# Conflicts of Interestand Power Relationships“Key Principle: When you are acting as both instructor and researcher, mitigate undue influence, coercion, or power imbalances by basing decisions first and foremost on your role as an Instructor (which sometimes may be at odds with your goals as a researcher) and by being sensitive to the inherent power differential between instructor and student. Strategies for Ethical Practice *- As you begin to design your study, describe your research plans to colleagues and former students, and invite them to help you identify blind spots you might have in terms of influence, coercion, or power imbalances, so that you can address them in your planning. For a list of discussion questions to facilitate the identification of blind spots, see Table 2 – Questions to Consider When Planning SoTL Research on page 16 of this Guide. - Provide student participants with information about contacting the university’s REB with ethical questions or concerns. *Definitions:- Third party Someone who does not have grading authority or perceived power over potential participants who can act as an intermediary or buffer between you and the students. This person will be the only one who knows which students are participating in the research (you will not), and students will be informed of this person’s role before deciding whether to participate. With your direction, the third party may do any or all the following: introduce/present the study to potential participants, collect and store consent forms, field participants’ questions and/ or de-identify then direct their questions your way and convey your response(s) to them, provide prospective participants with updates/ongoing information about the study, conduct interviews and/or lead focus groups with student participants, etc. - Identifying information Information that can or may reveal which students are participating in the research. This information might include first and/ or last names, student ID numbers, physical descriptions, or other references to or about people that might reasonably identify them as research participants.” (Fedoruk, 2017, p. 5)“If possible: - Use a third party to assist with participant recruitment, information provision, and data generation and analysis. This approach protects participating and non-participating students’ identities by ensuring that they can become informed about the study, raise questions, participate in, and/or withdraw from the study without revealing their identities as research participants (or not) to you. - Collect data (e.g., conduct interviews or focus groups, distribute surveys) after final grades have been submitted and released to the students, and after the appeal deadline has passed. - Analyze student work after identifying information has been removed. - Conduct the research using students in a school or classroom other than your own.”(Fedoruk, 2017, p. 6)

## Consent process

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# Key PrincipleEnsure that each student’s decision to participate in your research (or not) is voluntary, and that their privacy is protected when offering or declining consent.

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# Strategies for Ethical Practice

• Use a third party to facilitate consent/withdrawal processes to protect students’ privacy.

• Clearly communicate to students that there are no repercussions for their refusal to consent.

• When conducting surveys, use web-based survey tools (e.g., Qualtrics, etc.) that allow students to participate anonymously. Anonymous online participation eliminates personal identifiers and peer pressure, and allows students who are not interested in participating to decline privately.

• When collecting consent forms from student participants in class, design the forms so that all students must sign and hand in the paper form in order to prevent knowledge of who is and is not participating (e.g., explain that everyone signs the consent form, but those who do NOT want to participate can then draw two lines through their signatures).

• When offering incentives, keep them to a minimum to avoid undue influence (e.g., $25 bookstore gift card, a draw for a $50 gift card), and provide students with clear timelines during which they may opt-in or out of participation in the study. If the incentive includes a small percentage of their grade (1 to 5%), give students not participating in the study an opportunity to earn the same incentive through an alternate option, such as an additional assignment equivalent in time and effort.If you are collecting and analyzing your own data, where applicable, inform students:

• About where or to whom they might direct questions about the study, before, during, and after the study.

• That you will not know who has agreed to participate until students’ grades are submitted and released, and the appeal deadline has passed.

• That you will not analyze data until after grades are submitted and released to students and the appeal deadline has passed.(Fedoruk, 2017, p. 7)
  
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  # Key PrincipleEnsure that students’ decisions to participate in your research (or not) are informed by telling them about the purpose, benefits, risks, and consequences of your research before asking for their consent.
  
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  # Strategies for Ethical Practice

• Describe and discuss (or have a third party describe and discuss) the research with students before seeking their consent to participate.

• Include clear and transparent descriptions of the project on consent forms (even if the project has already been described in detail to participants).

• Commit to students at the onset that results will be shared with them upon completion.

• When conducting focus groups, ensure that the consent process asks that each member of the focus group respect the confidentiality of other members, but that you cannot guarantee confidentiality. Because of this, in REB applications, it may be advisable to attend to why group data (rather than individual interview data) is preferable in your research design.When video or audio recording, because this method of collecting data can inadvertently capture material produced by students who have not consented to participate in the research process, it is advisable that researchers articulate to their institutional REBs why this data collection method (as opposed to others) is essential to the research design. If using video, give consenting students the option to choose whether the research team will only view their presence on the video (a), or (b) may be viewed by the research team and shared during the dissemination of research findings, and indicating their choice on the informed consent form.When possible, include a brief explanation of the research on your course outline or syllabus (if advisable within your campus context). For example: “Please be advised that within this course, you will have the opportunity to volunteer as a research participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. in a study that examines the reading comprehension of second year, undergraduate students as they progress through Language and Literature
  

• Details will be provided at the start of the course.
  
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  # Key PrincipleMake sure students have the autonomy to freely and privately choose to participate, refuse to participate,or withdraw from participation at any time during or after the research (provided that it has not already been disseminated).
  
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  # Strategies for Ethical Practice

• Provide students with the option to withdraw from the research simply (e.g., by sending an email) and at any time prior to dissemination. Indicate what will happen to their data after they have withdrawn from the research (e.g., wherever possible, it will be extracted and destroyed).In cases where the research timeline needs to be extended, whenever possible, seek students’ consent regarding these extensions.
  
  ## *Fairness and Equity inResearch Participation *
  
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  # Key PrincipleAs much as possible, within the research project’s goals, be inclusive, fair, and equitable whenselecting participants.
  
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  # Strategies for Ethical Practice

• Have a clear rationale for participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. inclusion and exclusion criteria connected to your project’s goals and specific research question.For instance, if you are not including seniors, or men, or non-majors, or non-native English speakers, explain how this exclusion is relevant to your specific project (e.g., “Because this research is specifically focused on the female experience of power relationships, and because we are linkingto gender theory, only women-identified people will be included for participation”).

• Consider your assumptions about potential participants in your study. For example, do not assume that students with physical disabilities should be excluded from a study that uses physical activity games to assess comprehension of biomechanics principles. Invite colleagues and/or former students to help you identify assumptions that you might be making about participants, to ensure that your inclusion/ exclusion criteria do not suffer from blind spots.

• If there is a language barrier between you (or your third party) and participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. (s), involve an intermediary who is competent in both languages to assist with communication between you (or your third party) and participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. (s).
  
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  # Key PrincipleEnsure that the benefits of participating in your study are equitably distributed among participants.
  
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  # Strategies for Ethical Practice

• Discuss potential research benefits with students at the onset of the study.

• Ensure an “equitable distribution of research benefits” (TCPS2, 2014, p. 55) by avoiding circumstances in which the conditions of some participants are significantly more beneficial than the conditions for other participants or nonparticipants. If you are using a comparison group or a differential experience for non-participants, you should closely monitor the impact of an intervention to guard against one group (e.g., research participants, or non-participants) experiencing significantly more benefits over the other group(s). You are responsible for gauging if the discrepancy between groups becomes unethical and could have negative implications for the other group(s), in which case contingencies and modifications to a study may be needed.

• For instance, an instructor teaching two sections of the same course might use a “flipped classroom” model for one section and leave the other unchanged (as a control group). If students in the flipped classroom are showing significant gains, the students in the control group may be disadvantaged, and the instructor may decide to flip both sections to mitigate an unethical disparity between groups. This type of contingency should be included in the research design, and student success should be prioritized.
  
  ## Research Results
  
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  # Key PrincipleUpon completing the study, make the results available, accessible, and understandable to all participants.
  
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  # Strategies for Ethical Practice

• Inform students that you will share the outcomes of your research and in what format (e.g., a one-page brief, a paper, etc.) as soon as they become available. Invite students to provide contact information during the consent process to indicate how to reach them with research outcomes (e.g., an email address to which the outcomes can be sent).When the outcomes are available, provide participants with the citation of the journal in which it is published or copies of the publication and a written summary of results written in clear, understandable language.
  
  ## Privacy and Confidentiality
  
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  # Key PrincipleProtect the participants’ information and the integrity of the research project.
  
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  # Strategies for Ethical Practice

• Discuss the practical implications of confidentiality with all members of your research team, and where relevant, have all members sign a confidentiality agreement.

• Do not share any specific identifying information about the data collected with anyone other than your research team.

• If information sharing with government agencies, community research partners, research sponsors, or regulatory agencies may occur during the study, describe and include this possibility as part of the information provided to students before they decide whether to participate.

• If confidentiality is unexpectedly breached, let participants know immediately and advise them of the steps you have taken to address the situation and prevent further breaches.If possible:

• De-identifyStudent data, or have a third party de-identify the data for you.

• When groups are small (e.g., fewer than 10 or 15 members of a particular type), aggregate or combine data and remove identifying information to diminish the possibility that the responses of specific identifiable groups will be deduced.In an online presentation about REBs, Babcock and Henry (2014) reproduce the Risk Matrix below. The matrix demonstrates a two-fold relationship between disclosure and harm reduction. Figure 2 demonstrates that privacy protection and ethics are warranted in cases where the data consists of identifiable, confidential information, where therisk of disclosure and harm are most pronounced. The light orange cells in the table indicate thatrisk of disclosure and harm still exists in cases in which the data has been de-identified (here,referred to as anonymized), thus requiringprivacy protection and REB review.
  
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  # Key PrincipleDuring data collection and analysis, useappropriate safeguards and security measuresto protect participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. information and data.
  
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  # Strategies for Ethical Practice

• Use encryption software and/or passwordprotected digital documents, folders, and/ or systems to limit access to data and protect participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. confidentiality.

• Store all hard copies of participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. -identifying data, including signed consent forms, in a locked cabinet with a key and protect that key.

• Keep an up-to-date list of all persons with access to participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. information, ensuring they have signed a non-disclosure or confidentiality agreement (e.g., You can find an example of such an agreement at the University of Calgary CFREB website: https://ucalgary.ca/research/ researchers/ethics-compliance/cfreb).

• If appropriate, destroy all identifying participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. information and identifying data upon completion of the research project (e.g., by shredding hardcopy materials and/or by reformatting/wiping digital storage devices). It may be inappropriate to destroy data when, for example, the data consists of course material (e.g., assignments, papers, exams) or evaluative material (e.g., course and/or teaching evaluations) that may be otherwise used and retained for other purposes (e.g., course redesign).Babcock and Henry (2014) also outline a “data hierarchy” that helps researchers attend to the disclosure risks that can arise concerning confidentiality and human participants. This fourtiered represents risk as least to most pronounced by information type. Specifically, the anonymous information is represented as lowest in risk in terms of disclosing confidentiality, and identifiable information is positioned as the kind of information with the highest risk of disclosure.
  
  ## Overarching questions Conflicts of Interest and Power **Relationships** Mitigate undue influence, coercion, or power imbalances by: a. basing decisions first and foremost on an instructor’s goals (which sometimes may be at odds with research goals), and b. being sensitive to the inherent power differential between instructor and student.

• “Could any part of the research design interfere with the effectiveness and/or credibility an instructor and/or with students’ interests and/or ability to learn?”

• “Are there ways in which participating in this research - or not - might be something that students feel like they had to do? If so, why?”

• “Could a third-party help with the consent and data collection process to mitigate powerdifferentials?” Consent Processes Ensure that students’ decisions to participate in the research (or not) is informed and voluntary by: a. telling them about the purpose, benefits, risks, and consequences of the research before asking for their consent, and b. making sure they have the autonomy to freely and privately choose to participate, refuse to participate, or withdraw from participation at any time during the research.

• “What else would you want to know before making a decision about participating in this research?”

• “In what ways might students feel compelled to participate or compromised in their ability to withdraw from the study without consequence?” Fairness and Equity **in Research ***Participation * Within the research project’s goals, be inclusive, fair, and equitable when selecting participants by:a. recognizing and respecting the vulnerability of individuals or groups, and b. making the results available, accessible, and understandable toall participants upon completionof the study.

• “Are there any individuals or groups that this research might directly or indirectly exclude?”“How can I be sure that the results of this study can be accessible toall participants?” Privacy and Confidentiality Protect the participants’ information and the integrity of the research project by: a. meeting confidentiality obligations in the research,b. implementing appropriate institutional safeguards and security measures to protect participant we use participant to refer to those choosing to participate in research, those where consent-waivers may be in place or where some stakeholders may fulfil participant-researcher roles (e.g., teachers), and those 'data subjects' whose data is used in research often without their knowledge. information and data, and c. if the research involves identifiable secondary use of data (e.g., former students’ work or other identifiable materials collected before seeking REB approval), seeking students’ informed consent and applying the above principles of ethical practice to this secondary use of data.- “Are there ways in which this research design might, in any way, compromise participants’ confidentiality?”- “Are there adequate safeguardsto protect participants’ information and data?”- “Have I obtained informed consent from all students whose data I am using in this study, regardless of when said data was collected?” All drawn from Fedoruk (2017)