Ethical R Fone S I L Ed I GuResearch In The Counselling .
EthicalGuidelines forResearch inthe CounsellingProfessions
2bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contentsAcknowledgementsThe Ethical Guidelines for Research in the Counselling Professions was written by Dr BarbaraMitchels, PhD., LL.B., Solicitor (rtd.), Dip Couns., FBACP (Snr Accred). The project was supervisedby Professor Tim Bond, Emeritus Professor, University of Bristol and Visiting Professor,University of Malta. The project was ably supported by the expertise and contributions of staffand members of the British Association for Counselling and Psychotherapy and by externaladvisers. In particular, we thank Clare Symons, the British Psychological Society EthicsCommittee, and all the consultants and discussants who generously contributed to the project,giving their time and energy to help create and review the draft. In particular, grateful thanksto: Deborah Bowman, Katherine Cereghino, Alex Clapson, Ann Dalzell, Susan Dale, MoragDriscoll, Betts Fetherston, Nicola Forshaw, Rachel Freeth, Jane Hancock, Sue Gandy, CarolineJesper, Colin Lago, David Lane, Richard Mason, Jo Mountain, Rachel Muir, John Ovretveit,Kathy Raffles, Alistair Ross, Elspeth Schwenk, Mhairi Thurston, Maureen Vernon, Pippa Weitz,William West and Jeannie Wright. We thank Brethertons LLP Solicitors for their legal expertiseand comments on the draft document. The Ethical Guidelines for Research in the CounsellingProfessions has been greatly improved by all the feedback received.Copyright InformationThis Ethical Guidelines for Research in the Counselling Professions is published by the BritishAssociation for Counselling and Psychotherapy, BACP House, 15 St John’s Business Park,Lutterworth, Leicestershire, LE17 4HB.T: 01455 883300 E: bacp@bacp.co.ukwww.bacp.co.ukBACP is the largest professional organisation for counselling and psychotherapy in the UK,is a company limited by guarantee 2175320 in England and Wales, and a registered charity298361.Copyright 2018-19 British Association for Counselling and Psychotherapy.First published 2018. This Ethical Guidelines for Research in the Counselling Professions takeseffect from 1 July 2018.Updated February 2019.Permission is granted to reproduce for personal and educational use only.Commercial copying, hiring and lending are prohibited.Design by Steers McGillan Eves.
3bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contentsContents1. Introduction1.11.21.31.41.51.61a1.7Purpose and aim of these guidelinesResearch to which these guidelines applyWhen do these guidelines not apply?Status of these guidelinesHow to use these guidelinesOur commitment to ethical researchSummary of our commitments to ethical researchMisconduct in research2. Ethical principles and nitions of trust in the context of researchTrustworthinessRelationship of respect between the researcher and participantsand others affected by the researchValue, quality and rigour in the researchIntegrity, transparency and accountability in the research processMeeting the requirements of academic quality as determined bythe appropriate academic disciplineEnsuring the quality of the research process and findings, outputsand their disseminationSocial responsibility and working within the lawMaximising the beneficial contribution of researchEnsuring notification of the Ethical Framework, Professional ConductProcedures and these guidelines to participants and institutions3. Research pliance with the law and these guidelines, includingdata protectionSupervision, mentoring and consultationEthical review and the role of research ethics committeesIndependent practitionersIntegrity and trustIndependence and the absence of conflicts of interestQuality and researcher competence through adequate researchand ethical trainingProvision for expression of concerns or complaints about the researchResearch across disciplines, modalities or organisational contexts inthe counselling related 2829293131323233343435
4bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contents4. Safety and managing the risks of research to participants,the public and the researcher4.14.24.34.44.5Risk assessments and safety considerationsDuty to intervene to prevent harm to othersInsurance issues(i) Professional practice and public liability insurance to coverthe research(ii) Personal health, accident and other insurance cover forthe researcherSelf-care of the researcherEthical personal boundaries in research5. Relationships and communication with 0ConsentConfidentialityRapport and trustResearch with the researcher’s existing or former clientsResearch with other practitioners’ existing or former clients(i) Research with other practitioners’ existing clients(ii) Research with other practitioners’ former clients(iii) Disclosures made in research with other practitioners’existing or former clientsResearch with participants not involved in any therapeutic processImpact of technology in research relationshipsImpact of record keeping and confidentiality in research relationshipsImpact of data protection legislation on research relationshipsCandour6. Vulnerability in research participants6.16.26.36.46.56.66.7Awareness of vulnerability in research participantsVulnerability created by the design or context of the research6.2.(i) Political, physical or sociological factors6.2.(ii) Power balances6.2.(iii) DeceptionDiversity and differenceResearching with children and young peopleResearching with vulnerable adultsSpecific considerations in researching with vulnerable adultsCapacity and consent 6061626262626465697071
5bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contents7. Research ethics review and research governance7.17a7.27.37.47.5Independent Review Panels (for research by independent practitioners)Checklist for independent ethical reviewResearch Ethics Committees (RECs)Ethical challenges and research governanceEthical issues in researching within an organisational context:compliance and compatibility with the mandatory requirements ofalternative sources of guidanceResearching across legal and national jurisdictions8. On-line research8.18.2International aspects of digital technology in researchEthical and legal use and protection of digital data737576777778798081819. Trainee and Student researchers8410. Ethical problem-solving in research8610.110.210aEthical issues in the relationship between therapeutic practiceand researchEthical problem-solving modelsEthical problem-solving in research checklist11. References12. Resources and further reading12.112.212.3Additional sources of ethical guidanceLegal resourcesUseful contactsAppendices8788889197100101102104Appendix ASummary of key ethical issues to be addressed duringthe research process105Appendix BConsiderations for a research contract with participants107Appendix CDefinitions of research109Appendix DCode of practice for research checklist, UK ResearchIntegrity Office (UKRIO 2009)111Glossary113Appendix E
6bacp Ethical Guidelines for Researchin the Counselling Professions1. IntroductionBack to contents
7bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contentsBackground to these guidelinesThe British Association for Counselling and Psychotherapy (BACP) is committed toencouraging the best possible research for the benefit of our clients and the wideningrange of counselling professions, including coaching, mentoring and pastoral care.BACP actively values different approaches to research, promoting dialogue andcollaboration across different research traditions.Therapeutic research has at times been accompanied by controversy or ethicalconcerns about the treatment of animals or human participants, and about the ethicaland appropriate use of research material and the dissemination of research findings.Research ethics provide a focus not only for remedying and preventing the repetitionof any wrongs but also, more importantly, provide the opportunity to improve practiceand so work more safely and effectively with clients. Modern research can use moresophisticated resources and technology, producing more globally immediate results.Ethical research practice can provide ways to carefully review and identify what isconsidered beneficial or harmful in generating knowledge. Research ethics evaluatehow best to establish the appropriate relationships between the researcher, researchparticipants and society in general, thus protecting the integrity and reliability ofthe knowledge derived from systematic inquiry for use by professions and societymore widely. Independent researchers (i.e. those not working through an academicinstitution or for a professional organisation with its own internal governance) mayneed to consult the guidance on research issued by relevant organisations and theirprofessional bodies. Researchers who are BACP members are required to be guidedby the BACP Ethical Guidelines for Research in the Counselling Professions, which arebased on the values, principles, duties and responsibilities which are relevant to, andaccepted by, the counselling professions (BACP 2018: GP87).The traditional way for professional bodies and learned societies is to present theirresearch ethics as codes or guidelines. BACP followed this pattern by producing EthicalGuidelines for Researching Counselling and Psychotherapy (Bond 2004). The law andgovernment guidance has developed considerably since BACP published the firstresearch guidelines, particularly in areas including the protection of children andvulnerable adults, equality and diversity, confidentiality and access to information andmental health. New technology has also led to innovation in how researchers recruitand interact with their participants.Computer-mediated tools allow people to communicate ideas and information invirtual communities, groups or networks. Social media may include blogs, businessand enterprise social networks, forums, photo sharing, products/services review, socialbookmarking, video and social networks, online surveys and virtual worlds. Contactwith others by telephone, and online through social media, chat rooms and the use oftablets and smart phones, alongside increasingly powerful computer processing, arenot only opening up new possibilities in how research is conducted but are challengingsome of the ethical assumptions founded on paper-based patterns of socialinteraction in research. Since the publication of the Ethical Guidelines for ResearchingCounselling and Psychotherapy (Bond 2004), subsequent developments in ethics, lawand practice were considered in the Review of BACP Research Ethics (BACP 2013). Theseguidelines take account of those recommendations, and are consistent with the EthicalFramework for the Counselling Professions (Ethical Framework) (BACP 2018).
8bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contents1.1 Purpose and aim of these guidelinesThese guidelines are designed to encourage best practice in research, to helpprevent misconduct, and assist researchers by providing general principles andstandards for good practice in research by members of BACP. These guidelines areapplicable to individual researchers and to BACP member organisations that carryout, fund, host, commission, or are otherwise involved in research. It thereforeapplies to private practitioners as well as to those employed or working in anorganisational context. The guidelines aim to promote and inform good researchpractice, contributing to knowledge and understanding applicable to a wide rangeof research positions and methodologies. Information and questions for reflectionand discussion are included for researchers who wish to extend their exploration ofthe issues.1.2 Research to which theseguidelines applyThese guidelines apply to any research that falls within the BACP definition ofresearch in the Glossary to the Ethical Framework, which is ‘a systematic enquiryor experiment to advance knowledge’, see also the Ethical Framework (BACP2018: GP3:84-90). These guidelines apply to both quantitative and qualitativeresearch. The primary purpose of research ethics is to protect the safety, rights anddignity of any research participant, a positive aspect of which is the advancementof knowledge through respectful research. A distinction between quantitativeand participatory research is that the researcher has the potential to involveparticipants in a joint consideration of ethical decisions throughout the research.These guidelines apply and extend the ethical approach adopted in the BACPEthical Framework (BACP 2018) to situations where human beings are participatingin research in the quest for new knowledge. Research ethics are particularlyimportant in situations where the participant is unlikely to directly benefitpersonally from that knowledge and is offering their participation for the benefitof others. Historically, some participants in research have been coerced, deceived,or exploited and exposed to risks to which they would not have consented, hadthey known and clearly understood what would be involved. Research ethics are animportant protection both for the participants and for the integrity of the researchprocess and the knowledge that is produced.As monitoring, auditing, inspecting and researching all involve systematicallygathering information and interpreting that information, it is important to knowwhen these guidelines apply.
9bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contentsWhen do research ethics and these guidelines apply?These guidelines apply to any activity which systematically gathers and interpretsinformation in any of the following circumstances: The primary purpose is to generate new knowledge. This quest for new knowledge,which includes any systematic studies undertaken to reassess, confirm, or refineexisting knowledge as well as undertaking the first inquiries of their kind. The primary aim of the research is that new knowledge being sought is not primarilyfor the direct benefit of the person who is the source of that information. Forexample, the information gathered may be intended to benefit others, such asfuture clients, the professional development of trainees (who may be gatheringthe information as part of their practice requirements or projects undertaken on atraining course) or for the advancement of current practice or policy. The purpose of the information-gathering by the practitioner is to investigate thesuitability or effectiveness of new therapeutic approaches. Different types or levels of therapy are offered to specific groups of client forcomparative purposes. Clients, practitioners, or others will be involved in additional activities for researchpurposes that are not normally part of their routine therapeutic practice. Re-processing of identifiable or anonymous personal data gathered during thedelivery of therapeutic services and using them for research purposes. Any research studies undertaken using online or market surveys.
10bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contents1.3 When do these guidelines not apply?These guidelines do not apply to: Routine monitoring, auditing, or quality assurance activities that help to supportand maintain good practice in a well-run counselling, psychotherapy, or coachingservice, and which are undertaken by the practitioner solely in relation to his or herown therapy practice and in compliance with the provisions of the current EthicalFramework for the Counselling Professions (BACP 2018). The information-gathering is being undertaken by the practitioner for the purposeof accreditation, and is solely in relation to his or her own therapy practice andconducted in compliance with the provisions of the current Ethical Framework for theCounselling Professions (BACP 2018) Summaries, assessments and other information derived from case notes or recordswhich are provided confidentially to BACP by a practitioner for the purpose ofaccreditation, in accordance with BACP policies and procedures. Summaries, assessments and other information from case notes or records whichare provided confidentially to BACP by a practitioner for the purpose of disciplinaryproceedings, in accordance with BACP policies and procedures.The main ethical safeguards for participants in research are: ensuring that participation is on the basis of informed and freely given consentabout what participation will require and the purpose of the research having the research independently reviewed to ensure that any issues concerningthe safety of participants and their consent are adequately addressed and that thepurpose and quality of the proposed research are of an adequate standard the researcher being vigilant throughout the research to issues of client consent andsafety and the integrity of the research process Taking account of any regulations or legal requirements that concern research.Exceptionally, research may involve intentionally deceiving the participants as tothe purpose of the research in order to protect the integrity of the results. This typeof research is generally incompatible with the importance of being trustworthyas a counselling professional. Deception in research renders a participantvulnerable, and is specifically addressed at 6.2.(iii) in discussion of situations wherevulnerability is created by the design or context of the research.
11bacp Ethical Guidelines for Researchin the Counselling ProfessionsBack to contents1.4 Status of these guidelinesAll individual and organisational members and registrants of the British Associationfor Counselling and Psychotherapy (BACP) are required to comply with thecurrent Ethical Framework (BACP 2018) and to be guided by the current EthicalGuidelines for Research in the Counselling Professions in accordance with theirterms and conditions of membership. These guidelines are underpinned by theEthical Framework (BACP 2018) and they replace BACP’s Ethical Guidelines forResearching Counselling and Psychotherapy (Bond 2004).BACP is firmly committed to public safety, therefore these guidelines are intendedto apply to all the forms of research undertaken by BACP members that arespecified in this resource at 1.2. Reference must be made to these guidelinesthroughout the entire research process, including dissemination and publicationof research findings. These guidelines may be used within BACP’s ProfessionalConduct Procedure, and failure to follow them may constitute persuasiveevidence in BACP’s disciplinary proceedings that research has not been ethicallyconducted. Any departure from these guidelines would require a strong ethicaljustification.For research to which this guidance does not apply, see Part 1 at 1.31.5 How to use these guidelinesThese guidelines are not intended to micro-manage research, or as a ‘one sizefits all’ approach to all types of research and methodologies. It recognises thatthere are many forms of guidance already in existence, the intention is thatresearchers and research organisations may use the principles and standardsoutlined here as benchmarks in developing their own methods and methodologiesin conducting research. These guidelines are a set of principles and standards toinform the management and conduct of research, reflecting areas of good researchpractice included in a range of organisational policies. It draws upon the viewsand experiences of academic and non-academic researchers, counselling andpsychotherapy practitioners, and students and trainee practitioners about theirexperiences and perceptions of good practice.The Ethical Framework (BACP 2018) was designed to a
3 esear Back to contents ofessions Contents 1.Introduction 6 1.1 Purpose and aim of these guidelines 8 1.2 Research to which these guidelines apply 8 1.3 When do these guidelines not apply? 10 1.4 Status of these guidelines 11 1.5 How to use these guidelines 11 1.6 Our commitment to ethical research 12 1a Summary of our commitments to ethical research 13 1.7 Misconduct in research 16
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