specific safeguards & procedures to prevent undue influence, coercion and inducement
- In most cases, use a neutral third-party recruitment. Enlist another person who does not have a power-over relationship with potential participants, nor any stake in the research to undertake the recruitment and consent processes. The third party is usually the designated person that participants may contact if they wish to withdraw from the study.
- Assure participants in the consent form that they have the right to refuse to participate and that they can withdraw their information from the research at any time without consequences or penalty of any kind.
- Acknowledge in the consent form that the researcher is aware that potential participants may feel pressure to agree to their (or their child’s) participation because the researcher is in a position of power or influence.
- Assure participants in the consent form that their participation or non-participation will have no effect on outcomes, nor on their relationship with the researcher or professional setting. If appropriate, explain in the consent form that there is no disadvantage in not consenting.
- Inform participants in the consent form that if they have concerns about their rights or treatment in connection with the research project to contact the UVic’s Human Research Ethics Office at 250-472-4545.
Additional points to consider in preparing recruitment & consent information & materials
- Use a neutral tone in the recruitment and consent materials to diminish pressure on potential participants.
- Try not to overstate the potential benefits of the research in the recruitment and consent materials.
- Try not to promote participation in the research on the basis of the importance of the research or on possible outcomes.
Ongoing consent
Research activities may be conducted over more than 1 session (e.g., 2 interviews) or take place over a period ranging from a few days to several months.
More than 1 research activity may be involved. In such cases, participants must have the opportunity to confirm that they continue to consent to participate or to withdraw throughout the course of the research.
If research occurs over more than 1 session or over a time period, the researcher must provide an explanation in the application of how ongoing consent will be obtained.
For example, at the end of the school term or year, or before the data are used for research purposes or released to the researcher, children and parents must be reminded that they have agreed to have their/child’s information included in the research and have the opportunity to withdraw their consent.
Anonymity & confidentiality
The principle of free and informed consent requires that participants are informed of the extent to which anonymity and confidentiality can be assured. Complete anonymity is the best way to protect the identities of participants and the information they contribute as data.
Complete anonymity is not always possible depending on the research methods employed and the context of the study.
When research is conducted in a setting such as a classroom, it is especially important to protect participants’ identities and the confidentiality of the data they provide.
While it is standard practice for teachers to "mask" individual student achievement scores from other students, many aspects of classroom interactions are not anonymous. It can be particularly challenging to protect anonymity and confidentiality while conducting research in the classroom.
The UVic HREB recognizes that there are situations in which confidentiality must be breached or limited by the activities or the context of the study, such as:
- mandatory reporting of child abuse or intent to harm self or other
- conducting a focus group
- a unique population that could be identifiable even if anonymous
If applicable, this information needs to be contained in the letter of consent.
Tips for researchers
Anonymity means that no one, including the researcher, is able to link responses or other data with individual participants during or after the data gathering.
Confidentiality refers to procedures used by the researcher at all stages of the project to protect participants’ identity and the protection, access, control and security of their data from recruitment right through to the dissemination of results and when the study is completed.
The extent to which and the means by which anonymity and confidentiality will be protected in the research project must be explained in the application form and the consent forms: Anonymity and Confidentiality section.
The conditions that limit full confidentiality need to be identified in the application form: Anonymity and Confidentiality section and consent form so participants can decide if these limits are acceptable to them
Additional procedures to protect anonymity & confidentiality with power-over relationships
- Where appropriate, ask a neutral third party, such as the school secretary, to distribute information/consent letters on behalf of the practitioner-researcher.
- Clearly state who will have access to the research data. Limit access to the data to the third party until it is time to turn it over to the researcher.
- Securely store all information that includes personal identification to prevent accidental viewing. Video recordings are particularly revealing of personal identity and should only be used when the data being recorded is crucial to the research.
- The practitioner-researcher stores the raw data at their home and not at the workplace.
- Include a separate line in the consent form that participants can initial if visual representations of participants will be used in presentations of the study results.
- Continue to protect participants’ confidentiality after the study is complete.
- Typically, all data must be destroyed after a specified period. Generally identifying communities, schools and individuals is avoided and pseudonyms are used instead in publications and presentations.
- In cases where identifying information may be impossible to conceal, obtain participants’ consent to use the identifying information in the letter of consent.
- In cases where research participants want to be identified and receive credit for their contributions to the research, seek participants’ explicit permission to waive confidentiality and anonymity in the letter of consent.
Other things to consider
In most cases, practitioner-researchers must seek permission to undertake research in their professional setting from others in their professional organization.
If research is to be conducted within a school, clearance from the school district and principal(s) must be sought before beginning recruitment. Permission of all non-participant teachers and staff who may be impacted by the research should be obtained.
Even if the practitioner-researcher is conducting the study at their own school, clearance from the school district and principal should be sought.
If the study involves staff or parents from the researcher’s own school but will be conducted off-site or during non-working hours about a school-related or professional topic, it is advisable to contact the school district to inquire about school district approval and research policies and procedures.
If a project focuses on Indigenous knowledge, students, parents and/or their communities (both on- or off-reserve), the researcher must contact the appropriate school liaisons, band councils, reserve/band offices or organizations to request guidance about approvals and protocols.
The dates of the consultation and information received must be documented in the ethics application: Section G: Other Approvals, Indigenous Community Consultation.
Any documents or proof that approval is being sought should be attached to the ethics application upon submission.
Inquiries with external organizations and groups should take place before submission of the ethics application. Contact the research ethics office if you have questions.
UVic ethics approval & external approvals
Researchers need only attach documentation or proof of having sought external approval when submitting their ethics application: Item 30 Attachments.
They do not need to supply approval when submitting a UVic ethics application. However, researchers must submit a copy of an external approval by sending an electronic facsimile or copy to the Research Ethics Office as soon as they have received it.
UVic ethical approval is not valid without this external approval.
Recruiting participants: recruiting through a school or organization – protection of privacy
When reviewing proposed recruitment procedures, the UVic HREB examines whether the privacy of potential participants is protected in the recruitment process.
Due to privacy legislation, a school should not give the researcher the names or contact information of anyone registered in the school, even if the researcher works at the school or another school in the district. If the researcher already has the names and contact information of potential participants, this needs to be declared on the application form: Section I Recruitment.
To protect the privacy of potential participants, as a third party, the school may distribute a recruitment letter/advertisement to potential participants on the researcher’s behalf. This material should include the researcher’s contact information so that people who are interested can contact the researcher directly to obtain more information and declare their willingness to participate. In this way, the school will not know who participates in the research.
Some situations may warrant the researcher initiating contact with potential participants, as long as adequate steps are taken to mitigate the power-over relationship.
Children under the age of 13 normally require parent/guardian consent to participate in a study. It is also important to provide age-appropriate recruitment and consent information for children.
Depending on the study, it may be appropriate to have a single consent form for the parent/guardian and child, with a separate signature line for the child. It may be more appropriate to have separate consent forms for the parent/guardian and the child.
For children under 7 years of age, a simple verbal script should be used to explain the research, including who the researcher is and what the children are being asked to consent to. In many cases, the parent/guardian should be asked to talk with their child about the research and ensure that the child understands that they can freely choose to participate or not.
Although youth aged 13 to 16 can provide their own consent in minimal-risk studies, researchers usually inform the parents/guardians. This can be done, for example, by sending an information letter home to the parents/guardians.
Some school districts require parental/guardian consent for students under the age of 19 when research is conducted in their schools. The school district’s policy must be adhered to.
Accessing student records
Researchers who plan to examine personal records or files are required to obtain informed consent from the individuals and must conform to applicable privacy legislation.
Researchers require student and parent consent prior to obtaining access to students’ school records for research purposes. If the researcher has privileged access to records, it is unethical to access them for research purposes without first gaining informed consent.
This requirement respects free and informed consent and the guiding ethical principle of protecting a person’s right to privacy and confidentiality.
Preparing an ethics application package
Clarity:
Are the information and procedures written so that they are easy for someone outside your field or area of expertise to understand?
Do the procedures make sense?
Consistency:
Are the information and procedures that appear in one part of the ethics application form consistent with what is presented in other parts of the application and in the recruitment materials and consent form(s)?
Completeness:
Are the information and the procedures thoroughly explained?
Do the information and procedures cover each participant group if more than 1 discrete group is involved in one study?
Are multiple methods of data gathering accounted for in the application form, especially when the participant(s) will participate in a survey and later in an interview?
Are all the documents to support the study accounted for in the attachments?
Need help?
Email the human research ethics office or call 250-472-4545 if you need assistance.