Week 8 - Assignment 1: Research Ethics and Article Critique and Week 8 - Assignment 2: Complete CITI Certification

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Research Methods

for Social Workers

A Practice- Based Approach

T H I R D E D I T I O N

Samuel S. Faulkner

Cynthia A. Faulkner

C o p y r i g h t 2 0 1 9 . O x f o r d U n i v e r s i t y P r e s s .

A l l r i g h t s r e s e r v e d . M a y n o t b e r e p r o d u c e d i n a n y f o r m w i t h o u t p e r m i s s i o n f r o m t h e p u b l i s h e r , e x c e p t f a i r u s e s p e r m i t t e d u n d e r U . S . o r a p p l i c a b l e c o p y r i g h t l a w .

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1 Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education

by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and certain other countries.

Published in the United States of America by Oxford University Press 198 Madison Avenue, New York, NY 10016, United States of America.

First Edition published in 2009 Second Edition published in 2016 Third Edition published in 2019

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You must not circulate this work in any other form and you must impose this same condition on any acquirer.

Library of Congress Cataloging- in- Publication Data Names: Faulkner, Cynthia A., author. | Faulkner, Samuel S., author.

Title: Research methods for social workers : a practice- based approach / Samuel S. Faulkner, Cynthia A. Faulkner.

Description: Third edition. | New York, NY : Oxford University Press, 2019. | Cynthia A. Faulkner appears as the first named author on earlier editions.|

Includes bibliographical references and index. Identifiers: LCCN 2018015252 (print) | LCCN 2018016001 (ebook) |

ISBN 9780190858957 (updf) | ISBN 9780190858964 (epub) | ISBN 9780190858940 (pbk. : alk. paper)

Subjects: LCSH: Social service— Research— Methodology. Classification: LCC HV11 (ebook) | LCC HV11 .F37 2019 (print) |

DDC 361.0072/ 1— dc23 LC record available at https:// lccn.loc.gov/ 2018015252

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CONTE NTS

Preface ix Acknowledgments xi About the Authors xiii

1. What Is Research? 1 Importance of Social Work Research 1 Defining Research 2 Ways of Knowing 3 Qualitative, Quantitative, and Mixed- Method Research 4 Developing Your Research Questions 6 What Is a Hypothesis? 7 Research Designs 8 Strengths and Limitations of Research 10 Case Scenario 10 Critical Thinking Questions 11 Key Points 11 Practice Exam 12

2. Ethical Considerations 13 Historical Overview 13 Respect for Individuals 14 Beneficence 20 Justice 22 Other Ethical Considerations 23 Case Scenario 25 Critical Thinking Questions 26 Key Points 26 Practice Exam 26

3. Qualitative Research Designs 28 How Is Qualitative Research Used? 28 Descriptive Inquiry 29 Speculative Inquiry 30 Qualitative Research Methods 30 Data Collection 35 An Example of a Qualitative Study 39

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vi C O N T E N T S

Case Scenario 47 Critical Thinking Questions 48 Key Points 48 Practice Exam 50

4. Literature Review 52 What Is a Literature Review? 52 Step 1: Conducting Your Search for Research Articles 54 Step 2: Choosing Your Articles 55 Step 3: Reviewing Your Articles 56 Step 4: Organizing Your Search Results 60 Step 5: Developing a Problem Statement or Hypothesis 64 Step 6: Compiling Your Reference Page 65 Case Scenario 67 Critical Thinking Questions 67 Key Points 67 Practice Exam 68

5. Quantitative Research Designs 69 Getting Started 69 Developing a Testable Hypothesis 70 What Is Descriptive Research? 70 Correlation Versus Causation 71 Data Collection 72 Cross- Sectional and Longitudinal Designs 72 Group Research Designs 74 Case Scenario 80 Critical Thinking Questions 80 Key Points 81 Practice Exam 81

6. Variables and Measures 83 Variables in Research Design 83 Viewing and Using Variables 84 Types of Variables 84 What Is a Measure? 87 Defining and Operationalizing Measures 87 Levels of Measurement 88 Reliability and Validity in Measurement 92 Case Scenario 96 Critical Thinking Questions 97 Key Points 97 Practice Exam 98

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C O N T E N T S vii

7. Sampling 99 What Is Sampling? 99 Random Selection and Random Assignment 100 Sample Size: How Many Is Enough? 100 External and Internal Validity 101 Probability Sampling 103 Probability Sampling Techniques 103 Sampling Error 106 Nonprobability Sampling 106 Limitations of Nonprobability Sampling 107 Case Scenario 108 Critical Thinking Questions 108 Key Points 108 Practice Exam 109

8. Survey Research 111 Defining Survey Research 111 Appropriate Survey Topics 112 Developing a Survey 112 Administering Surveys and Expected Rates of Returns 121 Advantages and Disadvantages of Survey Research 124 Case Scenario 125 Critical Thinking Questions 125 Key Points 125 Practice Exam 126

9. Evaluative Research Designs 127 Program Evaluation 128 Process Evaluation 128 Outcome Evaluation 132 Strengths and Weaknesses of Program Evaluation 135 Practical Considerations and Common Problems 136 Case Scenario 137 Critical Thinking Questions 138 Key Points 138 Practice Exam 138

10. Single- Subject Design 140 What Is a Single- Subject Design? 140 Elements of Single- Subject Design Research 141 Types of Single- Subject Designs 144 Strengths and Limitations of Single- Subject Designs 147 Case Scenario 147 Critical Thinking Questions 148

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viii C O N T E N T S

Key Points 148 Practice Exam 148

11. Introduction to Descriptive Statistics 150 What Is Data Analysis? 150 The First Step of Data Analysis 150 Descriptive Analysis 152 Strengths and Limitations of Descriptive Statistics 160 Case Scenario 161 Critical Thinking Questions 161 Key Points 161 Practice Exam 162

12. Introduction to Inferential Statistics 164 What Are Inferential Statistics? 164 Four Types of Correlation 165 Determining the Strength of the Correlation 166 Probability Values and Confidence Intervals 167 Parametric Statistics 167 Nonparametric Statistics 174 Strengths and Limitations of Inferential Statistics 176 Which Statistical Program Is Right for Me? 176 Case Scenario 177 Critical Thinking Questions 177 Key Points 177 Practice Exam 178

13. Practicing Your Research Skills 180 Example of a Research Proposal 180 Example of a Research Report 190

Answers to Practice Exam 205 Glossary 217 References 227 Index 229

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PR E FACE

Welcome to the third edition of Research Methods for Social Workers: A Practice- Based Approach. When we set out to write the first edition (now almost fifteen years ago) we had two major goals in mind: to create a research text that students would be able to understand and a book that they would actually read. Now, after the first edition in 2009 and the second edition in 2014, we have attempted, with each new edition to make the book even more user friendly and helpful, to you, the reader. The feedback from students has been gratifying and rewarding. Students tell us over and over that they appreciate this text because it makes re- search accessible to them— they actually read it and understand it.

At the same time, after having used the book (and garnering candid and appreciated feedback from other faculty who use the text), we have made some important additions and changes to the original text (while staying true to the readable and understandable style of the first edition). The order of the chapters is rearranged (not for the sake of having a new edition but because we feel this better fits the flow of introducing and developing the concepts of the research process). Also, in this edition, we have included some much- needed information to meet the changing and evolving standards of social work education.

As we continue to teach from this book, it continues to evolve and grow based on comments from students and other faculty members. We appreciate the thoughtful comments from our students and colleagues. A special thank you goes out to Daniel Weisman, Professor of Social Work at Rhode Island College of Social Work, for his thoughtful comments and feedback— much of which we incorporated into this edition.

In short, we feel this new edition will be even more valuable in helping you to teach research methods to your students. As you use this book, we invite comments, feedback, suggestions, and other responses to help us know how we might improve future editions (and what you like or don’t like about this current edition). As fellow educators, we want to be as responsive and helpful as possible.

Thanks, Sam and Cindy Faulkner

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ACK NOW L E DGM E NTS

As with most writings, there are many people who contributed their time and expertise to this text. A special thank you goes to our colleagues and friends, Lisa Shannon and Lynn Geurin, associate professors of social work at Morehead State University, Kentucky, who have given valuable feedback and support. Our gratitude goes to David Follmer, consultant to Oxford University Press, for his encouragement and patience in the rewrite of the third edition of this book. We want to thank Daniel Weisman, Professor of Social Work at Rhode Island College of Social Work, for his thoughtful comments and feedback— much of which we incorporated into this edition. And special thanks go to our children (Wayne, Shay, Christina, Alisa, McKennzie, and Ezra) for inspiring us to be life- long learners and our fourteen grandchildren (so far), and our great- grandson for helping us stay young. “I can do everything through God who gives me strength” (Phil. 4:13).

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A BOUT TH E AUTHOR S

Cynthia A. Faulkner has served as full- time social work faculty since 2001. She recently retired as Professor from Morehead State University after sixteen years of service to relocate to Corpus Christi, Texas, where she is near family. She is now serving as Professor and Program Director of the new online MSW pro- gram at Indiana Wesleyan University. Her previous titles include eight years as Field Education Coordinator and three years as BSW Program Coordinator. Dr. Faulkner has developed multiple online social work, courses including those used for a Chemical Dependency minor, and she is a Certified Quality Matters Reviewer. Dr. Faulkner has also taught many study- abroad classes, taking students to England, Scotland, and Ireland to study child maltreatment with a specialty in abuse by priests. She is the co- author of a textbook under contract titled Addictions Counseling: A Competency- Based Approach (Oxford University Press).

Samuel S. Faulkner has been full- time faculty in social work since 2001 and re- tired as Professor from Morehead State University in June 2017. Now relocated in Corpus Christi, Texas, he is employed as Associate Professor at Texas A&M— Kingsville teaching in their new MSW Program. Previously, he has served as BSW Program Coordinator, Director of International Education, and thirteen years as Chair of the IRB. Dr. Faulkner served as Campus Representative to the Board of Directors for the Cooperative Center for Study Abroad from 2006 to 2014, and he was the onsite administrator for multiple programs including London Summer, London Winter, Ireland Summer, and Australia Summer. Dr. Faulkner created the first Chemical Dependency Minor in the Commonwealth of Kentucky. He has taught research courses, and he is co- author of a textbook under contact ti- tled Addictions Counseling: A Competency- Based Approach (Oxford University Press).

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Research Methods for Social Workers

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What Is Research?

R esearch has become an increasingly valuable tool for social work practitioners and scholars. Research is a systematic and methodolog- ical approach to creating knowledge. In social work, research is instru-

mental in the development of effective practice outcomes, or the outcomes of professional activities that are designed to improve or change the well- being of an individual, agency, or other system. For instance, we can research an issue concerning practice accountability, such as whether an intervention is effective, or we can measure an issue related to the characteristics of an agency population, such as changes in the ages of substance abuse admissions over time. Measuring practice accountability and monitoring agency populations both provide in- formation that can be used to create evidence- based practices. Evidence- based practices are practices whose efficacy is supported by evidence. In this chapter, we will discuss why research is important in social work practice and what re- search entails, critically examine ways of knowing, define the two fields of re- search, and provide an overview of four methods of research.

IMPORTA NCE OF SOCIA L WORK RESEA RCH

Perhaps you are asking yourself something along the lines of “Why should I have to take a class in research? After all, I am interested in working with people. I could care less about research methods.” The reality is that research is gaining an increasingly important place in the practice of social work. For instance, managed care companies, insurance companies, and consumers themselves are demanding that social workers be able to demonstrate not only that the techniques, methods, and practices that they employ are useful and effective, but also that these practices can be used effectively in other settings and with other populations. Gone are the days when a social worker could rely on per- sonal intuition and undocumented outcomes as proof that his or her practices were effective. In fact, the Code of Ethics of the National Association of Social Workers has an entire section on evaluation and research. Section 5.02 stresses

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2 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

that “Social workers should monitor and evaluate policies, the implementation of programs, and practice interventions.” In addition, “Social workers should promote and facilitate evaluation and research to contribute to the development of knowledge” (National Association of Social Workers, 1999).

There are other reasons why researchers are compelled to adopt more rigorous ways of measuring the effectiveness of social work practice. In difficult eco- nomic times, as programs are experiencing a decrease in funding, it is becoming increasingly important to utilize evidence- based practices to demonstrate accountability. An increasing number of both government and private grant- funding sources are requiring evaluation components to be incorporated into grant proposals. In this age of shrinking dollars, foundations and governmental funding agencies want assurances that money is spent in the most effective way possible. Program evaluation can help agencies obtain or retain grants and other such funding by demonstrating program success. When writing proposals and developing new programs, social workers need to have at least a basic under- standing of how to carry out a program evaluation.

Additionally, by researching specific social problems, social workers can be- come agents of macro change. Social workers can devise social policies and large- scale interventions to alter inequality and injustice in their agencies and communities. For instance, a social service agency identifies a significant amount of no- shows for job- skills training appointments. The agency conducts a tele- phone survey to identify barriers that prevent clients from keeping appointments and discovers that lack of access to transportation is the most significant barrier and lack of child care the second most significant barrier. In response to these findings, an agency policy is developed to provide taxi tokens and child care vouchers to consumers with financial need.

DEFINING RESEA RCH

With that in mind, we turn to the question “What is research?” Chances are, you are already a researcher and do not know it. We often use research methods without actually labeling what we are doing as research. For example, think back to the last time you were going to see a movie. If you have ever solicited a review from a friend or read a review in a paper or magazine and then based your deci- sion to see the film on the reviewer’s opinion, you were utilizing research meth- odology. Similarly, if you have ever consulted a newspaper or a local television station for information about the weather so that you could decide how to dress for the day, you are utilizing research methods.

Research is, in its simplest form, the assimilation of knowledge and the gath- ering of data in a logical manner in order to become informed about something. We often consult with others whose opinions we value (friends, experts, etc.) and then make a decision based on our informed judgment. The process of conducting research is essentially the same, but much more thorough.

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What Is Research? 3

WAYS OF K NOWING

The Code of Ethics of the National Association of Social Workers (1999) states that “Social workers should promote and facilitate evaluation and research to contribute to the development of knowledge” (section 5.02b). Have you ever wondered how we gain knowledge (how we know what we know)? Here, we will discuss four ways in which knowledge can be gained.

First, we can use our own experiences to gain knowledge. Simply by trial and error we can gradually make decisions about a problem and eventually de- velop enough knowledge to solve a problem. For instance, you require a cer- tain amount of sleep at night to feel rested the next day. A pattern of sleep experiences over time provides you with enough information to determine the specific amount of sleep you require. However, in social work practice, personal experiences can be misleading because our experiences and the experiences of our consumers may be different, just as others may need more or less sleep than you do.

Second, we can rely on the knowledge of others. Agency supervisors and other coworkers who have years of practice experience can be important sources of knowledge. Many have developed tried- and- true practices that have over time become evidence- based practices. For instance, a supervisor explains that a par- ticular judge prefers for documentation on a case to be presented in a certain way and that this practice increases the possibility of a positive outcome in court. In addition, consulting an expert or some authority in a field outside our own ex- pertise can help us make better practice decisions.

However, if we rely on faulty information, we may be taking misperceptions as truth. For instance, many self- help books are available on how to intervene with an active alcoholic. While many are reliable resources, authors without evidence- based practice experiences may be offering advice that is based on just one person’s experience. Therefore, you must look at the qualifications of the person who is offering advice and ensure it has been shown to be reliable and valid through repeated positive outcomes.

Third, we can rely on traditions. Tradition provides us with knowledge passed down over time. Many new social work practitioners are indoctrinated into agency practice through the established practices of those who have worked there over time. For instance, agency traditions may include weekly team meetings to staff cases, debriefing with a supervisor after a difficult assessment, and identifying caseload counts to ensure equitable distribution. These practices have proved to increase accountability, reduce turnover rates, and monitor workloads, all of which are beneficial. However, there are traditions that are not best practices. For instance, taking consumer files home to work on, giving consumers our home or cell phone numbers, and standardized group notes are practices that can bring up issues of confidentiality, boundaries, and lack of individualized documentation. We have to be careful when relying on tradition, however. Just because a practice or tradition is “how it has always been done” does not make

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4 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

it a best practice. In some ways, tradition is the least reliable source for gaining knowledge.

The fourth way to gather knowledge is by using scientific methods to answer our questions. By researching our questions, we can increase our knowledge about a particular issue or population. It should be noted that one misconception about research is that studies are large experiments that are able to solve whole problems. The truth is that the research process involves small incremental steps. Each study adds a small piece of information to the whole. The process is much like painting a picture. Each brushstroke, each dab of paint, adds a small amount of detail until eventually a coherent picture emerges. Each stroke or dab of paint, standing alone, may not represent much, but when all the dabs of paint are viewed together as a whole, we see a picture. Research studies, by themselves, may only explain a small part of the whole, but, when linked together with other studies, they begin to help us see a larger picture or describe an occurrence. For example, there is a plethora of child maltreatment research. Some studies may examine characteristics of the abusers, others the abused children, and still others the family dynamics of families in which child abuse is occurring. Each study is a small part that contributes to our understanding of child maltreatment.

Therefore, one study is not sufficient to apply to everyone. Different studies may have different— and sometimes opposite— findings because of the specific characteristics of the populations being researched. For instance, a child protec- tion agency in a large urban city may report a high percentage of parents using street drugs, whereas a small rural community may report a high percentage of parents using prescription drugs. As you can see, the findings of the larger urban study do not apply to the rural study because the characteristics of the populations are different.

In summary, it is important to explore all possible ways of knowing about social work practice. The Code of Ethics of the National Association of Social Workers (1999) emphasizes that “Social workers should critically examine and keep current with emerging knowledge relevant to social work” (section 5.01c). Critical examination of personal experiences, the experiences of others, traditions, and research methods can contribute to evidence- based practices in social work. The ability to use critical thinking to determine how reliable the information is an important skill for all social work practitioners. Incompatible findings are the result of different decisions made by researchers, and this book will teach you to determine which studies are relatively better.

QUA LITATIVE, QUA NTITATIVE, A ND MIXED- METHOD RESEA RCH

There are two overarching ways of gathering data, or fields of research. These are qualitative research methods and quantitative research methods. Qualitative research is concerned with developing knowledge where little or none exists and uses words, observations, and descriptions to develop this knowledge.

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What Is Research? 5

Quantitative research is concerned with expanding knowledge that already exists and using numerical data to report the findings from the research. But perhaps you want to use both qualitative and quantitative methods, or a mixed- method design, in your research. Mixed- method designs allow researchers to design a study using both qualitative and quantitative methods by using numer- ical and textual data.

Qualitative Research

Social work is a profession that owes a large debt of gratitude to many other disciplines. Anthropology, psychology, sociology, and medicine have all contributed to the development of our profession. One of the areas in which this becomes exceedingly clear is the field of qualitative research. Qualitative research has deep roots in the fields of anthropology and sociology, where the development of rigorous and exact methods for fieldwork has long been fostered.

The use of qualitative research methods is debated among social work practitioners, faculty, researchers, and other professionals. It is generally agreed that qualitative research is employed when little or nothing is known about a subject or when the researcher wants to gain an in- depth understanding of a person’s experience. Some may argue that qualitative methods are better suited to studies on complicated topics such as a person’s comfort level with death, how it feels to be unemployed, or how a child views the drinking habits of an al- coholic parent. Qualitative research primarily relies on information generated from observations of the researcher and discussions and interviews with study participants. However, researchers engaged in qualitative research might also gather some descriptive information such as the demographics of participants and their settings in order to place their experiences within a context. In their simplest form, qualitative research methods are used to help us understand the characteristics of a phenomenon. Often this type of research uncovers these characteristics by focusing on the ideas of the people involved.

As an example, let us imagine for a moment that you are a case manager in a community health agency and the year is 1982. You have noticed that a large number of your consumers who report being intravenous drug users are also suffering from a strange new illness that seems to impair their immune system. You may be aware that acquired immunodeficiency syndrome (AIDS) was a rel- atively unknown disease in 1982 and that scientists were just beginning to un- derstand the causes of the transmission of this disease. As a case manager, you may want to design a qualitative study that will help you explore the experiences of those who are suffering from this disease by interviewing people living with AIDS (recording their own words). You may also want to collect some demo- graphic information such as sex, age, race, and length of illness to describe their experiences within the context of the research population.

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6 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

Quantitative Research

Advocates of quantitative research argue that it is only through the use of methods that report numerical representation that the social sciences can be- come truly valid. Quantitative research seeks to explain relationships between two or more factors. The aim of quantitative research is to determine how one thing (a variable) affects another in a population. A variable is any attribute or characteristic that changes or assumes different values. Variables can represent subject characteristics (e.g., age, race, sex) or the things you are really interested in (e.g., agency performance; rate of relapse in addiction treatment; physiolog- ical, psychological, or sociological causes of child maltreatment). Variables can also represent the effect of any intervention that subjects receive, such as a cul- tural sensitivity training.

Mixed- Method Research

Mixed- method research uses both qualitative and quantitative research designs. Using more than one research method while collecting and analyzing data in a study is called concurrent mixed- method research. When data collected through the use of one type of research design provide a basis for the collection of data using the other type, this is called sequential mixed- method research. There are several reasons to use a mixed- method design. Among these are that it can test the consistency of findings obtained through different forms of data collection. This is referred to as triangulation; this means that the findings from the methods used are consistent and support each other. Or a researcher might use a mixed- method design because it allows him or her to use qualitative methods to add richness and detail to the results obtained from the use of quantitative methods. Researchers may also choose a mixed- method design so they can use results from one method to shape subsequent methods or steps in the research process. This is frequently seen when a qualitative study is used to shape a quan- titative study. In addition, mixed- method research can be used as a means to de- velop new research questions or to use one method to challenge results obtained through another method.

DEVELOPING YOUR RESEA RCH QUESTIONS

You may be asking yourself at this point, “Where do research questions orig- inate?” Research questions may arise from your personal experience. Thus, a person who was adopted may feel compelled to study the factors that make adoptions work well for children. Research questions may develop out of re- search articles or theories you are studying. A theory is a statement or set of statements designed to explain a phenomenon based upon observations and

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What Is Research? 7

experiments and often agreed upon by most experts in a particular field. For example, you may want to test the credibility of the claims put forth by a devel- opmental theory on aging that you learned about in one of your human behav- ior classes. Research questions may arise out of your own practice experience. Regardless of the source, most questions are born out of the researcher’s personal interest in a subject.

To illustrate this process, we may begin with an observation (“This person smiles at me and goes out of her way to help me”), then we have an idea (“This person would make a good friend”), and then we develop a question (“Does this person like me?”). We can examine this question by drawing from our past experiences, by consulting others, or by asking the person directly.

When you are developing research questions, there are some issues to keep in mind. The first thing to consider is whether the question is empirical. This means the researcher must decide whether it can be quantified. For example, a question such as “What is the best religion?” is both value laden and subjective (“the best”). As a researcher, you need to be careful to remember that we can study values in order to understand what others think, but we cannot conduct research on values in order to evaluate them. Therefore, we can approach value- laden issues through qualitative methods that are meant to deal with the sub- jective questions we would have— this would eliminate any objectivity from the research. “How many people cheat on their partner?” or “Has having an abortion prevented further unwanted pregnancies?” are both examples of questions that attempt to quantify issues of moral worth and can be measured through quan- titative methods.

WHAT IS A HYPOTHESIS?

A hypothesis is a research statement about relationships between variables that is testable and that can be accepted or rejected based on the evidence. Therefore, you can only develop hypotheses that are quantifiable. To design a study to test your hypothesis, you use quantitative research methods. Hypotheses are divided into two categories: research hypotheses and null hypotheses. The research hy- pothesis asserts that there is a relationship between the variables, and the null hypothesis claims that the relationship between the variables can be rejected. In other words, the null hypothesis is what the researcher is attempting to re- ject. For example, we may have a null hypothesis that no difference exists be- tween a treatment group and a nontreatment group after intervention. If this is rejected, then the research hypothesis that the treatment group will be different from the nontreatment group after intervention (e.g., less sick or more educated) is supported. Hypotheses are typically abbreviated as Ho (null hypothesis), Ha (research hypothesis), and H1, H2, H3 (a number is used when there is more than one research hypothesis).

Imagine that you are working at an emergency shelter with a consumer named Joe.Joe is in need of permanent housing (he has been living on the streets for

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8 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

the past two years). While you are collecting assessment history with Joe, he discloses that he has a long history of drug abuse. One initial hypothesis may be “A history of substance abuse is related to not having stable housing.” In fur- ther discussions with Joe, you explore this hypothesis with him, and he confirms that his substance abuse has interfered with his ability to seek and keep a job— a strong factor in his being homeless. You then decide to design a research study to determine if this relationship between substance abuse and homelessness exists beyond your client. You can also test a second hypothesis that looks at the rela- tionship between substance abuse and unemployment.

RESEA RCH DESIGNS

There are different designs that researchers can choose from to collect data in conducting qualitative, quantitative, and mixed- method research. Exploratory designs are exclusively grounded in qualitative research, and explanatory designs are exclusively grounded in quantitative research. Descriptive designs, evaluative designs, and single- subject designs can draw from either or both types of research.

Exploratory Designs

An exploratory design is a type of research design that allows us to use our powers of observation, inquiry, and assessment to form tentative theories about what we are seeing and experiencing. It is generally used to explore understudied topics. In essence, we need to find out about a phenomenon. By asking an open- ended question (that is, a question that is worded in a way that allows the re- spondent to answer in his or her own words as opposed to merely soliciting a yes- or- no response) and observing the environment, we can begin to identify common themes from the information we gather. For instance, imagine you are a crisis call worker shortly after the 9/ 11 terrorist attacks. You are receiving a high volume of calls from rescue workers involved in the recovery of human remains. You have little or no knowledge about this experience; therefore, you explore the callers’ experiences with them by asking questions such as “What is it like for you?” After listening to several workers, you might discover evidence of a common theme, for example, that the callers have been experiencing periods of tearfulness. Based on this evidence, you can then tell other callers that this experience appears to be common among rescue workers.

Explanatory Designs

An explanatory design is a type of research design that focuses on examining the relationships between two or more factors and attempting to determine if

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What Is Research? 9

they are related, and, if so, in what ways and how strongly they are related. For example, you may believe there is a relationship between the amount of time students spend studying for their research methods class and their final course grade in that class. Your hypothesis might be “The more students study research methods, the better their grades in that course will be.” In fact, you would be able to find studies that have provided evidence that a relationship exists. If you were so inclined, it would be possible to design a study to examine just how strong the relationship is between hours spent studying and final course grades.

Descriptive Designs

In a sense, all research is descriptive by nature because it describes how and/ or why a phenomenon occurs. Qualitative research methods do this using words and quantitative research methods using numbers. A descriptive design is a method that can be used to seek information that uses numeric language (how many, how much, etc.) to describe a population or phenomenon. This can be used in both qualitative and quantitative methods of research. For example, if you are conducting a quantitative study of victims of domestic violence, you may want to collect information on certain characteristics, such as their average age, what percentage of them have children, and the type of abuse and how frequently is occurs. You might also ask them to interpret the severity of the last abuse epi- sode using a scale from 1 to 5. It is important to note here that although this type of research looks at patterns such as how often an event occurs or ways these answers develop in relation to each other, it does not try to address why these patterns exist.

Descriptive information is also collected during qualitative studies to help put the experiences into context with the population reporting them. For example, while conducting interviews with 9/ 11 rescue workers, you might also collect in- formation on how many of these individuals are firefighters, police officers, health professionals, volunteer civilians, and so forth. By using this mixed- method design, you may also be reporting how frequently the rescue workers reported similar textual information— for example, “Six out of ten volunteers stated they would volunteer again, regardless of the difficulties they are experiencing now.”

Evaluative Designs

Evaluative designs can also draw from both fields of research. An evalua- tive design draws from qualitative research methods when statements made in interviews and focus groups and written comments are used to describe outcomes. For instance, positive comments from a survey may be included in a program evaluation to demonstrate consumer satisfaction. Evaluative designs can also draw from the quantitative field of research. For instance, an evaluative

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10 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

design might examine how many and what type of residents were serviced at an agency over the past month.

Single- Subject Designs

Finally, a single- subject design uses systematic methodology to measure an individual’s progress over time and measures whether a relationship exists be- tween an intervention and a specific outcome. These designs can also draw from either or both methods of research. In a study using qualitative methods, the consumer’s own statement that he or she is suicidal might be used to justify an extension for mental health treatment from an insurance company.

STRENGTHS A ND LIMITATIONS OF RESEA RCH

A major strength of research is that it can help us gain an understanding of many social problems. Through research, we can gain knowledge of issues such as child maltreatment, domestic violence, and substance abuse. Another benefit is that research has led to the development of new agency policies, greater practice accountability, evidence- based treatment strategies, and new knowledge.

Research also has inherent limitations. First, research is conducted in small steps that are often repeated to build evidence. Each new study adds to the overall body of knowledge, which is considered a strength. However, knowledge is built slowly over time— not in quantum leaps. A second limitation of research is that the knowledge that it yields is confined to the questions that are asked. Only by asking enough relevant questions can we obtain useful answers. Finally, research is subject to bias. Bias is the unknown or unacknowledged error created during the design of the research method, in the choice of problem to be studied, over the course of the study itself, or during the interpretation of findings. This is not to say that the research is necessarily flawed— only limited. For example, if your study examines parents’ use of corporal punishment with their children but all your research participants are white, your findings are racially biased. Therefore, bias can be unintentional and sometimes unavoidable but must al- ways be identified as a limitation.

CASE SCENA RIO

You are a case manager working in a homeless shelter in a large metropolitan city. Assigned to your caseload is a family of four— the father, Art; the mother, Janice; and twin boys (aged seven), Matt and Justin. The mother and father are both hearing impaired. The twin sons do not have a hearing impairment, but they use American Sign Language (ASL) to communicate with their parents. Art and

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What Is Research? 11

Janice communicate with each other using ASL and communicate with you (and other hearing people) using a combination of lip reading and written notes. Both the parents were employed at a local manufacturing plant until about six months ago when they were laid off. They moved in with relatives until the relatives were no longer able to afford having an additional four people living with them. They are now homeless and living on the street. As a case manager, you wish to learn more about them, their challenges in living with a disability (hearing impair- ment), and the customs and culture of the deaf community.

CRITICA L THINKING QUESTIONS

Based on the information in this chapter, answer the following questions:

1. Which research method qualitative (exploratory) or quantitative (explanatory) would be most appropriate with your clients? Give reasons for choosing this method.

2. What are three questions that you might ask your clients that would help you to better understand them, their world, and their culture?

3. What would be at least one limitation of your findings?

KEY POINTS

• Research is the process of systematically gaining information. • Research is becoming increasingly important as governing agencies

demand evidence that programs and practices are effective. • Knowledge is gained through our own experiences, through others,

through tradition, and through the use of scientific methods. • There are two types of research methods: qualitative research methods

and quantitative research methods. When both research methods are used, this is called a mixed- method design.

• Research questions may arise from personal experience, out of research articles or theories under study, or out of practice experience and are born out of the researcher’s personal interest in a subject.

• Hypotheses are research statements about relationships between variables that are testable and that can be accepted or rejected based on the findings from a study.

• Exploratory research designs allow the researcher to use his or her powers of observation, inquiry, and assessment to form tentative theories about what is being seen and experienced.

• Descriptive research designs use descriptive language to provide information about a phenomenon.

• Explanatory research designs attempt to explain the relationship between two or more factors.

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12 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

• Evaluative research designs attempt to examine the effectiveness of programs and services.

• Single- subject designs are used to measure a person’s progress over time.

PR ACTICE EX AM

True or False

1. There are four types of research. These are qualitative, inferential, descriptive, and informative.

2. Quantitative research is usually characterized by the fact that results are reported in numerical terms (in numbers and figures).

3. The Social Work Code of Ethics promotes social workers conducting research.

Multiple Choice

4. Knowledge is transferred in four ways. These four ways are: a. tradition, others’ experiences, our experience, our best guess. b. others’ experiences, our experience, scientific inquiry, expert opinion. c. our experience, others’ experiences or knowledge, tradition, and the

scientific method. d. others’ experiences, our knowledge, tradition, and the Internet.

5. Quantitative research is most often associated with what? a. explanatory research b. research that determines why a phenomenon exists c. research that is generalizable to a large population d. exploratory research e. none of the above

6. The NASW _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ of _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ recommends that social workers conduct research.

7. Hypotheses are divided into two categories: _ _ _ _ _ _ _ _ _ _ _ _ hypotheses and _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ hypotheses.

8. Single- subject designs measure an _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ progress over time.

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Ethical Considerations

Just as ethics is an important part of our interactions with consumers and colleagues and in carrying out social work practice on a daily basis, ethics is also important when we are conducting research. Research, like all parts of

the social work profession, has ethics at its core. This chapter introduces you to some ethical principles and applications used in research, including the pro- tection of the rights of research participants.

HISTORICA L OVERVIEW

Today, most countries have laws in effect that require human subjects to be treated with dignity and respect in the conduct of research. The United States has regulations in place providing guidance and structure for the researcher. What is the history behind these regulations? It may surprise you to know that the im- petus for these regulations and the implementation of oversight committees was research done during World War II.

In 1946, an American military tribunal opened a criminal trial in Nuremberg, Germany, against twenty- three Nazi physicians. These physicians were accused of conducting horrific medical experiments on prisoners at various concentra- tion camps. After 140 days of proceedings during which eighty- five witnesses testified and 1,500 documents were entered as evidence, sixteen doctors were found guilty, and seven were sentenced to death. From this trial came the Nuremberg Code, ten principles for permissible medical experiments:

1. The voluntary consent of the human subject is absolutely essential. 2. The experiment should be such as to yield fruitful results for the good

of society, unprocurable by other methods or means of study, and not random or unnecessary in nature.

3. The experiment should be so designed and based on the results of animal experimentation and knowledge of the natural history of the

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14 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

disease or other problem under study that the anticipated results will justify the performance of the experiment.

4. The experiment should be so conducted as to avoid all unnecessary physical and mental suffering and injury.

5. No experiment should be conducted where there is an a priori reason to believe that death or disabling injury will occur, except, perhaps, in those experiments where the experimental physicians also serve as subjects.

6. The degree of risk to be taken should never exceed that determined by the humanitarian importance of the problem to be solved by the experiment.

7. Proper preparations should be made and adequate facilities provided to protect the experimental subjects against even remote possibilities of injury, disability, or death.

8. The experiment should be conducted only by scientifically qualified persons. The highest degree of skill and care should be required through all stages of the experiment of those who conduct or engage in the experiment.

9. During the course of the experiment, the human subject should be at liberty to bring the experiment to an end if he has reached the physical or mental state where continuation of the experiment seemed to him to be impossible.

10. During the course of the experiment, the scientist in charge must be prepared to terminate the experiment at any stage if he has probable cause to believe, in the exercise of the good faith, superior skill, and careful judgment required of him, that a continuation of the experiment is likely to result in injury, disability, or death to the experimental subject.

At this point you may be thinking, “How does this apply to me?” In this chapter, we will examine three ethical principles that social workers can use to protect human subjects in research.

Public Law 93- 348, called the National Research Act, was signed into law on July 12, 1974, and addresses the protection of human subjects in research. It recognizes that research and practice may occur together and that any element of research should undergo review for the protection of human subjects. The Belmont Report, published in 1979, summarizes the law as proposing three basic ethical principles: respect for individuals, beneficence, and justice.

RESPECT FOR INDIVIDUA LS

Respect for individuals involves acknowledging the autonomy of individuals and protecting those with diminished autonomy. Section 5.02(l) of the Code of Ethics of the National Association of Social Workers (1999) states that “Social

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Ethical Considerations 15

workers engaged in evaluation or research should ensure the anonymity or con- fidentiality of participants and of the data obtained from them. Social workers should inform participants of any limits of confidentiality.” With this in mind, we will first discuss the concepts of anonymity, confidentiality, and informed consent. We will then discuss how to protect those whose capacity to make au- tonomous decisions is limited.

(Note that we are using the current Code of Ethics from the National Association of Social Workers [1999 edition], but these are due to be updated and will change in 2018.)

Anonymity

Anonymity is often confused with confidentiality. In research, anonymity means that the researcher will not collect any identifying information on the subjects participating in the research study. For instance, you design an explor- atory study in which you will collect information on how consumers feel about the services in your agency. One way to do this is to have a comment box in the lobby or waiting room; consumers can write comments on a blank piece of paper and put them the box. This allows the individual to remain anonymous. However, you notice that only consumers with complaints are making use of the comment box. You then decide to do a descriptive study for which you develop a form that allows consumers to rate their satisfaction with various services on a scale from one to four. To maintain the anonymity of the participants, you do not ask for any information that can be used to identify them, such as name, age, or occupation. Everyone checking into your agency is handed the form and asked to complete it before they leave and place it in the comment box. These are examples of a study using both qualitative and quantitative methods that protect the anonymity of the participants.

Confidentiality

Confidentiality is the assurance that a researcher provides to subjects that all information about them and all answers they provide will remain in the hands of the investigator and that no person outside the research process will have access to this information. Subjects have a basic right to know that their infor- mation is kept confidential; this also ensures that they feel protected from poten- tial repercussions for answering honestly. The researcher, however, may have the ability to identify the responses of a particular individual. You may be asking, “How, then, do researchers publish their findings if all information remains con- fidential?” The answer is that all information is reported in the aggregate (i.e., the findings are combined). The researcher compiles the data and presents them in such a way that no individual can be identified.

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16 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

Let’s say that you are conducting a six- week smoking cessation workshop. You want to follow up with your participants in six months to see how many remain free of cigarettes, how many times they relapsed, and how many returned to smoking on a regular basis. In addition to this descriptive (quantitative) data, you will ask them for written comments (qualitative data) on what worked for them, what did not work for them, what was helpful about the workshop, and what was not helpful. The quantitative and qualitative data you collect will be in- cluded in a grant proposal to fund additional workshops. In your summary, you would not state that John Smith relapsed twice and found that cinnamon gum helped curb cravings. But you might say, “One participant relapsed twice and found that cinnamon gum helped curb cravings.”

Confidentiality can also become an issue in more subtle ways, especially in small communities where the disclosure of too much information can result in the identification of an individual. For instance, you are reporting treatment outcomes of sex offenders to city council members. During your presentation you describe an offender by stating that “A recently released male sex offender with a history of child molestation has recently reoffended. He has only been in treatment for three months, and our statistics show that those in treatment over six months have a better chance of not reoffending.” The audience may be able to identify this individual through news articles and even common knowl- edge about his recent release or arrest. One way you could have reported your research findings anonymously would have been to report the data in aggregate. In this example, you could report percentages, such as “One hundred percent of participants in treatment less than six months have reoffended, while only 54% of participants in treatment over six months have reoffended.” The Code of Ethics of the National Association of Social Workers (1999) states that “Social workers who report evaluation and research results should protect participants’ confidentiality by omitting identifying information unless proper consent has been obtained authorizing disclosure” (section 5.01m).

Informed Consent

Informed consent is the process of educating potential research participants about the basic purpose of the study, informing them that their participation is volun- tary, and obtaining their written consent to participate in the study. Informed con- sent involves the researcher helping potential participants to understand exactly what is being asked of them and what their participation will entail. Ingelfinger (1972) argues that informed consent can never be entirely complete. On the other hand, Gorovitz (1985) believes that the individual has dominion over his or her own body and is responsible for what happens to him or her. In some ways, both are correct. As a researcher, it is your responsibility to provide as much informa- tion as possible to potential participants so that they can decide whether they wish to participate. The ethical researcher will take care to sit down with the participant and explain in detail what will be required and what will happen during the study.

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Ethical Considerations 17

The practice of informed consent is an important part of any study. One small part of the informed consent process is asking a research participant to sign a statement that outlines the information provided in the informed con- sent process (see Example 2.1). It is important to note that informed consent must be obtained before any data are collected. In addition, if you are offering an incentive for participation (for example, a gift certificate at a fast- food res- taurant) in your study, then the subject will receive the incentive regardless of whether or not he or she completes the study. The Code of Ethics of the National Association of Social Workers (1999) states that “Informed consent should in- clude information about the nature, extent, and duration of the participation requested and disclosure of the risks and benefits of participation in the re- search” (section 5.01e). In addition, section 5.01(h) states that “Social workers should inform participants of their right to withdraw from evaluation and re- search at any time without penalty.” The informed consent form must provide the following information:

1. The researcher’s identity and the nature and aim of the research 2. The subject’s role in the project and the expected duration of the

subject’sparticipation 3. A description of experimental procedures and any possible risks to the

subject’s physical, psychological, or emotional well- being 4. Any benefits to the subject that may reasonably be expected from the

research 5. Contact information that subjects can use to obtain answers to

questions about the research and research subjects’ rights and information on whom to contact in the event of a research- related injury or if counseling is needed due to the sensitive nature of the questions

In addition, the informed consent form must

1. Explain to prospective subjects that they are free to refuse to participate or to refuse to answer any question or to withdraw from the study at any time and that refusal to participate or withdrawal from the project will involve no penalty or loss of benefits to which the subjects are otherwise entitled;

2. Describe how the confidentiality of the information will be maintained (e.g., surveys, audiotapes, or videotapes will be kept in a locked filing cabinet) and the anonymity of the participants will be protected;

3. Explain that participants must be eighteen years of age or older, or parental/ guardian consent must be obtained; and

4. Provide a verification statement and signature line for participants (“By signing below, I verify that I have been informed of and understand the nature and purpose of the project, freely consent to participate, and am at least eighteen years of age”).

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Example 2.1

Informed Consent Form

Dear Participant:

My name is _ _ _ _ _ _ _ _ _ _ _ _ . I am requesting your help with a research project I am conducting on the effects of challenge courses. Let me emphasize that you do not have to take part in anything that makes you uncomfortable. If you do not wish to take part in this project (or any of the exercises), you do not have to par- ticipate. This is true, also, for the attached questionnaire. You are free to refuse to answer any and all of the questions. The survey is voluntary (up to you), and you can withdraw from the study at any time.

If you agree to participate in the challenge course experience, you will be asked to participate in activities that require you to work with others as a group to solve problems and perform tasks. The facilitator/ trainer will explain each activity be- fore you begin.

Challenge courses are supervised by trained facilitators who are experienced and able to keep participants safe. The potential benefits for those who partici- pate in the challenge course are increased communication and trust with group members.

This study has been reviewed to determine that participants’ rights are safeguarded, and there appears to be minimal risk or discomfort associated with completion of this study. The answers you provide on the study will be kept strictly confidential, and all your responses (completed surveys) will be stored in a locked file cabinet accessible only to the researcher. This means that no one will be able to find out how you answered any of the questions. The results of this study may be presented at a conference or published as a research article in a journal. These records will be kept in Jones Hall, 100 University Drive, Anytown, Anystate, 10011. Please feel free to ask for help if something does not make sense to you or if you have any questions. If you experience any discomfort, you may contact Jane Smith, Caring Hands Help Agency, 101- 000- 1234.

If you decide to volunteer, please be sure to PRINT your name on the form and SIGN it to indicate your willingness to participate. That will indicate that you understand the purpose and elements of the study and that you are willing to participate.

Name (Print): _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

Signature: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

Date Signed: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

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Ethical Considerations 19

Social workers have a long- standing tradition of being the voice (i.e., advo- cate) of the person who has the least amount of power in a situation. This should be the guiding principle when you are designing your research study with any person who is considered to have diminished autonomy. These populations in- clude individuals who have diminished rights or capacities, including minors; individuals with diminished capacity due to illness or mental disability; and people with severely restricted liberties, such as individuals who are incarcerated. We will say more about these groups in a moment. An ongoing argument is whether or not children and prisoners can truly give their informed consent (or whether there is an element of coercion that is subtly implied). And while no one has the ultimate answer to this debate, it is important to keep in mind.

The legal guardians of minors and individuals with diminished capacity can weigh the risks and benefits of the research and then decide either with or for them whether or not they will participate in a research study. Section 5.02f of the Code of Ethics states: “When evaluation or research participants are incapable of giving informed consent, social workers should provide an appropriate expla- nation to the participants, obtain the participants’ assent to the extent they are able, and obtain written consent from an appropriate proxy.” In Example 2.2, the signature lines were modified for the addition of consent of a parent or guardian (or power of attorney).

Informed consent is much more complicated for individuals with restricted liberties because the pressure to volunteer may come from the authorities in charge of their liberties. Volunteerism is an element of informed consent that requires the person to be free of coercion and undue influence. On the other hand, the individual may want to be involved in the research, and denying that opportunity can also be viewed as a restriction of his or her rights. While there is no easy answer to the dilemma posed by such situations, one should examine whether the benefits of participating outweigh the risks. For instance, let’s say

Example 2.2

Modified Signature Lines for Consent of a Legal Guardian

If you decide to volunteer, please be sure to PRINT your name on the form and SIGN it to indicate your willingness to participate. That will be indication that you understand the purpose of the survey and that you are willing to help.

Name (Print): _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ __ _ _ _ _

Signature: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ ___ _ _ _ _ _

Name of Legal Guardian (Print): _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

Signature of Legal Guardian: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

Date Signed: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

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20 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

you are researching the effectiveness of a six- week anger management group. The possible benefits of participating in the treatment may outweigh the risk that the individual may feel obligated to participate. On the other hand, if you are researching homophobia among males, the risk of harm is much greater and the benefits nonexistent.

Several groups of people enjoy extra protection as potential research subjects. The federal government mandates that anyone who wishes to conduct research with one of these populations must ensure that their rights are protected. These protected classes of people are prisoners, pregnant women (and their unborn chil- dren); minor children; and anyone with diminished intellectual capacity. If you find yourself in a position where you will be conducting research with one of these groups, we strongly encourage you to seek out expert help in negotiating the myriad of regulations that are in place.

Informed Consent and Assent

A word about the difference between consent and assent is important. Informed consent is the process of informing potential research subjects about the research study. It should provide someone considering participating as a research subject enough information to help them make a decision. They (the potential subject) should be able to state what the research study is about, how long/ how much time their participation will require, and any risks or potential benefits that will occur as a result of their involvement.

Assent, on the other hand, is for those individuals who do not have the legal authority to agree to participate. For example, a minor child does not have the right to sign for his consent to participate, but he must provide his assent (his agreement to be a research subject).

BENEFICENCE

The term beneficence refers to being charitable or acting with kindness. In re- search, it is an obligation to do no harm and to maximize any benefits (i.e., posi- tive values related to health or well- being) while minimizing possible harm. The issue of beneficence relates to determining whether the benefits (which can be direct or indirect and can seem large or small to the participant) outweigh the risks for the participants of the study. To minimize harm, we must identify the risks of the research on human participants.

The Code of Ethics of the National Association of Social Workers (1999) states that “Social workers engaged in evaluation or research should protect participants from unwarranted physical or mental distress, harm, danger, or deprivation” (section 5.02j). Participants need to be protected from the risks of participating

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Ethical Considerations 21

in research. Risk refers to the possibility that psychological, physical, legal, social, or economic harm may occur. Risk is sometimes expressed in levels, such as, “no risk,” “little risk,” “moderate risk,” and “high risk.”

One note about risk. Risks are rarely acceptable in research and always highly regulated. Today, medical research involves a degree of risk, especially with drug trials, but in social behavioral research, risks need to be minimized and eliminated. This has not always been the case, as we will see next.

Much has been learned from past research studies that have involved a level of risk to the individual participants. One of these has come to be known as the Tuskegee syphilis experiment (1932– 1972), a study conducted by the US Public Health Service on a group of mostly poor African- American men with syphilis living in the rural South. They were not told that they had syphilis so that the researchers could examine the etiology (progression) of the disease (Jones, 1981). Even after a cure in the form of penicillin became available, they were not offered treatment, which caused long- term health issues for the men and their families. This high level of physical risk would be considered unethical today.

In 1961, psychologist Stanley Milgram conducted an infamous study of how au- thority figures could abuse their power. Milgram designed a series of experiments in which subjects were instructed to administer a series of electric shocks to an- other subject. Unknown to those administering the shocks, the individuals who were supposedly being shocked were actually working with the researcher. A dis- turbing number of subjects were willing to administer dangerously high levels of voltage even though the people they thought they were shocking were pleading with them to stop. Several subjects said they did not feel comfortable continuing with the experiment but continued, regardless, when told to do so by the researcher (Milgram, 1963). To some people, this research was a worthwhile endeavor as it provides evidence of the strong influence those in authority can have over others. One would only have to point to such tragedies as the atrocities carried out under the Nazis as justification for Milgram’s study. However, others might argue that the potential trauma this study could cause the participants outweighs the benefit of the information it could provide. (Accounts of follow- up studies with research participants in the study who said they were not permanently harmed by the re- search have been published.)

Another study that has become somewhat infamous in research circles is a study conducted by a professor of psychology at Stanford University. Philip Zimbardo converted part of a basement in one of the buildings at Stanford into a makeshift prison and recruited students for the study. The students were randomly assigned to be either prisoners or guards. Within a few days, the subjects overidentified with the roles they were playing. Subjects who had been assigned the roles of guards became sadistic and mistreated the individuals assigned to be prisoners. The subjects playing the roles of prisoners soon began to identify as prisoners and worked to plot against the guards (Haney, Banks, & Zimbardo, 1973). The risk for psychological, physical, and legal harm was so great that the study, which was originally intended to last two weeks, was abandoned after a few days.

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22 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

A debate still rages today (Haney, Banks, & Zimbardo, 1998) as to whether the information that was gained from these studies (benefits) outweighed the potential harm (risks) to participants. Our point is not to enter into this debate but to illustrate that the regulations governing research were established to en- sure the safety and rights of those participating in research. Today, the preceding experiments would not be approved by the ethics boards that oversee research with human subjects. All of the preceding studies would be labeled as “uneth- ical” and would not be allowed to happen. By understanding the mistakes that have occurred in the past, we can avoid harm in the future.

Debriefing is the process of fully informing subjects of the nature of the re- search when some form of deception has been employed or when some of the information is not disclosed. Rarely is it necessary for a researcher to deceive subjects. However, there may be times when fully disclosing the exact nature of the research will cause the subjects to act in a way that will skew (alter) the results. For instance, in medication research, participants are frequently placed into three groups. One group gets the new drug, one group gets a drug that is already on the market, and one group gets a placebo. It is not until after the experiment has concluded that research participates are debriefed as to which group they participated in. The Code of Ethics of the National Association of Social Workers (1999) states that “Social workers should take appropriate steps to ensure that participants in evaluation and research have access to appropriate supportive services” (section 5.01i).

In debriefing participants, the researcher must describe the nature and aim of the project, explain why participants were misled or provide the missing information, and provide the name and phone number of the person to con- tact in case participants have questions regarding the project. In addition, it is strongly suggested that the researcher have subjects sign a statement (or other form of documentation) stating that the subjects have been debriefed and that all questions about the project have been answered.

JUSTICE

The principle of justice finds its application in the moral requirement that fair procedures and outcomes be used in the selection of research subjects. Justice is the fairness of distribution of benefits and risks among all individuals. This principle can be formulated in four ways: to each person an equal share, to each person according to individual need, to each person according to individual effort, and to each person according to merit. Often in research, vulnerable populations such as the homeless, people of color, institutionalized individuals, and those living in poverty bear the burden of risky research endeavors, whereas those with more influence, wealth, and power are selected for research that has potential benefits.

The Tuskegee syphilis experiment is a good example of researchers imposing potential risks on an unknowing vulnerable population. In an agency- based

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Ethical Considerations 23

setting, the convenience of already having a population to research can create opportunities for beneficial interventions, such as new programs. For example, an agency offering and using research to evaluate an evening recovery program for residents of a homeless shelter has benefits for participants. When this re- covery program is opened to the public, those benefits are available to everyone.

This becomes problematic when the population is burdened with risky interventions, such as “holding” therapy techniques. Therapeutic holding is a commonly used intervention in residential facilities for the containment of aggressive behavior in children. Although often effective, the intervention has inherent physical and emotional safety risks.

OTHER ETHICA L CONSIDER ATIONS

The Code of Ethics of the National Association of Social Workers (1999) states that “Social workers should report evaluation and research findings accurately. They should not fabricate or falsify results and should take steps to correct any errors later found in published data using standard publication methods” (section 5.01n). This code addresses two ethical issues: reporting findings ac- curately and not falsifying data. In research, this is called laundering data and faking data.

Sometimes data from real- world sources are erroneous, incomplete, or in- consistent. For instance, on a survey, a research participant might select “highly unsatisfied,” thinking that he or she is selecting “highly satisfied.” Data are in- complete when one of the ten questions asked on a survey is left unanswered. Data are inconsistent when one out of one hundred surveys has responses that are so different from the others that the answers are considered abnormal in the findings. To deal with erroneous, incomplete, and inconsistent data, researchers sometimes clean up the data, which is called laundering. Laundering data is a way of statistically manipulating the data collected to reduce errors and make the findings more accurate. One way one can achieve this is by removing the ab- normal responses from the data. However, most applications for laundering data require more complicated statistical techniques, such as grouping the data into blocks, reorganizing the data into tables, then regrouping them into blocks after adjustments are made. The opportunity to manipulate the statistics to support a hypothesis or desired outcome can be tempting. The problem arises in how the manipulation is constructed; this can pose ethical problems if the results do not accurately reflect the findings.

Unfortunately, falsifying or faking data, while not often easily identified, can and does occur. Faking data is making up desired data or eliminating unde- sired data in research findings. One example of faking data would be to duplicate or multiply the answers collected in a research study in order to increase the number of responses. If only five people responded, the researcher might repeat their answers ten times and now have fifty responses. The findings are more con- vincing with a larger sample and can allow for more rigorous statistical analyses

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24 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

(discussed in Chapters 10 and 11). Another example is to simply not include responses that do not support the hypothesis. For instance, researchers have col- lected data on how satisfied clients are with the services at their agency. They throw out some negative responses and keep all the positive responses to in- crease the percentage of clients reporting satisfaction. Perhaps the most devious type of faking is simply making up findings without conducting the research. This can occur when a person mimics another research study but changes the characteristics and findings.

There are as many reasons for faking data as there are examples. For in- stance: manipulating or changing findings to support a hypothesis, changing information so that it increases the chances of publication, providing evidence needed to apply for or continue a funded grant, or even meeting requirements of a class project are all examples of how data can be manipulated to fit a desired outcome. However, the ethical researcher needs to be on guard against unethical behavior.

One final ethical issue encountered in research that is often overlooked (espe- cially by students) is plagiarism. The Code of Ethics of the National Association of Social Workers states that “Social workers should take responsibility and credit, including authorship credit, only for work they have actually performed and to which they have contributed” and “Social workers should honestly ac- knowledge the work of and the contributions made by others” (section 4.08). Being ethical as a social worker means not only conducting research in a humane manner, but also giving credit to others’ work. The research process depends on an assumption that people are being honest and forthcoming when they write papers and report findings. If researchers, instructors, and students fail to be honest in their work, the entire process loses credibility and the research pro- cess becomes suspect. The issue of plagiarism has become an increasing concern among educators in the past few years. With the invention of the Internet, it has become increasingly easy for students to take advantage of others’ work without assigning proper credit to the true authors.

In its simplest form, plagiarism means taking credit for work that is not one’s own, either in whole or in part. This can take many forms, including copying or repeating research without giving proper credit. Individuals who plagiarize are not always intentionally being deceitful; many simply do not understand that when you use someone else’s ideas, words, or work you need to give proper credit. This means citing other people’s work in the body of your paper and on the reference page. The same is true when a person paraphrases someone else’s thoughts. The rule of thumb is that if you utilize another person’s work, you need to give him or her credit. If you quote that person, then his or her words are enclosed in quotation marks and proper citation is given. If you utilize the person’s thoughts or main ideas but paraphrase what he or she wrote, then you need to cite the person. Providing proper citations is more than a matter of eth- ical integrity in research— it is a form of courtesy shown to other authors and researchers.

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Ethical Considerations 25

An Institutional Review Board (IRB) is a committee mandated by the federal government to oversee the protection of human and animal subjects in research. Any institution of higher learning that receives federal money (including finan- cial aid for students) has an IRB committee that oversees research with human subjects and animals and ensures that all research is conducted in a safe, ethical, and humane manner. Hospitals and other facilities that conduct research with humans or animals also have committees to ensure that research is carried out in a humane manner. A review board can be beneficial to researchers by ensuring compliance with ethical practices and standards that protect the rights of research participants. In fact, the Code of Ethics of the National Association of Social Workers (1999) states that “Social workers engaged in evaluation or research should carefully consider possible consequences and should follow guidelines de- veloped for the protection of evaluation and research participants. Appropriate institutional review boards should be consulted” (section 5.02d).

Federal regulations stipulate that research that is conducted for the purposes of publication or presentation or to contribute to knowledge must gain IRB approval. If you plan to present your research in a journal or at a conference, plan to submit your research to the IRB at your institution. In addition, some universities require students to submit a research protocol and meet the board’s requirements when conducting research as part of a class project. It is a good idea to keep in mind the principles established by these boards and to incorporate them into your own research. The first and foremost issue to consider is the safety of your subjects. It is imperative that, as a researcher, you always consider the issue of what might go wrong. It is a good idea to keep in mind Murphy’s Law (if something can go wrong, it probably will).

We recommend checking with your instructor and your own university’s IRB to determine the regulations in place that govern research at your institution. In some colleges and universities, the instructor is given oversight of students conducting research as part of a class and no formal approval from the IRB is needed. In other schools, all research (regardless of whether it is conducted as part of a class or not) is required to obtain IRB approval before collecting data.

CASE SCENA RIO

You are a case manager working in a community mental health facility. Part of your duties is to provide group and individual counseling for adult consumers who have chronic and severe mental illnesses. Your supervisor has instructed you to ask your clients to complete a survey. The survey asks several questions in- cluding their use of illicit drugs (such as smoking marijuana) and alcohol and to name their mental health diagnosis. You are concerned that your clients have not been fully informed about their rights as research subjects. When you approach your supervisor about your concerns, her response is, “It’s okay, I am not asking anything that could identify them.”

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26 R E S E A R C H M E T H O D S F O R S O C I A L W O R K E R S

CRITICA L THINKING QUESTIONS

1. Based on the information in this chapter and what you have learned so far, do you believe that you are being asked to contribute to unethical behavior? Why or why not?

2. Do you agree with the supervisor’s statement that because no specific identifying information is collected, it is all right to ask these questions? Why or why not?

3. Given the information provided, what would you suggest as the best course of action for the case manager?

KEY POINTS

• The three guiding principles for protecting human rights in research are respect for individuals, beneficence, and justice.

• Three methods for protecting human rights in research are confidentiality, anonymity, and informed consent.

• Confidentiality is the assurance that a researcher provides to subjects that all information about them and all answers they provide will remain in the hands of the investigator and that no other person outside the research process will have access to this information.

• Anonymity is the practice of not collecting any information that will identify the subject.

• Informed consent is letting potential subjects know what the basic purpose of the study will be and that their participation is voluntary and obtaining their written permission to participate in the study.

• Debriefing is the process of fully informing subjects of the nature of the research when some form of deception has been employed.

• Plagiarism is the unauthorized use of another person’s work and failure to give him or her credit.

• Institutional review boards oversee the rights of human subjects involved in research.

PR ACTICE EX AM

Multiple Choice

1. The Nuremberg Trials were a. an investigation into Germany’s treatment of prisoners during World

War II. b. a study conducted on athletes during the 1936 Olympics in Nuremberg,

Germany.

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Ethical Considerations 27

c. a jury trial that considered the legality of the Geneva Convention. d. none of the above.

2. Some people believe that one of the ethical issues with conducting research on children and prisoners is a. they may not be reliable test subjects. b. they may not be in a position to fully consent to being a subject. c. they may skew the results of the experiment. d. all of the above. e. none of the above; there are no ethical dilemmas with conducting re-

search with children and prisoners.

True or False

3. Institutional Review Boards (known as IRBs) grew out of the Nazis’ unethical experimentation on prisoners.

4. The NASW Code of Ethics does not specifically mention ethics. 5. Plagiarism is considered unethical behavior. 6. Failing to acknowledge another person’s work is a form of plagiarism. 7. Debriefing is the process of discussing with a subject what they thought

about the experiment after it is over. 8. Governmental agencies are not immune from unethical practices.

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