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Frequently Asked Questions (FAQs)

Contents:

• Obtaining ethical approval - university based research
• Obtaining ethical approval - health service based research
• Obtaining ethical approval - independent researchers
• Ethics review
• Informed consent
• Informed consent - children
• Informed consent - individuals lacking capacity
• Data / record retention
• Confidentiality
• Spam
• Criminal Records Bureau (CRB) checks
• Professional boundaries

Obtaining ethical approval - university based research

Most universities have well established procedures for the ethical review of research proposals. Further information should be available from your Department, Faculty/School/College or Institutional Ethics Committee. If you are a student, your supervisor should be able to provide you with appropriate guidance and assistance in this regard.

The Society's Code of Ethics and Conduct provides guidance on the general ethical principles that should be borne in mind.

The Society's Guidelines on the Minimum Standards for the Ethical Approval of Psychological Research are currently being revised but may also be of use to you.

Obtaining ethical approval: health service based research

The National Research Ethics Service oversees the ethical approval of research conducted with the NHS.

The Society's current guidance document, Good Practice Guidelines for the Conduct of Psychological research within the NHS, is under review but may still be of use to you.

Obtaining ethical approval: independent researchers

The Society is unable to provide ethical review or approval. We can only provide general guidance on the ethical principles of psychological research. The Society's Code of Ethics and Conduct provides guidance on the general ethical principles that should be borne in mind. If you are proposing to conduct research with the NHS, you would be best advised to contact the National Research Ethics Service for further guidance.

If you are not conducting research within the NHS, you would be best advised to seek guidance and explore the possibility of ethical recourse from a local university. Universities usually have well established procedures for ethical review, and it may be the case that you could seek approval via this route.

Ethics review

Question: If I wanted to do a small piece of research in looking at members of the general public's perceptions of risk (about drug taking, offending and outdoor activities), how can I do it independently? I would like to do some research but it won't be anything to do with the university and hypothetically, would involve asking people on the street to volunteer to take part. The aim would be to have people volunteer through the provision of informed consent. Obviously, I would not like to proceed with research unless it has been reviewed by an Ethics Committee. I have the latest code of ethics and conduct but cannot find information about what to do when there is no obvious ethics committee. It is critical to adhere to the guidelines as I am a professional.

Answer: We would strongly recommend that you submit the research proposal for consideration under your university's institutional ethics procedure.

There are several reasons why we recommend you to do so.

First, as a protection for the participants, so that your research protocol can be properly reviewed and best advice given as to any modifications to cover eventualities/risks not previously anticipated.

Second, as a protection for yourself. The specifics of this case put you at risk of being in a situation where the fact that confidentiality can never be absolute is activated. As the research sets out to canvas ideas/options about potentially illegal activities (drug taking, offending behaviour). This leaves you in a tricky dilemma if participants disclose actual engagement in illegal activity; you may have a legal duty to pass that information on, and if so how does this impact then on informed consent aspects related to confidentiality and anonymity of participants' disclosures. The duty of care might override any confidentiality clause in consent. It is crucial that a risk management strategy is in place and has been reviewed by a competent body such as an institutional ethics committee. Personal liability insurance may or may not be in place (it perhaps should be), but if it is and there is a claim against you for negligence, if there has not been ethical review, the insurers would have a case for refusing to cover a claim.

Third, as a protection for the institution. Even if the study is done independently, the press are more than happy to link lecturers' personal behaviour with their professional posts and name the institutions. It is not hard to envisage a situation where this proposed study might be reported in such a way as to bring the institution into disrepute.

The Society's Code of Ethics and Conduct also provides guidance on the general ethical principles that should be borne in mind.

Informed consent

Researchers should ensure that every person from whom data is gathered for the purposes of research consents freely to the process on the basis of adequate information. They should be able, during the data gathering phase, to freely withdraw or modify their consent and to ask for the destruction of all or part of the data that they have contributed.

The way in which consent is sought from people to participate in or otherwise contribute data for research should be appropriate to the research topic and design, and to the ultimate outputs and uses of the analyses. It should recognise in particular the wide variety of data types, collection methods, and the range of people's possible responses and sensitivities. The principle of proportionality should apply, such that the procedures for consent are proportional to the nature of participation and the risks involved.

For example, for data from existing datasets where consent was properly gained in the initial collection and this consent covers the uses of data proposed, no further consent will normally be needed. For anonymised-at-source, non-sensitive data, consent may appropriately be minimal or may be considered to have been given by the act of participation. Nevertheless, the risks involved in some anonymised-at-source research, for example, web-based research on sensitive topics such as sexual behaviours, will require carefully prepared prior information and clear consent processes.

When research involves the collection of identity capturing data on sensitive material, using video or audio recording, or other methodologies where an individual may be identifiable, it is important to consider additional informed consent procedures. These procedures need to be related to both the nature of the data collected and the ultimate use of the data. Separate informed consent agreements for data collection and the dissemination of the study's results may be required.

A prior assessment of potential risks should inform the preparation of the information to be given to potential participants and the procedures for seeking consent. The assessment should be used to determine the appropriate form of consent and the nature of any risk management required. When in exceptional circumstances harm, unusual discomfort, or other negative consequences for the individual's future life might occur, the investigator must inform the participants clearly of these additional risks prior to consent. For all research where risks are present, secure liability insurance should be in place to adequately cover the levels of possible harm identified in the risk analysis.

Giving potential participants sufficient information about the research in an understandable form requires careful drafting of the information sheet. It is recommended that at least one pilot test of the draft documents be carried out with a naive person having a literacy level at the lower end of the range expected in the planned research sample.

In exceptional circumstances the aims of the research may be compromised by giving full information prior to data collection. In such cases, it should be made clear that this is the case in the information sheet and the means by which the withheld information will be given at the conclusion of data collection should be specified. The information withheld and the delay in disclosing the withheld information should be kept to an absolute minimum.

Please also refer to Section 1.3 of the Code of Ethics and Conduct.

Informed consent: children

Question: In accordance with BPS ethics guidelines would I need written consent from parents in order to conduct research with 16-18 year olds?

Answer: The Society's guidelines are clear on this point, that parental consent is required for children aged 16 years and younger. However, it is recognised that this is a sensitive area. It would be considered good practice for a researcher to consult with the head teacher of a school regarding the proposed consent protocol for any study, and to consider informing parents of the planned research in advance, giving contact details in case any parent wishes to make their views on the research known.

This advice, and the Guidelines, may help the decision making process in local ethical review, but are not a substitute for it. It is for individual institutions to give ethical clearance for a particular study. The Society's Code of Ethics and Conduct also provides guidance on the general ethical principles that should be borne in mind.

Informed consent: individuals lacking capacity

In the specific case of persons lacking consent, willing and fully informed participation to give informed consent should be sought; and procedure without consent should only occur if the research activity is considered to be of direct benefit to that person. Further consideration and guidance on this matter is provided in the guidelines on Conducting research with people not having the capacity to consent to their participation (Dec 2008).

Data / record retention

Question: How long are researchers required to keep participant data?

Answer: In relation to data retention: the Good Practice Guidelines for the Conduct of Psychological research within the NHS outlines within its Data Storage section: If the research is to be published, most specific journals require original data (including videos and transcripts) to be kept for 5 years. If it is not to be published, then the data should be kept for 1 year, but this can lead to difficulties if publication is subsequently required, as original data cannot be checked or examined if necessary (pg 11 on Data Storage).

The Society's Generic Professional Practice Guidelines state that: 'Psychologists should make, keep and disclose information in records only in accordance with national policy and legislation, the policies and procedures of the organisations they are employed by/working in collaboration with, and the Society's Code of Ethics and Conduct' (pg.12 Access to records and record keeping).

Although this advice refers to record keeping it would also seem wise to find out if your employers have any guidelines on data storage that you should adhere to. If you are employed by a University, it should have an appointed Data Protection Officer who is able to provide specific guidance in this regard.

You should ensure that these data are stored securely, that access is strictly controlled, and that anonymisation and encryption are used as appropriate to protect personal data. You should also make sure that the requirements of the Data Protection Act 1998 are complied with.

Question: How long should assessment reports be retained?

Answer: In accordance with the DPA - such reports should be kept only for as long as is necessary for the purpose for which the report is being processed.

In relation to data retention: the Good Practice Guidelines for the Conduct of Psychological research within the NHS outlines within its Data Storage section: If the research is to be published, most scientific journals require original data (including videos and transcripts) to be kept for 5 years. If it is not to be published, then the data should be kept for 1 year, but this can lead to difficulties if publication is subsequently required, as original data cannot be checked or examined if necessary (pg. 11 on Data Storage).

The Society's Generic Professional Practice Guidelines state that: 'Psychologists should make, keep and disclose information in records only in accordance with national policy and legislation, the policies and procedures of the organisations they are employed by/working in collaboration with, and the Society's Code of Ethics and Conduct' (pg. 12 Access to records and record keeping).

You would be best advised to also seek clarification from the Information Commissioner and their indemnity insurer as appropriate.

Question: Is it acceptable to retain data/records/files on my personal computer or in my office at home?

Answer: You would be best advised to contact the Information Commissioner to determine if a licence is needed to hold this information - especially if you are self-employed/independent practitioner. You should also make sure that the requirements of the Data Protection Act 1998 are complied with.

Confidentiality

Question: Does confidentiality really apply in case of teenage research participants? That is, could I deny disclosing to a parent the contents of the discussions held between his fourteen year old daughter and myself?

Answer: Our guidelines for conducting research with human participants are currently undergoing full review. However, in the meantime, the Society's Code of Ethics and Conduct provides guidance on the general ethical principles that should be borne in mind. There are also guidelines on the General Medical Council website that may find the guidance of use to you.

The sections on making decisions and principles of confidentiality are particularly straightforward and helpful.

We would also recommend that your research proposal is submitted for consideration by the University's Research Ethics Committee.

Question: I am a trainee clinical psychologist and am completing my doctoral thesis this year. As part of the project I plan to recruit a control group of University students. This control group will be asked to complete a number of questionnaires including the Hospital Anxiety and Depression Scale and a short evaluation of eating disorders. I had initially planned for the questionnaire responses to be confidential but I am concerned that I may receive questionnaires from control participants which score highly for anxiety, depression and eating disorder. I am aware that I need to balance the need for confidentiality with duty of care to the individual. I could indicate on the information sheet that if the person reveals scores that would indicate I have a concern about their well being that I would contact them but this would be at the expense of confidentiality. I wonder if you would be able to offer some advice?

Answer: The Code of Ethics and Conduct is very clear on instances when confidentiality may be breached. Section 1.2 v-ix is most helpful.

We would suggest that you use an appropriate coding system for the questionnaires so that the participants are only indentifiable by yourself; and that you are clear about this at the outset. The possibility of follow-up for any concerns over wellbeing could also then be linked to this.

Spam

Question: I have designed a questionnaire and need 300 people who have provided therapy. I would like to email out this questionnaire inviting therapists and psychologists to complete it. I have gone through the ethics and this is a well designed piece of research. However, I am concerned I may be contravening some rule by emailing therapists in this way as it may be construed as "bulk" and "unsolicited" and therefore SPAM. I wonder if you can advise me on this matter.

Answer: The type of e-mail you are intending to send does not count as 'spam', which is commonly taken to cover unsolicited emails sent with the intention of accruing potential economic gain to the sender, or to disrupt communications. E-mails like the one you propose are sent within the academic community.

Full details of the UK legal position can be accessed from the Information Commissioner.

You would also be best advised to seek advice from your University Data Protection Officer.

Alternatively, you could contact therapists/clinical psychologists via one of the Society's publications. The Psychologist (psychologists@bps.org.uk) has a Community Notice Board item and also an on-line forum for requests for help with research etc. Another option could be to use one of the Section or Division Newsletters.

Question: I'm asking about a situation where a researcher sends out a request to participate in research - and what counts as spam or not. I have been asked to respond to as to whether this was an appropriate methodology. Someone has written to me suggesting that it has been 'sent blind to a list' but from what I understand it has been sent directly to their email address at a university.

Answer: I undertand that unsolicited spam is not permitted under UK legislation; universities may be able to spam their students if they have agreed to university emails when their email accounts are set up but other than that you can't send unsolicited emails.

So the key issue here seems to be the method of delivery - was it sent directly to a known mailbox? Or was it forwarded on from a University contact to all University staff/students? If the recipient was a student or member of HEI staff and had agreed to receive e-mails from the University and the e-mail was sent out by the University - then there does not seem to be a problem.

The other question is whether an e-mail list (such as the Association of Heads of Psychology list) was used. Again - we would assume that in joining such a list - each Department Head or Departmental Contact would have given consent to receive e-mails from other Heads/Contacts.

Full details of the UK legal position can be accessed from the Information Commissioner.

You would also be best advised to seek advice from your university Data Protection Officer.

CRB checks

Question: I currently work as a primary school teacher and am completing a Graduate Diploma in Psychology. I do have a current CRB check in order to work with children. Do I also need to seek a further check in order to carry out a specific research project with the children that I teach?

Answer: You would be best advised to check with the CRB and also with the school. The portability of a CRB check is at the discretion of the employing organisation.

Useful links

• CRB applicant FAQs
• Applicant's Guide to the CRB's Disclosure Service
• CRB definitions
  

Professional boundaries

Question: Is it acceptable to transfer current NHS clients to private clients when setting up your own counselling psychology service and working as an independent practitioner (in the interests of the continuation of care etc.)?

Answer: The Code of Ethics and Conduct, Section 4.2, details the need to ensure that clients are not exploited and to consider potential conflicts of interest - as well as ensuring what is in the best interests of the client. Ethics is related to the control of power. Clearly not all clients are powerless, but many can be disadvantaged by lack of knowledge and certainty and therefore can be vulnerable (compared to the psychologist whose judgement they can become dependent upon). Careful consideration should be taken to avoid any potential breaches of Section 4.2.iv.