MODULE I

INTRODUCTION TO THE
RESEARCH METHODS IN
PSYCHOLOGY

Lesson 1 Research: Theory and

Methods
Lesson 2 Practical and Ethical
Issues in Planning
Research

Module I
 2

MODULE I
INTRODUCTION TO THE RESEARCH
METHODS IN PSYCHOLOGY

 INTRODUCTION

This module covers the first section of the course that provides a broad
overview of research in psychology and a more focused presentation of those field
methods in psychology. It will introduce you to the epistemology and methodology of
research. Epistemology refers to the “why” of research and methodology, the “how”
of research. The module will conclude with a brief introduction to concepts,
assumptions and importance of research. This will serve as the building blocks for the
different approaches and methods of data collection, which will introduced in Module
2 and comprises the rest of the module in the course.

OBJECTIVES

After studying the module, you should be able to:

1. Critically explain the theories, epistemologies, and issues of validity

behind qualitative, quantitative, and mixed methods research
2. Recognize the importance of research vis a vis to the research data
collections.
3. Differentiate the basic principles of field method research clearly and
within the context of concrete, relatable, psychological examples.
4. Differentiate ethical behavior towards research participants
5. Explain the theoretical underpinnings and practical issues in planning
research.

 DIRECTIONS/ MODULE ORGANIZER

There are two lessons in this module. Read each lesson carefully then answer
the exercises/activities to find out how much you have benefited from it. Work on
these exercises and submit your output to your instructor or to the CAS office,
Psychology Department.

In case you encounter difficulty, discuss this with your instructor during the
face-to-face meeting. If not contact your instructor at the said office.

Good luck and stay in love with research!

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Lesson 1

 Research: Theory and Methods

The Use of Theory

Part of reviewing the literature involves determining which theories should be

used to explore the research questions. Theories can be used in quantitative,
qualitative, and mixed methods approaches. In the quantitative approach, researchers
use theory to provide an explanation about the relationships among the variables of
interest. In qualitative research the theory may be generated as the final outcome of
the study or the theory may be used to provide a lens that shapes what is looked at in
the study. In mixed methods research, researchers may test theories and generate
them.
Lesson 1 begins with a focus on the role of theory in quantitative research.
Lesson 1 includes a definition of theory followed by the use of variables in a
quantitative study and a discussion of the placement of theory. The section continues
with a discussion of different ways that theory may be used (if used at all) in
qualitative research. The lesson closes with a discussion of the use of theory in mixed
methods research. Mixed methods researchers use theory as a framework which
informs the many aspects of the study design. Two frameworks are explored: (1) the
social science framework and (2) a participatory social justice framework.

Quantitative Theory Use

Testing Causal Claims in Quantitative Research

• Causality – we would expect variable X to cause variable Y (e.g., drinking red
wine causes a reduced risk of heart attack)
• An unmeasured third variable may be a cause. These third variables are called
confounding variables
• The best choice to test causal claims is a true experiment
• If you cannot conduct experiments or are less interested in causal claims,
correlation analysis and surveys test hypothesized associations

Variables in Quantitative Research

• Variable – a characteristic or attribute of an individual or an organization that
can be measured or observed and varies
• Distinguished by two characteristics
 Temporal order – one variable precedes another in time
 Measurement – order
• Independent variables – cause, influence or affect outcomes
• Dependent variables – depend on the independent variables; outcomes
• Predictor variables – used to predict outcome of interest in survey method
studies

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• Outcome variables – the result or outcome of predictor variables. Share

properties with dependent variables.
• Intervening or mediating variable – stand between the independent and
dependent variables
• Moderating – predictor variables that affect the direction or the strength of the
relationship between independent and dependent variables, or between
predictor and outcome variables
• Control variables – measured because they may obscure the relationship

Definition of a Theory in Quantitative Research

• An interrelated set of constructs formed into propositions or hypotheses that
specify the relationships among variables
• Scientific predictor or explanation of how or why the variables are related
• Theories emerge when researchers test predictions over and over
• They vary in the breadth of coverage
 Micro-level – provide information on small slices of time, space or
numbers of people (interpersonal)
 Meso-level – link micro and macro levels (Organizations, communities,
social movements)
 Macro-level – explain larger aggregates (social institutions, cultural
systems)
• Theories emerge when researchers test hypotheses (predictions) over and over

Forms of Theories in Quantitative Research

• Series of interconnected hypotheses
• Series of if-then statements explaining why independent variables may
influence or cause dependent variables
• Visual models depicting how variables relate to each other

Placement of Quantitative Theories

• Deductive approach – researcher tests or verifies a theory
 Examines hypotheses or research questions
 Defines and operationalizes variables derived from the theory
 Measures or observes variables
• Placement
 Introduction
Advantages – familiar and conveys a deductive approach
Disadvantages – difficult for the reader to isolate theory from
other components in the research process
 Literature review
Advantages – theories found in the literature so inclusion here is
logical
Disadvantages – difficult for the reader to see the theory in
isolation from other topics being reviewed
 After the hypothesis or research questions as a rationale
Advantages – helps to explain how and why variables are related.
Disadvantages – writer may include theoretical rationale and
leave out a discussion about the origin and rationale for the use
of the theory

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 In a separate section
Advantages – clearly separates theory from other components
Disadvantages – isolated from other components. The reader
may not be able to connect it with other components of the research
process

Writing a Quantitative Theoretical Perspective

• Look in the discipline-based literature for a theory (e.g., psychological to
study individuals, sociological to study groups organizations, social
psychology for groups of people, and other specific disciplines)
• Examine prior studies that address the topic or a closely related one
• Ask the question that bridges the independent and dependent variables
• Script out the theory section so that it includes the theory to be used, the
central hypotheses, past use and application of the theory and how it
relates to the proposed study.

Qualitative Theory Use

Variation in Theory Use in Qualitative Research
• Broad explanation for behaviors and attitudes
• Theoretical lens or perspective; for example:
 Feminist perspectives
 Racialized discourses
 Critical theory
 Queer theory
 Disability inquiry
• Theory as the end point – inductive; builds from data to broad themes
 Researcher gathers detailed information from participants
 Forms this information into categories or themes
 Develop themes into broad patterns, theories or generalizations
• Some qualitative studies do not employ any specific theory

Locating the Theory in Qualitative Research

• For studies with cultural themes or theoretical lens, in the opening passages
• For studies with an emerging design of qualitative inquiry, at the beginning.
The theory may be modified or adjusted based on participant views
• Studies based on grounded theory
 Theory derived inductively
 Placed at the end

Mixed Methods Theory Use

• May include theory deductively or inductively
• May incorporate a framework
 Social science framework
 Participatory social justice framework

Social Science Theory Use

• Overarching framework for mixed methods research drawn from theories
found within social science research
• Incorporation of a social science theory in mixed methods:

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 Placed at the beginning of the study and guides research questions and
hypotheses
 Named and described, used to inform qualitative and quantitative
components. It should explain the major variables in the study
 Include a diagram to indicate the causal links
 Provide a framework to guide the data collection process
 Return to the theory at the end to inform findings and results and
compare with use in other studies

Participatory Social Justice Theory Use

• Use of this method growing in mixed methods research
• Especially applicable to the study of community health issues and the study of
marginalized people
• Strong focus on studying issues of discrimination and oppression and
recognizing diversity among study participants
• Incorporate a participatory social justice framework in a mixed methods study
by:
 Indicating in the opening passages that a transformative framework is
being used
 Mentioning the framework early in the study
 Placing the framework within a theoretical body of literature
 Involving the community of interest in the data collection process
 Taking a stand with the research question to have an advocacy
orientation
 Indicating in the design the collection, analysis, and integration of
quantitative and qualitative methods
 Talking about your experiences as a researcher shapes your
understanding of the participants and issues
 Ending the study by advocating for change

Summary

• Theory is used in
 Quantitative studies to provide an explanation or prediction about the
relationship among variables in the study
 Qualitative research as a broad explanation, a theoretical lens, or as an
end-point; or theory may not be used at all
 Mixed methods research as a framework to inform the design, data
collection, analysis, and interpretation of qualitative and
quantitative data. The framework may be a social science
framework or participatory-social justice framework

LEARNING CHECK!

What theoretical framework will be the basis of your

research proposal? Write a two-page framework of your study.

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Lesson 2

 Ethical and Practical Issues in

Planning Research

This lesson aims to introduce the reader to many of the practical and ethical
issues which need to be considered when planning psychological research. The lesson
discusses how to formulate suitable research questions, how to access the relevant
background research literature, and how to assess the practical and ethical feasibility
of a research study. We look at issues concerning the role of pilot work, participant
availability and recruitment, the availability of equipment and materials, the
assessment of the financial costs which are associated with conducting research, and
how to apply for research funding. We also examine how ethical principles should
always form an integral part of the planning process and, in particular, how the
welfare of participants should always be protected through confidentiality, anonymity
and the principle of informed consent. The lesson concludes with a checklist of all of
the key issues which should be considered during the course of planning a
psychological research study.

FORMULATING RESEARCH QUESTIONS

Selecting a topic to study

When planning a piece of psychological research, there is of course one particular

step which needs to be taken first, and that is to identify and select a topic to study.
There are all sorts of reasons why psychologists choose to study particular topics.
They might do so because of a personal interest in the topic or because they make a
value judgement about the importance of that topic. Or they may choose a topic for a
theoretical reason, perhaps because they have spotted an assumption or a prediction
made by a particular theory which has never been tested empirically. Alternatively,
they may have a concern with a particular social problem and want to contribute
towards the resolution of that problem, or wish to help improve the quality of life for
a particular group of individuals. All of these reasons are equally valid. Essentially,
they all boil down to an assessment that the topic which has been chosen is either
interesting, important or useful.
However, from a practical point of view, it is crucial also to take into account a
further criterion when selecting a particular topic to investigate: is it realistic and
feasible to conduct research into this topic, given the practical and ethical restrictions
on what the researcher is able to do? In order to derive an answer to this question, it is
essential to move on from the general topic to the formulation of the specific
questions concerning that topic which will be addressed by means of the research, so
that the researcher can work out precisely what is required in practice in order to
answer those questions, and can then work out whether or not these requirements can
be met.

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The need to formulate specific research questions

To take an example, the researcher might believe that aggression in children

is an important topic to study. However, selecting this general topic for research is
not sufficient to enable us to say whether the intended research is or is not feasible.
Firstly, it is necessary to state exactly what it is that the researcher wants to find out
about this topic. For example, does the researcher want to discover how aggressive
behavior in children varies as a function of age, or the factors which cause children to
be aggressive to others, or the responses which children’s aggressive behavior elicits
from other people, or what? Notice that in all cases, if the researcher’s goal is to
discover something about the topic which has been selected, then it is always possible
to state that research goal in the form of a question. How does children’s aggressive
behavior vary as a function of age? What are the factors which cause children to be
aggressive to others? What are the responses which children’s aggressive behavior
elicits from other people? If the intended goal of the research cannot be formulated as
an explicit question, or as a series of such questions, then that research does not have
a coherent goal.
Let us pursue our hypothetical example a little further. Let us assume that the
researcher decides that the question to be addressed by means of the research is the
relatively mundane one of: how does children’s aggressive behavior vary as a
function of age? Notice that it is clearly impossible for any researcher to study
children’s aggressive behavior in all contexts at all ages.
Consequently, in order to assess the feasibility of the research, the researcher
now needs to qualify the research question further by stipulating the appropriate
contexts which are of interest.
For example: how does children’s aggressive behavior in the school
playground, in the home, in the streets (say) vary as a function of age?
The feasibility of the study can now begin to be assessed against the criterion
of whether the researcher can obtain access to children in the contexts which are of
interest. The researcher also needs to specify the ages of the children who would be
studied. Would the study cover children of all ages (is this feasible?) or just children
of particular ages? (If so, of what ages, and does the researcher have access to
children of those ages?)
In addition, notice that the term ‘aggressive behavior’ must also be defined in
order to assess the feasibility of the research. For example, does ‘aggressive
behaviour’ include inflicting psychological injury on others, as well as physical
injury? If so, is it feasible to assess whether or not psychological injury has been
inflicted? Also, must aggressive acts be intentional? If so, is it feasible to assess
intentionality in children of the ages which would be studied?
Ethical considerations must also play a role in assessing the feasibility of
studying this topic. For example, most people today would consider it unethical for a
psychologist to deliberately elicit aggressive behavior from children so that the
characteristics of that behavior can be studied. This would not be feasible on ethical
rather than practical grounds. In other words, the ethical considerations which are
used to evaluate the feasibility of a piece of research change over time, and past
practices should not be used as an automatic guide to what is ethically acceptable
today. It should be clear from the example given here that, in order to decide
whether or not a particular topic which has been selected for investigation passes the
criterion of feasibility, it is essential to formulate not just research questions, but
highly specific research questions.

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However, there is an additional reason why it is necessary to formulate

specific research questions at the outset of the planning process. This is so that the
researcher can ensure, during the course of planning, that the data which are collected
will actually address the research questions which are of interest. There is very little
point in jumping directly from the identification of a general topic to the collection
of data, and then trying to articulate specific questions about that general topic
afterwards. Such a procedure is extremely unlikely to result in any of the data which
are collected being appropriate for addressing the particular questions which the
researcher will really want to ask about that topic. Instead, in order to ensure that the
data which are collected are relevant to answering the specific questions which are of
interest to the researcher, it is vital to use the spe- cific research questions themselves
to inform the design of the research from the outset, so that the researcher can be
certain that the data which are collected will actually answer those questions.

Strategies to adopt when formulating specific research questions

When thinking about specific research questions, several strategies may be

used to ensure that the questions which are formulated are suitable for the further
planning purposes for which they are required.

1. !t is always helpful to formally articulate research questions in words. If

you cannot articulate these questions in words, they are unlikely to lead to any
productive research.
2. The articulated questions should contain specifications of the particular
situations or conditions in which the phenomena of interest would be studied,
as well as specifications of the precise type of participants who would be used
in the research.
3. It is important to articulate these questions in such a way that they can be
addressed by means of a specified type of empirical evidence. This is achieved
by providing operational definitions of the concepts which are included in the
research question.
An operational definition of a concept is a statement of the activities
or operations which are needed to measure that concept in practice (or, in the
case of an independent variable, a statement of the activities or operations
which are needed to manipulate that variable in practice).
For example, if the research question is ‘How does children’s
aggressive behavior vary as a function of age?’, we need an operational
definition of the concept of ‘aggressive behavior’, that is, a statement of how it
would be measured in practice. For example, it might be defined operationally
as ‘any behavior which two or more independent adult observers classify as
having aggressive intent’ or as ‘any behavior which, when a video recording
of it is played back to the child and the child is questioned about it, the child
admits was intended to hurt another person’. Similarly, if a research question
contains references to participants’ personalities or intelligence, the concepts
of ‘personality’ and ‘intelligence’ could be operationally defined as the
measures which are obtained by using a particular personality test (such as the
EPQ) or intelligence test (such as the WISC-R), respectively.

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4. When formulating specific research questions, all such questions must be

empirically testable. For example, ‘Do different people have the same
subjective experience of the colour red?’ and ‘If a child believes in God, is
that a true or a false belief?’ are both empirically untestable questions. This is
because at least one of the concepts which each question contains cannot be
given a satisfactory operational definition (i.e. the concepts of ‘subjective
experience’ and ‘God’, respectively). Thus, the testability of research
questions is very closely linked to whether or not it is possible to provide
adequate operational definitions of their constituent concepts.

ASSESSING THE PRACTICAL FEASIBILITY OF THE

RESEARCH

Having reached this point, the research is now sufficiently well articulated to
enable the researcher to assess the practical feasibility of conducting the research.
This assessment may well lead the researcher to reject some possible designs or
methods, or even to revise some of the operational definitions or research questions,
if these now prove not to be feasible on purely practical grounds. It is therefore
essential that, at this point, the researcher systematically thinks through all of the
following issues.

1. Participants required for the research

First of all, the researcher must think through the issue of participant
availability. What type of participants, with what particular characteristics, will the
research require? Will these participants need to be in any particular location,
situation or context for the research to take place? How many participants are needed?
In answering this last question, account should be taken of the power of the statistical
methods which are to be used to analyse the data, and power tables, which are
sometimes included in statistics textbooks, should be consulted in order to help
determine an appropriate sample size.
If the answers to all of these initial questions are satisfactory, further
questions then need to be asked. Are the participants themselves willing to participate
in the research? If payment is required in order to entice the participants into taking
part in the research, is the necessary budget available?
In thinking about this issue of participant availability, there are many factors
which need to be borne in mind. For example, there are the problems of uncontrolled
participant attrition (i.e. participants dropping out of the study while it is in progress)
and participant non-compliance (i.e. participants not complying with the research
procedure). Participant attrition and non-compliance are not always a consequence of
participants being bloody-minded. In large-scale longitudinal studies, for example,
which take place over a period of many years, it is perhaps inevitable that at least
some participants in the study will move home, fall ill, or even die during the course
of the study. Of course, if there are high levels of participant attrition or non-
compliance, this leads to the sample of participants becoming systematically biased,
either for lack of mobility, or for staying power, or for willingness to co-operate with
the research procedure. Furthermore, it is always possible that such characteristics are
related in a systematic manner to the psychological phenomena which are being

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studied. The problem of non-compliance can be particularly serious in research which

involves questionnaires about a sensitive topic being mailed to participants for
completion and return. Such questionnaires may only have a return rate somewhere in
the region of 10–40%. This rate of self-selection from a sample which was originally
constructed on systematic principles represents a very serious biasing of the sample
which will inevitably affect the generalizability of the findings which are obtained.

2. Equipment and materials required for the research

In assessing the practical feasibility of the research, the researcher must also
consider very carefully all the equipment and materials which are needed for the
study to take place. If any special materials or equipment are needed, does the
researcher already have them or not? If not, and if they have to be specially purchased
or constructed, are the necessary funds available for these purposes? If the funds are
not available, could the materials or equipment be borrowed from or used at another
institution or department of psychology? If materials have to be specially designed,
or if equipment has to be specially constructed, can this be done on an appropriate
timescale? Can such purpose-built equipment be properly tested to eliminate any
possible teething and technical problems which it might have so that it will be fully
functional by the time that it is needed?
Finally, under this heading, the researcher should consider whether he or she
needs time to learn how to use the relevant materials and/or equipment. For example,
it can take a lot of time for a novice to learn how to customize computer software (e.g.
for presenting visual stimuli to participants, or for recording participants’ reaction
times) or to learn how to administer and score a standardized psychometric test. If
time is required for mastering the materials or the equipment, it is important that the
timetable for the research is drawn up in such a way that it allows an adequate
amount of time for these purposes.

3. Consumable items required for the research

The researcher also needs to think through, at the planning stage, all the
consumable items which will be needed for the research (i.e. items which will be
completely used up during the course of conducting the research). It is important that
all consumables are properly costed to ensure that the funds which are required in
order to conduct the research do not exceed the total budget available for the research.
For example, any photocopying (of, for example, interview schedules or
questionnaires), postage (for mailing out postal questionnaires), video or audio
recording tapes, computer disks, computer printing, etc. should all be properly costed
out in order to ascertain whether the budget is sufficient for conducting the research

4. Other costs which may be incurred by the research

Finally, there may be other costs involved in conducting the research. For
example, will the researcher be able to conduct all the work on his or her own? If it is
necessary for the researcher to have assistance from others in conducting the research,
and if the people who provide this assistance need to be paid for their time, are the
funds available to pay these people at the appropriate rate? For example, if the
researcher needs help to collect the data (e.g. to help interview participants, to make
independent observations of participants, or to act as stooges in an experiment), or if
assistance is needed in coding the data (e.g. for running checks on the reliability of the
coding), it may be necessary to pay the people who provide this help. If so, the total
number of hours of assistance which will be needed must be properly costed in

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advance, in order to see whether the research can be conducted within the budget
which is available.
Also, if the researcher and/or any person assisting them needs to travel from
their normal place of work to another location in order to test participants (e.g. to a
school or to a hospital), this will require funds to cover the costs of the travel and of
any subsistence which might be needed by the researchers (such as food or overnight
accommodation). Once again, the costs involved need to be worked out in advance,
taking into account the location of the participants, the size of the sample, and the
length of time that it will take to collect the data from each participant. Once again,
the research will only be feasible if the total budget avail- able to the researcher is
able to cover these costs.

5. Pilot work
Let us assume that the researcher has run through all the preceding checks on
participant availability and access, the availability of materials and equipment, and
the availability of the funds which are needed to cover consumable costs, research
assistance costs, and travel and subsistence costs. If all of these considerations
indicate that the research is feasible, it is often extremely useful to then conduct pilot
work, in order to try out the methods, materials, equipment, etc. in advance of running
the full-scale study itself.
Such pilot work should be conducted using a smaller group of participants
who have similar characteristics to those of the participants who will be used in the
main study itself. Pilot work can be used to test out the various operational definitions
and research methods which are still under active consideration, and to see if some of
these methods and definitions are more useful or are simpler to administer than others.
Pilot work can also be used to establish whether participants understand
instructions, to ascertain how much time it takes to test each participant, to obtain
practice in administering all the tasks and in making all the necessary measurements
(ideally, the researcher should be trained to saturation before the main study
commences, so that any training effects do not contaminate the main study itself), to
find out whether tasks are sufficiently sensitive to discriminate amongst participants,
to examine whether the measures which are being made have stable measurement
properties (i.e. are reliable), etc.
It is often the case that, if a variety of different possible research methods and
operational definitions have still been under active consideration up to this point in
the planning process, the pilot work helps to sort out the more useful and reliable
methods and definitions, thereby facilitating the final selection by the researcher of
those particular methods and definitions which will be used in the main study itself.

6. Identifying the statistical analyses needed and rechecking the sample

size
Once the research design, operational definitions, and methods of data
collection have been selected for use in the study, it is then essential for the researcher
to identify in advance the types of data which will be collected, and the types of
statistical analyses which will be performed on those data in order to answer
appropriately the research questions which have been posed. The choice of statistical
analyses will be determined by the research design, by the type of data which will be
collected, and by the research questions which are being asked. Having selected
appropriate methods of analyzing the data, it is then necessary, at the planning stage,
to check back to the sample size which is being planned, and to the availability of the

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participants who are required for the study. It is vital to do this, in order to ensure that
sufficient data will be collected from a large enough sample to enable the proposed
statistical analyses to detect the relationships and effects which are being sought,
assuming they are present in the data.

7. Formulating a timetable
Another important aspect of planning research systematically is the
formulation of an explicit timetable for the research. This timetable needs to contain
all the intermediate staging posts, and their deadlines, which will punctuate the
research (e.g. when the data collection will begin and end, when data coding will
begin and end, when the statistical analyses will be conducted, when the research will
be written-up, etc.).
In producing this timetable, it is essential to adopt a realistic stance, and to
allow sufficient time for all the component activities which are involved, including
any final piloting that may be required, the time that may be required for training
additional researchers, the time needed for recruiting participants, the time needed for
testing all participants or for collecting all data (Does this involve testing all
participants simultaneously, or in sequence? Will you have to wait for participants to
make their returns of a mailed questionnaire through the post? Is it necessary to build
in time for the replacement of participants who fail to attend for testing or fail to reply?
etc.), the time which is needed for debriefing participants, transcribing any data from
audio or video recordings, coding the data, running reliability checks upon the data
coding, entering the data into the computer, analyzing the data, interpreting the results
of the analyses, and writing the report.
Having produced an explicit timetable with a realistic estimate of the amounts
of time needed for all the component activities, it is then necessary to go back yet
again and recheck the availability of participants, equipment and all other resources
which will be used for the research. In particular, it is essential to check that
participants, equipment and resources will be available at the times which are required
according to the timetable that has been worked out. After all, if the participants, for
example, are not available for testing when the timetable stipulates (e.g. if
schoolchildren are required for testing during a school’s summer vacation), then, quite
simply, it will not be feasible to conduct the research on that timetable. If there are
any problems concerning participant, equipment or resource availability, then it is
necessary for the researcher to revise either the timetable or the content or structure of
the study itself so that it fits into a feasible timetable.

ASSESSING THE ETHICAL FEASIBILITY OF THE

RESEARCH

In the preceding section, we considered issues concerning the practical

feasibility of a piece of research. The present section considers issues which are to do
with the ethical feasibility of a piece of research. It is quite possible that a research
study is feasible on practical grounds, but is unfeasible because it would be judged to
be unethical to conduct that study. The criteria which ought to be used by
psychologists in order to assess whether a particular study is or is not ethically
acceptable have been formalized in statements issued by the British Psychological
Society (BPS, 2004),by the American Psychological Association (APA, 1992), and
the Psychological Association of the Philippines (2009) – see Section 2.8. Any person

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who is intending to conduct psychological research should obtain a copy of, and
should study in full, one or other of these two statements (or an equivalent statement
which has been issued by a corresponding professional body). The postal addresses
and websites from which the BPS and the APA statements may be obtained are given
at the end of this chapter. The following account draws heavily upon the principal
criteria which are contained in the current BPS, APA, PAP statements:
1. The protection and welfare of participants
A fundamental principle which underpins all ethical codes relating to
psychological research is that psychologists must always consider the welfare of the
participants who take part in their research, and must protect them from being either
physically or mentally harmed by the research process. In practice, this means that the
risk of harm to someone who participates in a psychological study should normally
never be greater than the risks which that person would encounter during the course of
their normal lifestyle. If there are any aspects of the study which might result in any
harm or undesirable consequences for the participants, the researcher has a
responsibility to identify and remove or correct these consequences. If this is not
possible, and if there is a risk that the participants in the research will suffer in any
way, either physically or psychologically, as a result of the research, then that
research would normally be considered to be ethically unacceptable.
Of course, there are certain types of psychological research where the risk of
harm, unusual discomfort, or other negative consequences for the participant’s future
life might occur or might be greater than in everyday life (e.g. in certain types of
psychopharmacological studies, there may be unanticipated side-effects of the drugs
which are administered to participants). In such cases, the researcher must always
obtain the disinterested approval of independent advisers before the research takes
place (usually this advice is obtained from an independent ethics committee, either of
the university or of the hospital in which the research is based). In addition, in such
cases, the participants must be fully informed of the possible risks to them, and real
informed consent must be given by each participant individually.

2. The principle of informedconsent

More broadly, the ethical principles stipulate that, wherever it is possible,
researchers should inform participants in psychological research of all aspects of that
research which might reasonably be expected to influence their willingness to
participate in that research; in addition, researchers should usually explain any aspect
of the research about which a participant inquires. Thus, when a participant agrees to
participate in a study, that person’s consent should normally be informed by
knowledge about the research. This is the principle of informed consent.
In some cases, of course, participants may be unable to give informed consent.
This is the case whenever the research involves either young children or adults with
impairments in understanding or communication. In all such cases, informed consent
should instead be given either by parents or by those in loco parentis. In addition, it
may be necessary in such cases (depending upon the potential risks to the participants)
also to obtain advice and approval from an independent ethics committee. If such
permission or approval cannot be obtained, then the study would be considered to be
ethically unacceptable and ought to be either revised or abandoned.
It is important to bear in mind, when considering the application of the
principle of informed consent, that a researcher is often in a position of authority or
influence over the participants. This position should never be used to pressurize the

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participants to take part in, or to remain in, an investigation. Similarly, the payment
which may be offered to participants should not be used to induce them to accept risks
which they would not normally accept in their everyday life without payment.

3. The use of deception

In the case of some psychological studies, however, it is simply not possible to
tell the participants everything which they could be told about the study because, if
they had knowledge about the actual purpose of the investigation, they might alter
those critical aspects of their behaviour which are of interest to the investigator,
thereby undermining the purpose of the study. Alternatively, it is some- times simply
impossible to study a particular psychological process without deliberately misleading
the participants. According to section 4, paragraph 1 the BPS ethical principles (BPS,
2004), the basic guidelines which should be followed in all such situations are the
following:
The withholding of information or the misleading of participants
is unacceptable if the participants are typically likely to object or
show unease once debriefed. Where this is in any doubt, appropriate
consultation must precede the investigation. Consultation is best
carried out with individuals who share the social and cultural
background of the participants in the research, but the advice of
ethics committees or experienced and disinterested colleagues may be
sufficient.
However, the principles also add that the intentional deception of participants
ought to be avoided wherever this is possible. Consequently, the researcher should
always first consider whether there are alternative procedures available which do not
require deception. If no such alternatives are available, and if it is judged that the
intended deception is an ethically permissible procedure, then the participants should
be debriefed at the earliest opportunity.

4. The debriefing of participants

In all studies where participants are aware that they have taken part in an
investigation, after the data have been collected, the participants should be given any
information which they might need or request concerning the nature of the study.
The researcher should also discuss with the participants their experience of the
research process, so that if there are any unintended or unanticipated effects of the
research, these can be monitored. Researchers also have a responsibility to ensure that,
if any active intervention is required to negate the effects of an investigation upon
a participant, such intervention is provided before the participants leave the
research setting. Consequently, when drawing up the timetable for the research for the
purposes of assessing whether or not the research will be feasible on practical
grounds, sufficient time must be built into that timetable to allow for the debriefing of
participants after testing, wherever this may be necessary.

5. Participant’s right to withdraw from an investigation

Researchers should also make it clear to participants at the outset of the study
that they have a right to withdraw from the research at any time, irrespective of
whether or not payment or any other inducement has been offered. In the case of
children, their avoidance of the testing situation ought to be taken as evidence of a
failure to consent to the research procedure, and should be acknowledged.

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Furthermore, the ethical principles state that participants should always have
the right to withdraw any consent which they may have given previously to
participate in the study, either in the light of their experience of the investigation, or
as a result of their debriefing. In such cases, participants also have a right to require
that any data pertaining to themselves, including any recordings, be destroyed.
Obviously, if a large proportion of the participants exercise this right in any
individual study, a sampling bias will be introduced to the study which could limit the
generalizability of the results. However, this is a limitation which the researcher must
accept, as the retention and use of the data which were provided by a participant
who has subsequently withdrawn his or her con- sent is an ethically unacceptable
practice.

6. The invasion of privacy in observational research

Research which is based upon the naturalistic observation of participants in
their everyday settings raises particular ethical concerns, because in such studies
informed consent may not be given by the participants. Such studies must, therefore,
respect the privacy and psychological well-being of the participants who are studied.
Furthermore, if consent is not obtained in advance, observational research is only
acceptable in places and situations where those observed would expect to be observed
by strangers. Particular account should always be taken of local cultural values, and of
the possibility that the participants might consider it to be an invasion of their privacy
to be observed whilst believing themselves to be unobserved, even though they are in
a normally public place.

7. Confidentiality and anonymity of data.

The ethical principles stipulate that all information which is obtained about a
participant during an investigation must be confidential unless it has been agreed
otherwise in advance. All participants in psychological research have a right to expect
that the information which they provide will be treated confidentially and, if
published, will not be identifiable as theirs. If such confidentiality or anonymity
cannot be guaranteed, then the participant must be warned of this before he or she
agrees to participate in the study.
In addition, it should be noted that, when data about an individual person are
stored on a computer in such a form that the individual is personally identifiable, then
the researcher storing those data must comply with the provisions of the Data
Protection Act. This Act is designed to ensure that those who use computerized
information (and some paper records) about identifiable individuals are always open
and honest about their use of that information and follow sound and proper practices.
This involves notifying key details about their use of the information, who makes
these details publicly available in a register. For researchers who work within an
institution, such as a university, there is usually an institutional administrator who
handles these matters.

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Box 2 A checklist of all the practical and ethical matters which should be taken
into account when planning a piece of research systematically

 Is the research based upon an adequate review of the existing literature?

 Is the research based upon coherent research questions?
 Have the various concepts which are included in the research
questions been given suitable operational definitions?
 Are the proposed research design and methods appropriate for
answering the research questions?
 Are the proposed research design and methods clearly defined and feasible?
 Are the intended participants for the research likely to be available
to the researcher?
 Has sufficient attention been paid to the potential problems of
participant attrition and participant non-compliance, and are suitable
procedures in place to deal with these problems?
 Does the researcher have access to all of the equipment and
materials which are required for the research, if the costs for these
are not being requested from a funding agency?
 Has appropriate pilot work been conducted in order to test the
feasibility of the research methods which are going to be used?
 Are appropriate methods of analyzing the data being proposed?
 Is the sample large enough for all of the statistical analyses which
are being proposed?
 Is the proposed timetable for all the different stages of the research
appropriate, feasible and realistic, and will the participants,
equipment and other resources be available to the researcher at the
time when they are required according to this timetable?
 Have the welfare and the protection of the participants, and any foreseeable
risks to either the participants or the researcher, been considered in
an appropriate manner?
 Will the principle of informed consent be implemented in an appropriate manner?
 Has the potential deception of the participants been kept to a
minimum, given the goals of the research?

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Box 2 (Continued)

 Will the participants be debriefed after the research in an appropriate manner?

 Will the participants be given the right to withdraw from the study?
 Will the data from the study be treated confidentially and anonymously?
 Will the research take due notice of locally existing legal requirements (such
as the Data Protection Act in the UK)?
 Have the possible deliverables and outcomes of the research been considered
in an appropriate manner?

In the case of research proposals which are submitted to external funding bodies,
the following additional questions also come into play:

 Is the research likely to make a significant, original and distinctive contribution

to our knowledge of the topic, or to advance research methods or theory in a
significant way?
 Does the proposal show that the applicant is aware of the full range of previ-
ous research which has been conducted on the topic?
 Are the costs which are being requested from a funding agency necessary and
appropriate, and does the research represent good value for money?
 Have appropriate plans been made for the dissemination of the findings of the
research?
 Have appropriate plans been made to engage potential users of the research
findings (e.g. government departments, social policy makers, commercial
users) in the design and the dissemination of the research?

LEARNING CHECK!

Plan your research based on the practical issues and ethical consideration in
conducting psychological research.

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 MODULE SUMMARY

In module I, you have learned about the broad overview of research, theory and the methods
in research, as well as the practical issues and ethical considerations in planning for research. There are
two lessons in module I. Lesson 1 focused on the meaning, concepts of research, theory and its use.
Lesson 2 deals with the different practical issues and ethical considerations in planning for
psychological research.
Congratulations! You have just studied Module I. now you are ready to evaluate how much
you have benefited from your reading by answering the summative test. Good Luck!!!

 SUMMATIVE TEST
1. Explain what is research and theory. How do these two concepts interrelated?
2. Give examples of issues and ethical considerations in planning for research based on the research
topic that you want to conduct.

Module 1 Field Methods in Psychology