The following is an extract from Research Methods in Education - An Introduction, Eighth Edition 2005 by William Wiersma and Stephen G. Jurs

page 450 - 453  For your perusal please.  John 2/3/2009

Researchers need access first to the research site and then to the individual participant.  Whenever research is conducted in an educational setting, it is necessary to obtain permission from the site's "gatekeeper," who might be the principal, the superintendent, or a committee that is charged with this responsibility.  It is important to know and follow the approval policies of the agency.

The Family Education Rights and Privacy Act of 1974 and the set of regulations called the Common Rule that was issed in 1991 by the U.S. Department of Health and Human Services apply to educational research.  The federal regulations require that univerisities and agencies engaging in research with human participants have an institutional review board (IRB) for the review and approval of research proposals.  This includes the research proposals of students. 

IRBs are required to review research proposals and certify that the proposed research will be conducted in accordance wtih the law and will protect the human subjects who are involved in the research.  Typically, each institution has a standard form for IRB review that is available from an Office of Research or equivalent.  Criteria for IRB approval of research projects can be summarised generally as:

• Projects should identify anticipated risks to subjects and be designed to minimize such risks.  Risks are reasonable relative to expected benefits.
• Participation of subjects is voluntary and equitable.
• Informed consent will be obtained from each prospective subject and properly documented.
• Additional safeguards must be taken for the inclusion of potentially vulnerable subjects such as children.
• Adequate provisons are made as appropriate for ensuring the safety of subjects, monitoring data collection, and mainaining privacy and confidentiality of subjects and data.  (Paraphrased from the Protection of Human subjects 46.111.)

There is some controversy about the role and practice of IRBs in practitioner research, such as action research, because practitioner research is usually an integral part of ordinary educational practice, and thus is not subject to IRB review.

The Common Rule defines research as:

A systematic investigation, including research development, testing, and evaluation, designed to contribute to generalizable knowledge.

The definition of generalizable knowledge is left to the researcher or the IRB, but practically all educational research falls within this definition of research.  The definition of human subject is also broad:

A living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) Identifiable Private Information.

The researcher is obligated to protect participants from risk.  Risk has a broad definition as exposure to the possibility of physical, social, or psychological harm.  Harm can occur in a variety of ways.....  Two ways to limit the risk of harming human subjects are participant consent and confidentiality/anonymity.

Participant Consent

Informed Consent.  The National Research Act requires that research participants are informed about their role in the research and that they give their written consent for participation.  Consent forms should not contain any exculpatory language that may cause subjects to waive, or appear to waive their legal rights.  Consent forms must comply with local, state, and federal laws or regulations, and they cannot place limits on the authority of professionals...

Informed consent must address the purposes and procedures of the research, and a description of any possible risks or negative consequences.  The subject must be informed of the likely duration of the research and the necessary commitments of the participants.  The subject should know who to contact if any questions arise.

Passive Consent.  An example of passive consent would be sending a description of a questionnaire or activity tht is to be used to parents, asking them to indicate in writing if they do not want their child to participate.  Failure to respond is considered as informed consent.

Implied consent.  The requirement of informed consent may be waived under certain conditions.  Surveys involving questionnaires, for which only group results are reported, usually have what is called implied consent.  That is, respondents have the option of refusing participation (failure to return the questionnaire), and if they return a completed questionnaire, they have, in essence, given consent to participation.

Confidentiality/Anonymity

Confidentiality.  Confidentiality referes to the researcher not disclosing the identity of the participants or indicating from whom the data were obtained.  Note that the researcher does not have lawyer-client or doctor-patient privilege.

Anonymity.  Anonymity means that the names of the participants from whom the data have been obtained are not known.

Federal legislation protects the privacy of students' educational records.  The researcher must guard against unauthorized identification of students.  Written consent must be obtained if it is necessary to have personal identification and the identification information must be destroyed following its use for research.

The seven guidelines given by Bogdan and Biklen (2003) for meeting the legal and ethical requirements for conducting educational research.  These guidelines were developed for qualitative research, but they generally apply to all educational research

1. Aovid research sites where informants may feel coerced to participate in your research
2. Honor your informants' privacy
3. There is a difference in informants' time commitment to you when you do participant observation in public places, and when they do an interview with you
4. Unless otherwise agreed to, the subjects' identities should be protected so that the information you collect does not embarrass or in other ways harm them
5. Treat subjects with respect and seek their cooperation in the research
6. In negotiating permission to do a study, you should make it clear to those with whom you negotiate what the terms of the agreement are, and you should abide by that contract
7. Tell the truth when you write up and report your findings