National Centre for Guidance in Education (NCGE)

RESEARCH CODE of ethics

July 2008

Lárionad Náisiúnta um Threoir San Oideachas

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TABLE OF CONTENTS

ACKNOWLEDGMENT 2

FOREWORD 3

PREAMBLE 4

1. RESPECT FOR THE RIGHTS AND

DIGNITY OF THE PERSON 5

2. COMPETENCE 10

3. RESPONSIBILITY 12

4. INTEGRITY 15

APPENDIX A 18

APPENDIX B 19

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acknowledgement

The NCGE wishes to acknowledge the Psychological Society of Ireland (PSI) and
express thanks to the PSI for their kind permission to use their Code of
Professional Ethics as the basis for drafting the NCGE’s Research Code of Ethics.

The Psychological Society of Ireland

The Psychological Society of Ireland (PSI) is the learned and professional

body for psychology in Ireland. The Society has grown significantly since its
foundation in 1970 and now has over 2300 members. PSI strives to promote
quality psychological practice and foster learning and growth, by setting high
standards of professional education and conduct for the profession.

Ethical Standards
The Society adopted a Code of Professional Ethics in 1998. The Code of
Professional Ethics is intended to regulate the professional activities of
members of PSI and presents standards of behaviour to which psychologists
should aspire.

The PSI Code of Professional Ethics is based on the structure of the

Meta-Code of the European Federation of Professional Psychologists’
Associations (EFPA; 1995). The PSI Code proposes four overall Ethical
Principles with a number of subheadings for each one.
The four ethical principles are
1. Respect for the rights and dignity of the person
2. Competence
3. Responsibility
4. Integrity
The full text of the PSI Code of Professional Ethics is available on the
Society’s website www.psihq.ie
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foreword

It goes without saying that quality research is fundamental to assessing the

guidance needs of our clients, improving our practice and ensuring quality
of guidance provision.

A wide range of people have participated generously in guidance research

projects carried out by NCGE over the years. The Centre strives to give full
attention to safeguarding their dignity, protecting their rights and providing
the best possible conditions to benefit from their input into research
findings.

The Centre takes pride in the quality of the research it has undertaken both
in-house and through commissioned work. The publication of NCGE's
Research Code of Ethics provides an articulation of the values and
principles underlying the Centre’s investigative methodologies.

We are very pleased that the Psychological Society of Ireland has given
permission to the Centre to use the PSI Code of Professional Ethics as a
basis for drafting this document. The link between the PSI guidelines and
the Meta-Code of the European Federation of Professional Psychologists’
Associations (EFPA) provides compatibility with international good practice
in research.

NCGE trusts that its Research Code of Ethics will be a source of support
and confidence to our researchers, a source of reassurance to those who
participate in our research projects and an indicator of quality to those who
consult our research reports.

Eileen Fitzpatrick
Director

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PREAMBLE

NCGE as an agency of the Department of Education and Science is aware

of its responsibility as a state agency to uphold the highest standards of
professional conduct and practice in relation to its research activities. It is
for this reason that NCGE has sought the permission of the PSI to use its
Code of Professional Ethics in a guidance context. The NCGE Research
Code of Ethics (2008) replaces all earlier versions.

This document has been prepared by NCGE to guide it in relation to ethical

issues that may arise in the course of its research activities. These ethics
will apply to all NCGE staff and consultants undertaking research on behalf
of NCGE; to members of committees/boards and steering groups
convened by NCGE to provide assistance in relation to its research
activities; and to guidance counsellors/participants enrolled on NCGE
programmes (to be referred to as clients of NCGE).

To promote ethical conduct in relation to its research activities NCGE and

its clients (outlined above) are required to consult and engage with this
document throughout the research process. If a client encounters an
ethical issue she/he should consult this document in the first instance and
then contact NCGE if necessary.

SUMMARY OF THE CODE

The code consists of four overall ethical principles which include a number
of specific ethical standards.

1. Respect for the Rights and Dignity of the Person

2. Competence
3. Responsibility
4. Integrity

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RESPECT FOR THE RIGHTS AND
DIGNITY OF THE PERSON

NCGE and its clients shall promote and honour the rights,
dignity and worth of all its stakeholders and those of its
research participants. NCGE and its clients shall respect
the rights of stakeholders and research participants to
privacy, confidentiality, self determination and autonomy,
consistent with its professional obligations and within the
law. NCGE and its clients will ensure that the research
process is cognisant of diverse populations and allows for
the protection of vulnerable groups.

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NCGE and its clients shall,
A. PRIVACY AND CONFIDENTIALITY
• Explore and collect only that information which is germane to the purposes
of a given investigation or intervention.
• Take care not to infringe, in research or service activities, on the personally
or culturally defined private space of stakeholders and research
participants unless clear and appropriate permission is granted to do so.
• Take care not to relay, except as required or justified by law, confidential
information about others (i.e. stakeholders and research participants) to
which it has become privy in the course of research.
• Share confidential information with others only with the informed consent
of those involved, or in a manner that the individuals involved cannot be
identified, except as required or justified by law.
• Store, handle, transfer and dispose of all records, both written and
unwritten (for example, computer files, video tapes), in a way that
attends to the needs for privacy and security and which is in accordance
with the law.
• Take all reasonable steps to ensure that records and data obtained through
research remain personally identifiable only as long as is necessary in the
interests of those to whom the records refer and/or to the research project
for which they were collected, or as required by law, and render anonymous
or destroy any records that no longer need to be personally identifiable.
• Be acutely aware of the need for discretion in the collection, recording and
communication of information (in the course of research), so as to prevent
it from being interpreted or used to the detriment of others. Appropriate
action includes, but is not limited to: not collecting or recording information
which could lead to misinterpretation and misuse; avoiding conjecture;
clearly labelling opinion; and, communicating information in language that
can be understood clearly by the particular recipient of the information.
• Inform those to whom services are offered about legal limits on
confidentiality where it is appropriate to do so.
• Indicate the measures that will be taken to protect the confidentiality of
research participants in group settings including informing members of the
risk of disclosure outside of the group by participants.
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B. INFORMED CONSENT AND FREEDOM OF CONSENT
• View informed consent not just as the signing of a consent form, but as
the outcome of a process (commencing prior to the research and
continuing until the participant is no longer involved in the research) of
agreeing to work collaboratively.

• Ensure, in the process of obtaining informed consent, that at least the

following points are understood: purpose and nature of the activity;
mutual responsibilities; likely benefits and risks; data management,
alternatives; the likely consequences of non-action; the option to refuse or
withdraw at any time, without prejudice; over what period of time the
consent applies; and, how to rescind consent if desired. Special measures
should be employed in the case of vulnerable groups (see below).

• Take all reasonable steps to ensure that consent to participate in research

is not given under conditions of coercion or undue pressure. The
research process must take into account the impact of unequal
relationships on the individual’s ability to consent i.e. teacher-student,
counsellor-client and, employer- employee relationships for instance, and
steps must be taken to ensure that an individual does not feel coerced to
participate in the research.

• Obtain informed consent for all research activities which involve obtrusive
measures, invasion into the private lives of research participants, risks to the
participant, or any attempt to change the behaviour of research participants.
Any research that involves obtrusive measures should be referred to the
NCGE Management Committee prior to the research proceeding.

• Seek willing and adequately informed participation from any person of

diminished capacity to give informed consent (see vulnerable groups
below), and proceed without this consent only if the research activity is
considered to be of direct benefit to that person. Please note that
research of this nature should be referred to the NCGE Management
Committee.

• Carry out informed consent processes with those persons who are
legally responsible or appointed to give informed consent on behalf
of individuals who are not competent to give consent on their
own behalf (see vulnerable groups).

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• Do not use persons of diminished capacity to give informed consent in
research studies, if the research involved might equally well be carried
out with persons who have a fuller capacity to give informed consent.
• Seek an independent and adequate ethical review of human rights issues
and protections for any research involving vulnerable groups and/or
persons of diminished capacity to give informed consent, before making
a decision to proceed. This review should be undertaken by the NCGE
Management Committee.
• Ensure that information is revealed only with the research participant’s
consent, except when subject to the requirements of law or where
concealment would result in danger to the participant or others.
• Discuss data on individuals only for professional purposes, and only with
those who are clearly entitled to know or be consulted.
• Publish information about, or quotes from, research participants, in oral
or written form, only with their consent, or where their identity is
adequately disguised.
• Make audio, video or photographic records of stakeholders/research
participants only where these persons have given prior agreement to the
making of the record and the conditions of subsequent access. This
clause does not apply to the recording of public behaviour or research
situations where other ethical safeguards have been implemented.
• Clarify to all concerned the nature of their loyalties in cases of conflict of
interest.
• Clarify the nature of any multiple relationships to all concerned parties
before obtaining consent, if research is at the behest of third parties
(which may include government agencies and special funding bodies).
The clarification includes, but is not limited to, the following information:
the purpose of the service or research; the use that will be made of
information collected; and the limits on confidentiality.
• Obtain the research participant’s consent to the attendance of
trainees and other third parties not directly involved in the
provision of the research.

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C. SELF-DETERMINATION
• Respect the rights of research participants and others to safeguard their
own dignity.
• Respect the right of individuals to discontinue participation in research
at any time, and be responsive to non-verbal indications of a desire to
discontinue if individuals have difficulty in verbally communicating such
a desire.

Vulnerable Groups
Vulnerable groups refer to people who are not legally able to give informed
consent due to age or incompetence. For the purposes of this document
vulnerable groups will include, those under the age of 18, certain groups of
elderly people, persons who have an intellectual or mental impairment,
and/or mental health difficulties, persons who are incarcerated, and
minority groups such as non Irish nationals.

Research with vulnerable groups should only take place if the following
conditions have been established and addressed:

• The research will contribute to the well being of the group.

• The group can provide only the information required.

• The research methodology is appropriate to the group.

• The research process and conditions provide for the emotional,

psychological and physical safety of the group.

• The requirements under legislation protecting the population have been

fulfilled.
• The research has been explained in a way that is accessible to the group
i.e. the researcher should ensure that the language employed and that the
medium of communication are accessible i.e. the presence of an
advocate, interpreter or translator if required.

With regard to those under the age of 18, certain groups of elderly people
and persons with disabilities the following shall also apply:

• Consent to participate in the research is sought from a parent/guardian/

proxy (as appropriate) prior to approaching the individual/group.
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competence

NCGE and its clients shall strive to ensure and maintain

high standards of competence in their work. The
boundaries of competencies and the limitations of
expertise should be recognised. NCGE and its clients shall
only engage in research for which they are qualified to do.
In the case where NCGE or its clients are insufficiently
qualified to undertake research the advice of experts will
be sought and the services of a highly qualified and
experienced researcher be employed.

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NCGE and its clients shall,

A. ETHICAL AWARENESS
• Avoid entering into research agreements or contracts which might oblige
them to contravene provisions of NCGE’s Research Code of Ethics.

B. CONTINUING PROFESSIONAL DEVELOPMENT

• Keep up to date with relevant knowledge, research methods, and
techniques, through the reading of relevant literature, peer consultation,
and continuing education activities, in order that research activities and
conclusions shall benefit and not harm others.

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responsibility

NCGE and its clients will be aware of their professional

responsibilities to stakeholders, including research
participants. They shall avoid doing harm.

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NCGE and its clients shall,
A. GENERAL RESPONSIBILITY
• Be sensitive to the needs, current issues, and problems of society when
determining research questions to be asked, services to be developed,
information to be collected, or the interpretation of results/findings.

• Protect the dignity and wellbeing of research participants at all times.

• Maintain records of research data for an appropriate period of time and

ensure that these are stored according to the provisions of legislation in
this area. NCGE staff and consultants undertaking research on NCGE’s
behalf will return all research data to NCGE.

B. PROMOTION OF HIGH STANDARDS

• Ensure that the highest standards of integrity are maintained.

C. AVOIDANCE OF HARM
• Will be sensitive to, and knowledgeable about, individual differences and
vulnerabilities to discern what will benefit and not harm persons involved
in research activities.

• Not contribute to, nor engage in, research which promotes or is intended
for use in deliberate impairment of an individual's psychological integrity.

• Act to minimise the impact of research activities on research participants'

personality or their mental or physical integrity.

• Screen research participants and select those not likely to be harmed, if

risk or harm to some research participants is possible.

• Debrief research participants in such a way that any harm caused can be
discerned, and act to correct any resultant harm.

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• Not disadvantage participants (individuals, groups, families or
communities) by offering them no service over an unreasonable period of
time in order to fulfil a control condition in a research study; where a
study reveals beneficial effects, and resources allow.

• Seek an independent and adequate ethical review of the balance of risks

and potential benefits of all research which involves procedures of
unknown consequence, or where pain, discomfort, or harm are possible,
before making a decision to proceed.

• Exercise particular care when reporting results on vulnerable groups to

counter misinterpretation or misuse in the development of policy,
attitudes, or practices (for example, manipulation of vulnerable persons
or discrimination against specific populations).

D. EXTENDED RESPONSIBILITY
• Guard against the misuse or misinterpretation by others of
psychological data.

E. RESOLVING DILEMMAS
• Use a systematic procedure for investigating ethical issues and resolving
ethical dilemmas. A recommended procedure is presented in Appendix
A, and a categorisation of affected/interested parties (stakeholders) in
Appendix B.

• Inform all parties, if a real or potential conflict of interest arises, of the

need to resolve the situation in a manner that is consistent with this
Research Code of Ethics, and take all reasonable steps to resolve it.

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integrity

NCGE and its clients shall seek to promote integrity in the

undertaking of its research.

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NCGE and its clients shall,
A. HONESTY AND ACCURACY
• Take care in communicating knowledge, findings and views to clearly
differentiate facts, opinions, theories, hypotheses, and ideas.

• Not suppress disconfirming evidence of findings and views, and

acknowledge alternative hypotheses and explanations.

• Conduct research in a way that is consistent with a commitment to

honest, open inquiry, and to clear communication of any research aims,
sponsorship, social context, personal values, or financial interests that
may affect or appear to affect the research.

• Ensure that those who commission research are aware of the rights and
responsibilities of all interested parties.

• Clarify ownership of documentation, data, and rights of publication with

those to which it has commissioned research.

• Give publication credit to others (as appropriate) in proportion to the

professional contribution that they have made. Publication includes all
forms of media. Professional contributions include but are not limited to:
ideas generated, execution of research, analysis of results, and writing.

B. STRAIGHTFORWARDNESS AND OPENNESS

• Respect the right of research participants to receive an appropriate

explanation of the nature, purpose and results of investigations,
assessments and research findings, in language that these persons can
understand.

• Be clear and straightforward about all information needed to establish

informed consent or any other valid written or unwritten agreement (for
example: concerns; mutual responsibilities; ethical responsibilities;
purpose and nature of the relationship; alternatives; likely experiences;
possible conflicts; possible outcomes; and, expectations for processing,
using, and sharing any information generated).

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• Avoid using deception (or techniques which might be interpreted as
deception) in research or service activities if there are alternative
procedures available or if negative effects cannot be predicted or offset.

• Seek an independent ethical review of the risks to public or individual

trust and of safeguards to protect such trust for any research which uses
deception or techniques which might be interpreted as deception, before
making a decision to proceed.

• Provide a debriefing for research participants following studies in which

deception (or the use of techniques which could be interpreted as
deception) has occurred. The real nature of, and rationale for, the study
will be clarified.

C. CONFLICT OF INTERESTS AND EXPLOITATION

• Not exploit any professional relationship to further personal, political or
business interests.

• Be acutely aware of the problematic nature of dual relationships and

recognise that it is not always possible to avoid them. Where it is possible,
avoid such relationships; where it is not, steps should be taken to
safeguard research participants’ interests.

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APPENDIX A
RECOMMENDED PROCEDURE FOR ETHICAL
DECISION MAKING
Section 3(e) of the Research Code of Ethics deals with the resolution of
ethical dilemmas, and all the clauses in that section are relevant to the making
of ethical decisions.

A systematic approach to the investigation of ethical issues and the resolution

of dilemmas should be employed. It is recommended that the use of a formal
decision making procedure as presented here is used in such situations. The
procedure is designed for both routine issues and immediate problems.
• Define carefully the issues and parties involved. See Appendix B for a
categorisation of affected/interested parties (stakeholders).
• Read the Research Code of Ethics and identify all relevant clauses. Also
check other applicable professional guidelines (for example, those of
government departments or health boards) and any pertinent legislation.
• Evaluate the rights, responsibilities and welfare of all affected parties.
• Generate as many alternative decisions as possible.
• Evaluate carefully the likely outcome of each decision.
• Choose what, in your professional judgment, is the best decision,
implement it, and inform relevant parties.
• Finally, take responsibility for the consequences of the decision.

The complexity of ethical issues makes it likely that different principles and
subclauses will occasionally clash; in addition, the provisions of the Code
may also be at odds with legal provisions and/or other relevant guidelines
(though it is expected that this is not the case). The resolution of ethical
dilemmas is not guaranteed to be simple.

The formal decision making procedure is intended to reduce the incidence of

decisions which are mistakes because they are taken in the heat of the
moment, without consideration of all the relevant factors. What is required, in
all cases, is a considered professional judgment taken in a systematic way.

It is strongly recommended that notes be kept of deliberations at each stage

of the process.
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APPENDIX B
A CATEGORISATION OF PARTIES AFFECTED BY
ETHICAL DECISIONS
Step 1 of the decision making procedure entails the identification of parties,
or stakeholders, who are affected by, or have an interest in the ethical
decision. The extent of involvement in an ethical dilemma, particularly through
secondary relationships, can be very complex. The following categorisation
should simplify the task of systematically identifying relevant stakeholders.
NCGE: It is NCGE who experiences the dilemma and must make the ethical
decision. NCGE should therefore include a critical review of its own position
in the decision making process.
Clients of NCGE: Refers to NCGE staff and consultants undertaking research
on behalf of NCGE; members of committees/boards and steering groups
convened by NCGE to provide assistance in relation to its research activities;
and guidance counsellors/participants enrolled on NCGE programmes.
Direct Beneficiary: This term refers to the party directly involved in
commissioning the research.
Research Participant: Research participants are those who are participating
in the research i.e. who are being investigated by the research.
Referrer: This term specifies the source of referral of a direct beneficiary. In
the case of a school or other organisation providing access to students for
research purposes the school is considered as the referrer. In this case the
school is not participating in the research.
Consultant: This term refers to any individual or agency, other than the Direct
Beneficiary, with whom a legal or implied contract to carry out research exists.
Employee: This term refers to those employed by NCGE.
Wider Profession: This term refers to stakeholders of NCGE whose interests
or reputation may be affected by an ethical decision.
Other Parties: This is a general term which can be used to specify any other
individuals or constituencies considered relevant to the decision making
process.
General Public: There may be a public dimension to NCGE activities. In
such cases it is useful to give formal consideration to the public interest.
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 NCGE:

• Informs the policy of the Department of Education

and Science in the area of guidance

• Promotes and supports strategies for the provision

of guidance in the context of life long learning

• Promotes and supports the implementation of best

practice in guidance at all levels of education

• Researches guidance practice and needs

• Facilitates career development for guidance

practitioners

• Acts as a centre for the exchange of information

on guidance at national and international level

Published by the National Centre for Guidance in Education © 2008

Copyright and Disclaimer
The information in this publication has been produced by National Centre for Guidance
in Education (NCGE) and no part of this publication may be reproduced or translated in
any form or by any means including photocopying, recording, information storage or
retrieval system or in advising third parties. While every care is taken to ensure the
accuracy of information published, liability for error, omission or misrepresentation is
not accepted.
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