research ethics in social work

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In This Article Expand or collapse the "in this article" section Research Ethics

Introduction, general overviews.

• Reference Resources
• Ethical Principles
• Institutional Review Boards (IRBs)
• Control Groups
• Practice and Evaluation Research
• Special Populations
• Types of Research
• Ethics in Scholarship

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Research Ethics by Jeane W. Anastas LAST REVIEWED: 22 April 2013 LAST MODIFIED: 22 April 2013 DOI: 10.1093/obo/9780195389678-0124

As research activity in social work has increased, so has attention to ethics in research. Research ethics guide the relationship between researcher(s) and research participant(s), researchers’ relationships to the organizations and communities in which their studies are conducted, and relationships among researchers and scholars. They also safeguard the integrity of knowledge development and dissemination activities, serving society by ensuring that science generates findings that can be trusted. Social work research adheres to the ethical principles and practices that guide the responsible conduct of research (RCR) in the biomedical and social sciences. However, social work research must also reflect the professional and ethical aims of all social work activities.

In the social sciences and in biomedical fields, research ethics are now generally termed responsible conduct of research (RCR), and social work research is guided by the prevailing standards in these fields. Writings on RCR or ethics in social work research either aim to provide an overview of all of the important issues in the field ( Anastas 2008 , Council on Social Work Education 2007 , Nichols-Casebolt 2012 ) or they argue that the ethical commitments of social work as a profession impose some additional requirements on RCR in social work ( Antle and Regehr 2003 , Barsky 2010 , Butler 2002 , Hugman 2010 ). The National Association of Social Workers (NASW) Code of Ethics ( National Association of Social Workers 2008 ), used in social work and social work education in the United States, has content addressed to research and scholarship. The concept of RCR is useful because it includes both investigator behavior toward those being studied and the ethics of scholarship as they apply not only to specific empirical studies but also to mentoring, collaboration, and peer review ( Nichols-Casebolt 2012 , Shamoo and Resnik 2009 ). Social work research is moving to defining research ethics more broadly as RCR and emphasizing the virtues required in research, not just the avoidance of harms to participants ( Macfarlane 2009 ). All general research methods texts and research handbooks in social work and related fields have sections or chapters on ethics in research that are useful. The works included here make research ethics or the responsible conduct of research their sole focus.

Anastas, J. W. 2008. Ethics in social work research. In The encyclopedia of social work . Edited by T. Mizrahi and L. E. Davis, 151–158. 20th ed. Vol. 2. Washington, DC: National Association of Social Workers.

This entry describes the general ethical principles guiding research involving human beings; the ethical review of studies involving human beings; ethical issues in research on vulnerable populations such as children and adolescents, recipients of care, and other socially marginalized groups; plagiarism, authorship, and conflict of interest; and current topics such as the use of clinical and audio/video data, participatory action research, and Internet-based studies.

Antle, B. J., and C. Regehr. 2003. Beyond individual rights and freedoms: Metaethics in social work research. Social Work 48.1: 135–143.

DOI: 10.1093/sw/48.1.135

Written in the Canadian context, this article gives an excellent overview of ethical issues that must be addressed in all social work research, with tips on how to reduce risks to participants. It ends with some additional points to be addressed, such as whether the research will contribute to efforts to improve the situations of vulnerable people and benefit the group being studied.

Barsky, A. E. 2010. The virtuous social work researcher. Journal of Social Work Values and Ethics 7.1.

Using a virtue ethics framework, Barsky argues that ethical social work research. incorporates three virtues informing social work: caring, generosity of spirit, and concern for others. Caring social work researchers do research that “promote[s] social justice, human growth, and social development.” Generosity of spirit leads researchers to value the expertise of those studied. Trustworthiness and fortitude are needed in protecting research participants.

Butler, I. 2002. A code of ethics for social work and social care research. British Journal of Social Work 32:239–248.

DOI: 10.1093/bjsw/32.2.239

The ethical principles guiding social science research are congruent with social work ethics, but Butler argues that a “four principles plus scope of practice position” would add social work’s commitment to social justice and empowerment of the marginalized. Two of the fifteen items in his research code of ethics refer to “empower[ing] service users” and “achiev[ing] research agendas that respect fundamental human rights and . . . aim towards social justice” (p. 245).

Council on Social Work Education. 2007. National Statement on Research Integrity in Social Work . Alexandria, VA: Council on Social Work Education.

This document covers issues in the protection of the people and communities studied; responsibilities to trainees and mentees; how to avoid or handle conflicts of “interest and commitment”; data sharing and ownership; publication and authorship issues, including peer review; and research misconduct. The statement is consonant with, but helpfully goes beyond, the research ethics discussion in the NASW Code of Ethics ( National Association of Social Workers 2008 ).

Hugman, R. 2010. Social work research and ethics. In The SAGE handbook of social work research . Edited by I. Shaw, K. Briar-Lawson, J. Orme, and R. Ruckdeschel. 149–163. Thousand Oaks, CA: SAGE.

In addition to discussing institutionalized procedures to protect human research participants, Hugman analyzes research ethics in terms of duty, consequences, and character (“virtue ethics” or the “ethics of care”). The chapter includes case examples and analyzes the power relations between researchers and study participants, arguing that ethics procedures need to be “more subtle . . . and responsive” throughout the research process.

Macfarlane, B. 2009. Researching with integrity: The ethics of academic enquiry . New York: Routledge.

Using a “virtues” approach to research integrity, six “best practices” are discussed: courage, respectfulness, resoluteness, sincerity, humility, and reflexivity. “Vices” can ensue from deficits or excesses in these qualities. These are illustrated in the phases of the research process, from framing a study; negotiating access, support, and consent; generating data and ideas; creating an account of the findings; disseminating findings; and reflecting on what has been learned.

National Association of Social Workers. 2008. Code of ethics of the National Association of Social Workers . Washington, DC: National Association of Social Workers.

Subsection (5.02) of the Code of Ethics , titled “Evaluation and Research,” lists sixteen essential principles. Standard 1.03 covers informed consent to treatment—principles that also apply to consent to research participation. The section on confidentiality does not note that research data enjoys less protection under state law, but informing people about the limits of confidentiality (harm, mandated reporting laws) does apply to research.

Nichols-Casebolt, A. 2012. Research integrity and responsible conduct of research . New York: Oxford Univ. Press.

DOI: 10.1093/acprof:oso/9780195378108.001.0001

This first writing in social work based in the concept of the responsible conduct of research includes chapters addressing mentors and mentoring, professional collaboration and conflicts, data management and data sharing, and publication processes and authorship. It includes discussion of how new technologies are affecting the collection, storage, and sharing of research data; the increasing use of biological specimens in social work research; and international and cross-cultural research.

Shamoo, A. E., and D. B. Resnik. 2009. Responsible conduct of research . 2d ed. New York: Oxford Univ. Press.

DOI: 10.1093/acprof:oso/9780195368246.001.0001

The first edition of this book helped establish the concept of RCR. The expanded second edition spans social responsibility in research and specific issues, including discussion of the protection of research participants, including the especially vulnerable. It includes ethical issues in mentoring and collaboration, authorship, publication and peer review, intellectual property, misconduct like the fabrication or falsification of data, conflicts of interest, and international research.

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The Handbook of Social Research Ethics

• Donna M. Mertens - Gallaudet University, USA
• Pauline E. Ginsberg - Utica College, USA
• Description

The Handbook of Social Research Ethics is the first comprehensive volume of its kind to offer a deeper understanding of the history, theory, philosophy, and implementation of applied social research ethics. Editors Donna M. Mertens and Pauline Ginsberg bring together eminent, international scholars across the social and behavioral sciences and education to address the ethical issues that arise in the theory and practice of research within the technologically advancing and culturally complex world in which we live. In addition, this volume examines the ethical dilemmas that arise in the relationship between research practice and social justice issues. Key Features

• Situates the ethical concerns in the practice of social science research in historical and epistemological contexts 
• Explores the philosophical roots of ethics from the perspectives of Kant, J.S. Mill, Hegel, and others 
• Provides an overview and comparison of ethical regulations across disciplines, governments, and additional contexts such as IRBs, program evaluation, and more 
• Examines specific ethical issues that arise in traditional methods and methodologies 
• Addresses ethical concerns within a variety of diverse, cultural contexts

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• Historically and epistemologically situates ethical concerns in the practice of social science research;
• Contextualizes philosophical roots of ethics from the perspectives of Kant, J.S. Mill, Hegel, and others;
• Provides an overview and comparison of ethical regulations across disciplines, governments, and additional contexts such as IRBs, program evaluation, and more;
• Examines specific ethical issues that arise in traditional methods and methodologies (e.g., experimental design, lab research, archival and secondary data retrieval and analysis);
• Addresses ethical concerns within a variety of diverse, cultural contexts such as race, ethnicity, age, class, religion, gender, and disability.

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This title is also available on SAGE Research Methods , the ultimate digital methods library. If your library doesn’t have access, ask your librarian to start a trial .

The status of research ethics in social work

Affiliation.

• 1 a College of Social Work , Florida State University , Tallahassee , USA.
• PMID: 29843568
• DOI: 10.1080/23761407.2018.1478756

Research ethics provide important and necessary standards related to the conduct and dissemination of research. To better understand the current state of research ethics discourse in social work, a systematic literature search was undertaken and numbers of publications per year were compared between STEM, social science, and social work disciplines. While many professions have embraced the need for discipline-specific research ethics subfield development, social work has remained absent. Low publication numbers, compared to other disciplines, were noted for the years (2006-2016) included in the study. Social work published 16 (1%) of the 1409 articles included in the study, contributing 3 (>1%) for each of the disciplines highest producing years (2011 and 2013). Comparatively, psychology produced 75 (5%) articles, psychiatry produced 64 (5%) articles, and nursing added 50 (4%) articles. The STEM disciplines contributed 956 (68%) articles between 2006 and 2016, while social science produced 453 (32%) articles. Examination of the results is provided in an extended discussion of several misconceptions about research ethics that may be found in the social work profession. Implications and future directions are provided, focusing on the need for increased engagement, education, research, and support for a new subfield of social work research ethics.

Keywords: Research ethics; responsible conduct of research; social work ethics; social work research.

• Bibliometrics
• Ethics, Research*
• Periodicals as Topic
• Social Work / standards*

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5.2 Specific ethical issues to consider

Learning objectives.

• 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.

Informed consent

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). [1] 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. [3] 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). [4]

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?

Disciplinary considerations

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

Key Takeaways

• 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

Image attributions

consent by Catkin CC-0

Anonymous by kalhh CC-0

• 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 ↵

Scientific Inquiry in Social Work Copyright © 2018 by Matthew DeCarlo is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Managing Ethics Challenges in Social Work Organizations

A comprehensive strategy.

• Frederic G. Reamer Rhode Island College

Social workers are keenly aware of ethical challenges in professional practice. Formal ethics education strives to acquaint social workers with common ethical dilemmas in practice and decision-making protocols and frameworks. However, the social work literature includes relatively little information about practical resources promoted in allied professions that can be useful to social workers who encounter ethics challenges. This article discusses the role of four principal resources: informal ethics conversations among social workers and other colleagues (“curbside consults”), formal ethics consultations, agency-based ethics committees, and ethics rounds. The author includes illustrative examples demonstrating social workers’ use of these resources to manage ethics challenges skillfully.

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Total Agreement Technique in African Research Ethics: A Culturally Sensitive Approach to Informed Consent

Kudzai Mwapaura Blogger

Total Agreement Technique in African Research Ethics: A Step-by-Step Approach

Benefits of total agreement technique in african research ethics.

Informed consent is a cornerstone of research ethics, ensuring that participants understand and voluntarily agree to take part in studies. However, traditional informed consent approaches may not be suitable for African cultures, where communal decision-making and respect for authority are deeply rooted. Total Agreement Technique (TAT) offers a culturally sensitive solution, prioritizing consensus and community involvement. This article explores the application of TAT in African research ethics, promoting a more inclusive and participatory approach to informed consent.

Cultural Considerations in African Research Ethics

African cultures emphasize communalism, respect for elders, and group decision-making. Traditional informed consent approaches, focusing on individual autonomy, may not align with these values. TAT addresses this gap by:

• Involving community leaders and elders_ in the consent process, ensuring respect for authority and community input.
• Encouraging group discussion and consensus_, reflecting communal decision-making practices.
• Prioritizing community understanding and agreement_, rather than solely individual consent.
• Community Engagement_: Researchers engage with community leaders and members to explain the study and its goals.
• Group Discussion_: Participants gather to discuss the study, raise questions, and address concerns.
• Consensus Building_: The group works towards a collective agreement on participation .
• Individual Confirmation_: Each participant confirms their agreement, ensuring understanding and voluntary participation.
• Ongoing Communication_: Researchers maintain open communication throughout the study, addressing any concerns or issues that arise.

1. Culturally sensitive approach - respecting African values and communal decision-making practices.

2. Increased community involvement and ownership - fostering trust and cooperation.

3. Improved understanding and informed consent - through group discussion and consensus building.

4. Enhanced ethical conduct - prioritizing community well-being and respect for participants.

Total Agreement Technique offers a culturally sensitive approach to informed consent in African research ethics, prioritizing community involvement, consensus, and respect for authority. By embracing TAT, researchers can ensure a more inclusive and participatory approach, aligning with African cultural values and promoting ethical research practices. Embrace TAT to strengthen community engagement, trust, and cooperation in African research settings.

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