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HYPERLINK "http://www.asanet.org/index.cfm"
Ethical Issues in Research on Illegal Activities
2010 ASA Annual Meeting
August 14th-17th
Virginia Adams OConnell, PhD
Workshop Organizer
ɫɫ College
Table of Contents:
I. What Constitutes Ethical Research? 3
II. What Should You Tell Research Participants? 5
III. What Constitutes Sensitive Research? 6
IV. Protecting the Anonymity and Confidentiality of Research Subjects 6
V. When Must You Report Illegal Activity 10
VI. Drafting Your Research Proposal and Working with an IRB 11
VII. Some people working on sensitive/illegal issues and some of the 12
challenges they have faced
Appendix A: Certificates of Confidentiality 14
Appendix B: Some references 23
What constitutes ethical research?
It may be useful to review the overview of ethical research involving human subjects by enrolling in and taking the online course offered by the NIH. Some institutions now require individuals to pass this online course before serving on an institutions IRB.
http://phrp.nihtraining.com/index.php
Nuremberg Code:
The Code provides ten Directives for Human Experimentation
Voluntary consent of the human subject is absolutely essential
The experiment must yield generalizable knowledge that could not be obtained in any other way and is not random and unnecessary in nature
Animal experimentation should precede human experimentation
All unnecessary physical and mental suffering and injury should be avoided
No experiment should be conducted if there is reason to believe that death or disabling injury will occur
The degree of risk to subjects should never exceed the humanitarian importance of the problem
Risks to the subjects should be minimized through proper preparations
Experiments should only be conducted by scientifically qualified investigators
Subjects should always be at liberty to withdraw from experiments
Investigators must be ready to end the experiment at any stage if there is cause to believe that continuing the experiment is likely to result in injury, disability or death to the subject
As we will discuss below, the very act of studying illegal behavior challenges many of these basic tenets of human experimentation/research including voluntary consent, avoidance of physical and mental suffering and injury, degree of risk to subjects, maintaining liberty to withdraw from the study.
The Belmont Report identified three principles essential to the ethical conduct of research with humans:
Respect for persons
Beneficence
Justice
The principle of respect for persons can be broken down into two basic ideas:
1. Individuals should be treated as autonomous agents
An HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "autonomousperson" autonomous person is able to:
An individual capable of deliberation about personal goals and of acting under the direction of such deliberation.
Consider the potential harms and benefits of a situation
Analyze how those risks and potential benefits relate to his or her personal goals and values
Take action based on that analysis
Prospective research participants must be given the information they need to determine whether or not they want to participate in research. There should be no pressure to participate and ample time to decide. Respect for persons demands that participants enter into the research voluntarily and with adequate information. This is called HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "informed_consent" informed consent, and will be covered in detail in other sections of this training.
A legally-effective, voluntary agreement that is given by a prospective research participant following comprehension and consideration of all relevant information pertinent to the decision to participate in a study.
2. Persons with diminished autonomy are entitled to additional protections
Special provisions may need to be made when an individuals comprehension is severely limited or when a class of research participants is considered incapable of informed decision making (e.g. HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "children" children, people with severe developmental disorders, or individuals suffering from dementias). Even for these persons, however, respect for persons requires giving them the opportunity to choose, to the extent they are able, whether or not they wish to participate in research activities. In some cases, respect for persons may require seeking the HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "permission" permission of other parties, such as a parent or legal guardian.
Persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law of the jurisdiction in which the research will be conducted.
The agreement of parent(s) or guardian to the participation of their child or ward in research.
The challenges in applying the Belmont principle of respect for persons are in:
Making sure that potential participants comprehend the risks and potential benefits of participating in research
Avoiding influencing potential participants decisions either through explicit or implied threats ( HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "coercion" coercion) or through excessive HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "compensation" compensation ( HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "undue_influence" undue influence)
Two general rules have been articulated as complementary expressions of beneficent actions:
Do no harm
Maximize possible benefits and minimize possible harms
The challenge inherent in applying the Belmont principle of beneficence is how to determine when potential benefits outweigh considerations of risks and vice versa.
Justice requires that individuals and groups be treated fairly and equitably in terms of bearing the burdens and receiving the benefits of research.
The principle of justice may arise in decisions about inclusion and exclusion criteria for participation in research and requires HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "investigator" investigators to question whether groups are considered for inclusion simply because of their availability, their compromised position, or their vulnerability rather than for reasons directly related to the problem being studied.
OHRP considers the term investigator to include anyone involved in conducting the research. OHRP does not consider the act of solely providing coded private information or specimens (for example, by a tissue repository) to constitute involvement in the conduct of the research. Note that if the individuals who provide coded information or specimens collaborate on other activities related to the conduct of this research with the investigators who receive such information or specimens, then OHRP would consider such additional activities to constitute involvement in the conduct of the research. Examples of such additional activities include, but are not limited to: (1) the study, interpretation, or analysis of the data resulting from the coded information or specimens; and (2) authorship of presentations or manuscripts related to the research.
The challenge of applying the Belmont principle of justice is how to decide which criteria should be used to ensure that harms and benefits of research are equitably distributed to individuals and populations.
Vulnerable Populations
Subparts B, C and D define the specific categories of research in which HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "pregnancy" pregnant women, human HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "fetus" fetuses and HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "neonates" neonates, HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "prisoner" prisoners, or HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "children" children respectively may be involved. The subparts describe additional requirements for HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "informed_consent" informed consent, and may specify additional responsibilities for the Institutional Review Board (IRB) when reviewing research involving these populations, and list the requirements for research that need additional levels of review and approval.
Encompasses the period from the implantation until delivery. A woman shall be assumed to be pregnant if she exhibits any of the pertinent presumptive signs of pregnancy, such as missed menses, until the results of a pregnancy test are negative or until delivery.
The product of conception from implantation until delivery.
A newborn.
Any individual involuntarily confined or detained in a penal institution. The term is intended to encompass individuals sentenced to such an institution under a criminal or civil statute, individuals detained in other facilities by virtue of statutes or commitment procedures which provide alternatives to criminal prosecution or incarceration in a penal institution, and individuals detained pending arraignment, trial, or sentencing.
Persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law of the jurisdiction in which the research will be conducted.
A legally-effective, voluntary agreement that is given by a prospective research participant following comprehension and consideration of all relevant information pertinent to the decision to participate in a study.
Other vulnerable populations include, but are not limited to, mentally disabled persons and economically and/or educationally disadvantaged persons. While the regulations do not specify what additional protections are necessary for these groups, the HHS regulations ( HYPERLINK "http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm" \l "46.111" 45 CFR 46.111) do require that HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "investigator" investigators include additional safeguards in the study to protect the rights and welfare of these individuals when some or all of the subjects are likely to be vulnerable to HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "coercion" coercion or HYPERLINK "http://phrp.nihtraining.com/glossary.php" \l "undue_influence" undue influence.
Requirements for Federal Support of Human Subjects Research
The HHS regulations ( HYPERLINK "http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm" \l "46.120" 45 CFR 46.120) require that Federal Departments and Agencies that conduct or support human subjects research must evaluate all applications for research using the following criteria:
Risks to the subjects
Adequacy of protection against these risks
Potential benefits of the research to the subjects and others
Importance of the knowledge gained or to be gained
OHRP considers the term investigator to include anyone involved in conducting the research. OHRP does not consider the act of solely providing coded private information or specimens (for example, by a tissue repository) to constitute involvement in the conduct of the research. Note that if the individuals who provide coded information or specimens collaborate on other activities related to the conduct of this research with the investigators who receive such information or specimens, then OHRP would consider such additional activities to constitute involvement in the conduct of the research. Examples of such additional activities include, but are not limited to: (1) the study, interpretation, or analysis of the data resulting from the coded information or specimens; and (2) authorship of presentations or manuscripts related to the research.
Influencing an individuals decision about whether or not to do something by using explicit or implied threats (loss of good standing in a job, poor grades, etc.).
An offer of an excessive, unwarranted, inappropriate, or improper reward or other overture in order to obtain compliance.
Influencing an individuals decision about whether or not to do something by using explicit or implied threats (loss of good standing in a job, poor grades, etc.).
May include money, other material compensation, such as a coupon or gift certificate, or other non-monetary rewards.
An offer of an excessive, unwarranted, inappropriate, or improper reward or other overture in order to obtain compliance.
What should you tell research participants?
The following is a bare bones list of the information that sociologists are typically taught to share with their research subjects in order to meet the criteria of ethical research:
Identify the sponsor or contractor of the research.
Identify the host organization (which may or may not be the same as the sponsor).
Identify the identity of the researcher(s).
Identify the subjects of the study.
Describe the purpose of the study. Many sociologists face a dilemma when describing the purpose of the study. You want to provide enough information about the purpose of the study to be ethical but you do not want to provide so much information as to alter the honest responses and participation of your subjects. You do not want to provide so much information that you end up foreshadowing or predetermining the responses.
Describe in detail how confidentiality will be achieved. This includes providing details about how the data collected will be stored, managed, used, and eventually destroyed, even providing details about how long the data will be kept before it is destroyed. The longer we keep the data, the longer the possible risk of a breeching of confidentiality for the participant.
Remind subjects that participation is voluntary and that no negative consequences are expected from their participation (often defined as no negative consequences greater than the risks that they face in their day-to-day lives). We also often discuss what benefits might be expected from participating in the research often to encourage participation.
Remind them that they can withdrawal from the study at any time.
Remind subjects that they can skip portions of the research, for example, skip specific questions that are asked.
What constitutes sensitive research? And why do sociologists study these behaviors?
In order to fully understand the functioning of any human society, and subsequently have some understanding of the human experience, sociologists not only study very public human behavior, behavior in full sunlight, but also the activities that occur in the shadows. We can only more fully understand the human experiences when we study the normative and the deviant, the legal and the illegal (and the often very murky lines between these categories). In order to assure that our subjects are honest with us as we explore their experiences, we must provide them with confidentiality. This is an essential element for reliable and valid research.
Sensitive research can be defined as involving the collection of information falling into any of the following categories:
Information relating to sexual attitudes, preferences, or practices;
Information relating to the use of alcohol, drugs, or other addictive products;
Information pertaining to illegal conduct;
Information that if released could reasonably be damaging to an individual's financial standing, employability, or reputation within the community;
Information that would normally be recorded in a patient's medical record, and the disclosure of which could reasonably lead to social stigmatization or discrimination;
Information pertaining to an individual's psychological well-being or mental health.
Protecting the Anonymity and Confidentiality of Research Subjects.
Survey Methods:
Survey methods often provides a fairly direct way to protect the identity of the participants since by the very nature of the research methods, identifiers do not have to be collected on the instrument, and instruments can be completed anonymously and under stringent conditions of confidentiality. If someone does report some form of illegal activity, it might be close to impossible to back track through the limited demographic information collected in a survey such as race, gender, age, etc., to identify the participant. But we do have to be very careful depending on the group under study because in such cases, even quite limited demographic information can reveal identities. For example, if we are conducting a survey at a work setting which employs primarily female employees (think of a department of nursing at a medical facility), it might be fairly easy to link certain survey responses back to specific male employees unless care is taken to hide the gender of the respondent. Sociologists often struggle with the competing desire to reveal an important characteristic that helps interpret a response (like gender) and the mandate to protect the anonymity of the respondent (Wiles et al., 2006)
Traceability might also be a concern depending on the type of codes that the researcher might use to track response rates.
If, for example, the researcher is going to use email addresses computer IP addresses to insure that respondents can only access an online survey instrument once, then the response may be tagged with some identifying information. The researcher should make sure that they have a way to clean the data of this tagged information to protect the respondent.
There should also be a system in place to destroy any code sheets that link respondents with certain code identifiers that may appear on survey instruments once the data has been collected. Researchers are often reluctant to destroy these records in case they need to go back to the data at some future date, but researchers must take into account the risk under which they may be putting their research subjects.
Interviews/Participant Observation/Observation/Ethnography/Video Recordings:
When we engage in less obvious anonymous forms of research, protecting our subjects becomes much more challenging. Especially in cases where we are intimately associated with our research subjects, engaged in frequent and long conversations, or living and working among them, how can we possibly protect their identities? There are a number of both methodological and legal strategies that the researcher can employ.
Collect anonymous informed consent forms:
Depending on the nature of the research and the sensitivity of the topic material, the researcher may actually bypass collecting any traceable form of informed consent (such as a signed consent form) which could trace back information to an individual. Federal policy allows IRBs to waive the requirement for the investigator to obtain a signed consent form where it will be the only record linking subjects to the research, and where a breach of confidentiality presents the principal risk of harm that might result from the research. One example of this approach is provided by Roberts and Indermaur (2003) who suggest that researchers in criminology do not used signed consent forms because this will provide concrete evidence of who participated in a study. Instead, participants can read the consent form and then check a box stating that they voluntarily consent to participate.
Have the informed consent form assure confidential privilege, in essence meeting the Wigmore test:
The test is used in common law to determine case-by-case confidential privilege. The four tenets of the test include (Palys and Lowman 2000, p.51):
1) The communications must originate in a confidence that they will not be disclosed.
2) This element of confidentiality must be essential to the full and satisfactory maintenance of the relation between the parties.
3) The relation must be one which in the opinion of the community ought to be sedulously fostered.
4) The injury that would inure to the relation by the disclosure of the communications must be greater than the benefit thereby gained for the correct disposal of litigation.
For example, a statement in the consent form along the lines of your right to privacy is ensured and will not be waived under any conditions would provide a legal contract of privilege the courts would likely acknowledge.
Hide identities in all notes generated from the research:
There are a number of ways we can protect our subjects by making sure that the notes generated from our research hide the true identify of our participants. If the notes are subpoenaed, reviewers would still not be able to identify the participants.
Use pseudonyms when writing up notes. Since an individual researcher is likely to remember who is who in their own research (i.e. that Jane is now Mary in the notes), the researcher can assign the assignment of pseudonyms to a third party. This of course will only work to hide the true identity of the participant with a sufficiently large number of participants.
How to hide peoples identities in audio and/or video recordings? There are ways to alter the voice recordings of our respondents which is useful especially if tapes will be kept for any length of time. Peoples likenesses can also be altered or hidden by making faces out of focus or darkening the image beyond recognition.
But what about images that have been collected from public domains? Such as from unrestricted Facebook sites? Do researchers have any legal or ethical obligations to hide the identities of these individuals in their work when the individuals themselves have not chosen to hide their identities? This new form of public display is generating a lot of discussion about new ethical research challenges among social and computer scientists (Bruckman 2006, Kleinberg 2007).
Get a Certificate of Confidentiality from the NIH
Please see Appendix A for detailed information about these certificates that protect the privacy of research participants.
Additional Ethical Issues for the Embedded Researcher:
The danger to self: exposure to illegal activity may expose the researcher to personal dangers, both physical and emotional.
The danger of friendship: as we become friends with our research subjects, we begin to hamper their ability to withhold information from us and to withdraw from the research itself. We may be tempted not to remind people that we are researchers as we personally get closer to them and more embedded in the social world under study. How much reminding would be ethical during the research process?
The dangers to those for whom we may start to care: as we develop relationships with and potentially feelings towards our participants, we may try to actually hamper their participation in the illegal activity. For example, we may counsel our participant to limit their alcohol and drug use. We may try to counsel another to get out of the gun smuggling business. Do we have a moral duty to help our participants by trying to change their behavior? And to what degree does this help actually alter the social world we are trying to observe?
How do we assess the minimization of injury? What is the greater harm for the subjectgetting arrested for the activity or facing the dangers associated with their illegal activity?
What about the social scientist who as part of the research (i.e. participant observation) engages in illegal activity? There are no legal protections for the social scientist if they are caught or confess to participating in the illegal activity (even if in the name of research). See, for example, Ferdinand et al (2007).
Additional Ethical Issues Arise When We Study the Deviant:
Part of our understanding when we conduct research on humans is that we assume we are interacting with other rational human beings who have made informed decisions to participate in our research and who can at anytime withdrawal from the research. But when we are dealing with certain sensitive populations, are our subjects by definition incapable of giving informed consent? In that case, how do we justify our research? Think of the drug addict. Is this person by definition incapable of ever giving informed consent for their participation in our research, indeed meet the definition of a vulnerable population, and if so, who serves as the guardian who gives consent for this research to take place, and who continues to watch our work so that we do not abuse the participant/researcher relationship?
When must you report illegal activity:
In the US, most legal experts agree that in general, it is the prosecutors job to collect information not the citizens job to volunteer it:
Many of our other important values -- such as journalistic integrity, the right to privacy, or the right to be free from unwarranted searches and seizures -- compete directly with an obligation to volunteer information. (Eugene Volokh, HYPERLINK "http://volokh.com/posts/1133293946.shtml" http://volokh.com/posts/1133293946.shtml)
We expect people to tell the truth, to testify completely and truthfully, when summoned before law enforcement officials, but only when questioned by federal agents or compelled to testify. As Volokh contends, we are not a nation of snitches. In fact, as noted below, there are very few crimes in which we all are expected to inform federal officials that a crime has occurred. People can confess all sorts of crimes to other individuals, but in only a few cases are we compelled to share this information with law enforcement officials.
The law in the US tends to allow one person to refrain from testifying about communications with another person under a number of circumstances. Spouses can refuse to testify about communications with each other as well as the often recognized confidentiality protection between clergy members and their clients and attorneys and their clients. The common perception amongst legal professionals is that US law is willing to protect these relationships since society as a whole can benefit from unfettered communications between certain members of society, like between married couples. In a similar vein we recognize the benefits of full disclosure between people and their spiritual counselors and between clients and their legal representatives.
In certain states and under certain circumstances, law enforcement agents can force the breaking of confidentiality agreements under threat of contempt of court. These often apply under the following circumstances:
There is a threat of violence against law enforcement agents.
There is a threat or admission of child abuse.
There is a threat or admission of spousal abuse.
In short, most state law holds that the protection of the less powerful in a society, children and most often female marital partners, outweighs the benefits from protecting confidential communications between people. In many states, this mandate only applies to child abuse.
Overall, this area of the law is evolving, sticky, and pits several constitutional doctrines against each other. States handle the issues very differently, and most cases are very fact-specific. The bottom line here is that depending on where the research is being conducted, it might be best to check with local legal authorities.
Moral Responsibility?
Are there moral obligations to report other kinds of activity? This is a continuing question among researchers as we often discover activity that we are not legally obligated to report but that we might feel we are morally obligated to report. Ferdinand et al (2007) again offer some good examples of researchers wrestling with their own moral compasses when confronted with ethical dilemmas in the field, and review when the researcher felt that they had a moral duty to report.
Our responsibility as ethical researchers we believe lies with finding resolutions to the situated dilemmas we encounter throughout the course of research. Codes of ethics, political orientations, and legal frameworks can assist in finding these resolutions, but none of these in and of themselves are adequate for the task in all situations. (ibid 540)
Drafting Your Research Proposal and Working With Your IRB
Attempt to meet all the basic ethical requirements associated with conducting research on human subjects as outlined by the federal government and by the standard of the American Sociological Association. In cases where all the provisions cannot be met due to the nature of the research, clearly address why they cannot be met and address how subjects will be protected.
Describe in detail how the confidentiality and anonymity of your research subjects will be protected. Specifically review:
Whether you should apply for a Certificate of Confidentiality
Whether you should use anonymous informed consent forms
Whether the wording of your informed consent form would pass the Wigmore test
How you will hide the identities of individuals in research notes and other collected forms of data (such as audio/video recordings). Have you done enough so that if your work is subpoenaed, law enforcement officials would not be able to identify the identities of your subjects?
Describe in detail how data will be stored and when and how raw data will be destroyed
Consider whether less obvious forms of identity markers such as email addresses or IP addresses are being collected through your research design and address how you will uncouple these identifiers from the data.
Review past work on the population that you intend to study, whether or not this is a sensitive population. Past research can help us anticipate some of the ethical dilemmas we may face in the field. The more that we can anticipate possible ethical conflicts, the more we can think about our possible plan of action should the conflict arise. We do not need to recreate the wheel each time we venture out in the field. Forethought can help us protect our research subjects and ourselves.
Especially in cases of participant observation and potentially vulnerable populations, have we put in place some oversight of the researcher herself/himself to make sure that developing friendships do not impede subjects ability to withhold information and/or withdrawal from the researcher? The implementation of a third party overseer could be a useful addition to this form of field research, especially when the population under study meets any definition of a vulnerable population.
Try to establish and maintain an open dialogue with your institutions IRB so that in cases of unanticipated events during the research process, your IRB will be willing to address new issues that arise, revisit the research proposal, help revise the research protocol and hopefully continue to support the research.
Some people working on sensitive/illegal issues and some of the challenges they have faced:
Amy Cooter, Doctoral Candidate, University of Michigan, was recently asked to speak about her work on the Rachel Maddow show
Amy Cooter, in the photo above, has spent the past few years getting to know people in Michigan's militia movement. Cooter's writing a sociology dissertation based on her field work at the University of Michigan. After Monday's HYPERLINK "http://freep.com/article/20100330/NEWS05/3300338/1318/Feds-Religious-militia-group-plotted-to-kill-cops" news about the arrests of nine members of the HYPERLINK "http://hutaree.com/" Hutaree, an extremist Christian militia based in that state, she agreed to share with us some of what she's learned. Cooter writes:
"Probably the most important thing to know about the Militia Movement is that it is less cohesive and unified than we typically think of social movements or nation-wide interest groups as being. That is, groups of the Militia Movement even within a given state can vary as much or more than groups separated by state lines. There is really no such thing as the Michigan Militia as a result, although the highly visible HYPERLINK "http://www.michiganmilitia.com/SMVM/smvm.htm" Southeast Michigan Volunteer Militia and groups with which it associates do have more in common than not. The beliefs and actions of the indicted HYPERLINK "http://hutaree.com/" Hutaree members, on the other hand, represent an extreme of the militia movement. (http://maddowblog.msnbc.msn.com/_news/2010/03/30/4090383-sociologist-how-to-understand-militias)
Scott DeMuth, graduate student in Sociology, University of Minnesota
Social scientists who study illegal activities periodically face criticism for their commitment to protecting the confidentiality of their research subjects, who regularly break the law. Supporters of Scott DeMuth, a University of Minnesota graduate student in sociology, say that his recent prosecution by federal authorities is an extreme and dangerous example of such criticism.
Professors are organizing on his behalf, saying that federal authorities are using inappropriate measures to try to get DeMuth to reveal what he knows about underground animal rights groups.
HYPERLINK "http://www.insidehighered.com/news/2009/12/04/demuth" http://www.insidehighered.com/news/2009/12/04/demuth
Author: Scott Jaschik
December 4, 2009
Russel Ogden, graduate student, Simon Fraser University
The Russel Ogden Case
A fascinating case study involving ethics regulation in the universities has occurred over the last few years at Simon Fraser University. The basics of the case are that Russel Ogden, a former graduate student in the School of Criminology, did his MA thesis on the topic of assisted suicides among persons suffering from HIV/AIDS. His proposal, which he submitted to the SFU Ethics Committee, noted that he would offer his research participants "absolute confidentiality." Subsequent to completing his thesis, Ogden was supoenaed to appear in Coroner's Court, and asked to share information with the court regarding a death about which it was thought he might have knowledge. He refused to testify, and was threatened with charges of contempt of court. SFU's administration and Ethics Committee quickly disappeared, leaving Ogden to face the charges on his own. Ogden invoked the HYPERLINK "http://www.sfu.ca/~palys/wigmore.htm" Wigmore criteria in support of his assertion that the information he gained was subject to researcher-participant privilege, and eventually won his case, becoming the first and only researcher in Canada ever to have researcher-participant privilege recognized in common law. SFU's only response to the situation was to give Ogden $2,000 on "compassionate" grounds (against his legal expenses, which amounted to approximately $11,500), and then to change SFU's Ethics Policy in a way that precluded researchers guaranteeing confidentiality to research participants in the future. (http://www.sfu.ca/~palys/OgdenPge.htm)
Author: HYPERLINK "mailto:merz@mail.med.upenn.edu?subject=When%20a%20University%20Kills%20Suicide%20Research" Jon Merz Date:07-07-08 09:53 Source: Insidehighered.com URL: HYPERLINK "http://www.insidehighered.com/news/2008/07/07/suicide" http://www.insidehighered.com/news/2008/07/07/suicide Date published: July 7th 2008
Appendix A:
Certificates of Confidentiality KioskCertificates of Confidentiality constitute an important tool to protect the privacy of research study participants. Thus, NIH would like to encourage their appropriate use. NIH is making information widely available to investigators working on sensitive biomedical, behavioral, clinical or other types of research at this Certificate Kiosk. Information may get added to this site periodically. Readers are encouraged to check back periodically. Certificates of Confidentiality are issued by the National Institutes of Health (NIH) to protect identifiable research information from forced disclosure. They allow the investigator and others who have access to research records to refuse to disclose identifying information on research participants in any civil, criminal, administrative, legislative, or other proceeding, whether at the federal, state, or local level. Certificates of Confidentiality may be granted for studies collecting information that, if disclosed, could have adverse consequences for subjects or damage their financial standing, employability, insurability, or reputation. By protecting researchers and institutions from being compelled to disclose information that would identify research subjects, Certificates of Confidentiality help achieve the research objectives and promote participation in studies by assuring confidentiality and privacy to participants. For more information, see below.
Certificates of Confidentiality Information:
HYPERLINK "http://www.grants.nih.gov/grants/guide/notice-files/NOT-OD-02-037.html" NIH Guide Notice (03/15/2002) - NIH Announces Statement on Certificates of Confidentiality.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/background.htm" Background Information (07/21/2003) - Detailed Background Information on Certificates of Confidentiality.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/faqs.htm" Frequently Asked Questions (07/21/2003) - Listing of Frequently Asked Questions on Certificates of Confidentiality that will be updated as new questions are received. Please check back periodically for new questions and answers.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/slides_020503/index.htm" Slide Presentation (05/03/2002) - Slide presentation on Certificates of Confidentiality, in HTML and PowerPoint formats.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/appl_extramural.htm" Extramural Projects - Application Instructions (03/15/2002) - Detailed Application Instructions for Certificate of Confidentiality Involving Extramural Research Projects.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/appl_intramural.htm" Intramural Projects - Application Instructions (03/15/2002) - Detailed Application Instructions for Certificate of Confidentiality Involving Intramural Research Projects.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/contacts.htm" Contacts List - NIH staff who you can contact for additional information.
HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/cd_policy.htm" Reporting of Communicable Diseases Policy (08/09/1991) - Memorandum from the Assistant Secretary for Health on Disease Reporting relating to Certificates of Confidentiality.
While Certificates protect against involuntary disclosure, investigators should note that research subjects might voluntarily disclose their research data or information. Subjects may disclose information to physicians or other third parties. They may also authorize in writing the investigator to release the information to insurers, employers, or other third parties. In such cases, researchers may not use the Certificate to refuse disclosure. Moreover, researchers are not prevented from the voluntary disclosure of matters such as child abuse, reportable communicable diseases, or subject's threatened violence to self or others. (For information on communicable disease reporting policy, see HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/cd_policy.htm" Communicable Diseases Policy. However, if the researcher intends to make any voluntary disclosures, the consent form must specify such disclosure.
Instructions for Applicants
Any person engaged in research collecting sensitive information from human research subjects may apply for a Certificate of Confidentiality. NIH is authorized to issue this privacy protection, in its discretion, for important research within its mission areas. The purpose of this statutory authorization is, in part, to reduce impediments to biomedical/bio-behavioral research subject recruitment.NIH provides detailed instructions for investigators wishing to make an application. Detailed application instructions for extramural scientists can be found at HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/appl_extramural.htm" http://grants.nih.gov/grants/policy/coc/appl_extramural.htm. Detailed application instructions for intramural scientists can be found at HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/appl_intramural.htm" http://grants.nih.gov/grants/policy/coc/appl_intramural.htm. Additional information is available on the HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/faqs.htm" Frequently Asked Questions page.
The application, which should be submitted on the research institution's letterhead, requires information about the PI, the grantee institution, and the project. However, on a case-by-case basis, some NIH Institutes and Centers (ICs) may require additional information in order to assist them in carrying out their discretionary authority to issue Certificates of Confidentiality. Therefore, it is important that applicants consult their funding IC prior to submitting an application for a Certificate of Confidentiality. Investigators conducting sensitive research that is not supported with NIH funds may apply for a certificate through the NIH. They should contact the NIH IC that supports work in the same substantive area. Alternatively, they can contact one of the ICs serving as a Central Certificate Resource. For a list of Certificate contacts, see HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/contacts.htm" http://grants.nih.gov/grants/policy/coc/contacts.htm.
In addition to the completed form, the Principal Investigator (PI) will be required to provide documentation of Institutional Review Board (IRB) approval and a copy of the informed consent forms as it would read if a Certificate of Confidentiality is obtained explaining the Certificate, its protections and the circumstances in which voluntary disclosures might be made, i.e. to protect the subject or others from serious harm. The completed package should be sent to the Certificate Coordinator at the appropriate NIH IC.
In cases where a Certificate of Confidentiality is sought for a student research project, the letter of application must be submitted on institutional stationery and signed by three people: the student, the student's advisor or other appropriate faculty member, and the Institutional Official. Moreover, the IRB approval for a student research project must be issued jointly to the student and the advisor or to the advisor with a copy to the student.
The Certificate is issued by the NIH based on the application from the PI for a specific research project. The Certificate is granted to the investigator's institution. If more than one institution is participating in a multi-site project, the PI at the coordinating center or "lead" institution applies for the Certificate on behalf of all sites, listing each participating unit, its address and project director in the application. A single Certificate for such multi-site projects is issued, and the lead institution is responsible for distributing copies of the Certificate to each participating unit or site.
If the PI relocates to a new institution during the course of the project, he or she should apply for an amendment to the existing Certificate. If there are significant modifications to the project or the informed consent form, the PI should contact the Certificate Coordinator that issued the Certificate. Significant changes to the project may require a modification to the existing Certificate or an application for a new Certificate if there is substantial change in the scope of research. If the project is not completed in the time specified in the application for the Certificate, the PI should apply for an extension to the expected date of completion of the project. Requests for modifications, amendments, and extensions should be submitted three months prior to the date needed and should be accompanied by a reason for requesting it and documentation of the most recent IRB approval.
Both the PI and the Institutional Official are required to sign the Certificate application. In doing so, they are agreeing to the assurances as stated in the application form. (See HYPERLINK "http://grants.nih.gov/grants/policy/coc/appl_extramural.htm" http://grants.nih.gov/grants/policy/coc/appl_extramural.htm.) The name, title, and address of the Institutional Official should be typed below the signature.
NIH Intramural Investigators may also apply for Certificates of Confidentiality. Detailed instructions for Intramural investigators are available at HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/appl_intramural.htm" http://grants.nih.gov/grants/policy/coc/appl_intramural.htm. When possible, an application for a Certificate should be made in conjunction with initial or annual IRB review of research proposals. Intramural PIs should complete the application form and attach a concise description of project aims and research methods (this can be met by attaching a copy of the protocol), IRB approval (memo signed by the IRB Chair), and a copy of the informed consent form to be used in the study, as approved by the IRB. Completed packages should be sent to the Certificate Coordinator at the appropriate NIH IC.
A. March 15, 2002:
What is a Certificate of Confidentiality?
A Certificate of Confidentiality helps researchers protect the privacy of human research participants enrolled in biomedical, behavioral, clinical and other forms of sensitive research. Certificates protect against compulsory legal demands, such as court orders and subpoenas, for identifying information or identifying characteristics of a research participant.
Who may apply for a Certificate of Confidentiality?
Any person engaged in research in which sensitive information is gathered from human research participants (or any person who intends to engage in such research) may apply for a Certificate of Confidentiality.
What kind of research is eligible for a Certificate?
Generally, any research project that collects personally identifiable, sensitive information and that has been approved by an IRB operating under either an approved Federal-Wide Assurance issued by the Office of Human Research Protections or the approval of the Food and Drug Administration is eligible for a Certificate. Federal funding is not a prerequisite for an NIH-issued Certificate, but the subject matter of the study must fall within a mission area of the National Institutes of Health, including its Institutes, Centers and the National Library of Medicine.
I am planning two different studies that will involve human subjects from two different populations. Both studies will collect sensitive information. Can I apply for one Certificate to cover both projects?
A separate application is required for each research project for which a Certificate is desired. A certificate is generally issued to a research institution for a single project (not broad groups or classes of projects). However, projects that use the same sample of subjects but have different protocols may file for one Certificate since the subjects, whose identities the investigator wishes to protect, are the same.
I am planning a multi-site trial for a behavioral intervention for HIV. Does each site need a separate Certificate of Confidentiality?
For multi-site projects, a coordinating center or lead institution can apply for and receive a Certificate on behalf of all member institutions. In the application for a Certificate, multi-site applicants must list each participating unit, its address, and project director. In addition, the lead site must indicate that it has on file a copy of the IRB approval and IRB-approved consent form from each site, which will be made available to the NIH upon request. The informed consent form for each site should contain appropriate language about the protections and limitations of the Certificate of Confidentiality.
What is meant by sensitive information?
Sensitive information includes (but is not limited to) information relating to sexual attitudes, preferences, or practices; information relating to the use of alcohol, drugs, or other addictive products; information pertaining to illegal conduct; information that, if released, might be damaging to an individual's financial standing, employability, or reputation within the community or might lead to social stigmatization or discrimination; information pertaining to an individual's psychological well-being or mental health; and genetic information or tissue samples.
Can you give some examples of research projects that are eligible for a Certificate?
Certainly. The following is an illustrative but not exhaustive list of research areas eligible for a Certificate:
Research on HIV, AIDS, and other STDs;
Studies that collect information on sexual attitudes, preferences, or practices;
Studies on the use of alcohol, drugs, or other addictive products;
Studies that collect information on illegal conduct;
Studies that gather information that if released could be damaging to a participant's financial standing, employability, or reputation within the community;
Research involving information that might lead to social stigmatization or discrimination if it were disclosed;
Research on participants' psychological well being or mental health;
Genetic studies, including those that collect and store biological samples for future use;
Research on behavioral interventions and epidemiologic studies.
What studies would NOT be eligible?
Ineligible studies include projects that are
not research based,
not approved by an IRB operating under either an approved Federal-Wide Assurance issued by the Office of Human Research Protections or the approval of the Food and Drug Administration,
not collecting sensitive information or information that, if released publicly, might harm the research participants,
not collecting personally identifiable information, or
not involving a subject matter that is within a mission area of the National Institutes of Health.
Is NIH required to give all who apply a Certificate of Confidentiality?
No. No project is entitled to a Certificate; its issuance is discretionary.
What is the effect of a Certificate? What protection does it afford?
Researchers can use a Certificate to avoid compelled "involuntary disclosure" (e.g., subpoenas) of names and other identifying information about any individual who participates as a research subject (i.e., about whom the investigator maintains identifying information) during any time the Certificate is in effect. It does not protect against voluntary disclosures by the researcher, but those disclosures must be specified in the informed consent form. A researcher may not rely on the Certificate to withhold data if the participant consents in writing to the disclosure.
How long does a Certificate's protection last?
Individuals who participate as research subjects (i.e., about whom the investigator maintains identifying information) in the specified research project during any time the Certificate is in effect are protected permanently- even if the subject gave the researcher data before the Certificate is issued.
In what situations may personally identifiable information protected by a Certificate be disclosed?
Personally identifiable information protected by a Certificate may be disclosed under the following circumstances:
Voluntary disclosure of information by study participants themselves or any disclosure that the study participant has consented to in writing, such as to insurers, employers, or other third parties;
Voluntary disclosure by the researcher of information on such things as child abuse, reportable communicable diseases, possible threat to self or others, or other voluntary disclosures provided that such disclosures are spelled out in the informed consent form;
Voluntary compliance by the researcher with reporting requirements of state laws, such as knowledge of communicable disease, provided such intention to report is specified in the informed consent form (see Attachment D, which sets forth PHS policy on reporting of communicable diseases); or
Release of information by researchers to DHHS as required for program evaluation or audits of research records or to the FDA as required under the federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et seq.)
What does identifying characteristic mean?
Identifying characteristics include things such as: name, address, social security or other identifying number, fingerprints, voiceprints, photographs, genetic information or tissue samples, or any other item or combination of data about a research participant which could reasonably lead, directly or indirectly by reference to other information, to identification of that research subject.
To whom should I apply for a Certificate of Confidentiality?
If NIH funds the research project for which you would like to request a Certificate, you should apply through the funding Institute or Center (IC). If your research is not supported with NIH funding, you may apply for a Certificate through the NIH IC that supports research in a scientific area similar to your project. Please note that NIH is authorized to issue Certificates only for important research within its mission areas. Contact information is available on the NIH website at the HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/index.htm" Certificates of Confidentiality Kiosk.
What if I am not sure to which NIH Institute I should apply?
If you are uncertain which Institute or Center you should contact for a Certificate of Confidentiality, you can contact one of the Central Certificate resources listed on the NIH website at the HYPERLINK "http://www.grants.nih.gov/grants/policy/coc/index.htm" Certificates of Confidentiality Kiosk.
May I apply for a Certificate if the Federal government does not fund my research project?
Yes. A Certificate of Confidentiality can be awarded whether or not a research project is federally funded.
When should I apply for a Certificate?
Generally, an application for a Certificate of Confidentiality is submitted after the Institutional Review Board (IRB) responsible for its review approves the research project (because IRB approval or approval conditioned upon issuance of a Certificate of Confidentiality is a prerequisite for issuance of a Certificate). Since the informed consent form should include language describing the Certificate and any voluntary disclosures specified by the investigator, the Applicant could tell the IRB that they are applying for a Certificate of Confidentiality and have included appropriate language in the informed consent form. Applications for Certificates should be submitted at least three months prior to the date on which enrollment of research subjects is expected to begin.
What if there is a significant change in my research project after a Certificate is issued?
If a significant change in your research project is proposed after a Certificate is issued, you must inform the Certificate Coordinator of the Institute issuing the certificate by submitting an amended application for a Certificate of Confidentiality (in the same form and manner as your original application for a Certificate).
What do you mean by significant changes?
Significant changes include: major changes in the scope or direction of the research protocol, changes in personnel having major responsibilities in the project, or changes in the drugs to be administered (if any) and the persons who will administer them.
What happens once I submit an amended application?
Amended applications will be reviewed by the NIH Institute issuing the certificate and either approved or disapproved. If an amended application is approved, an amended Certificate of Confidentiality will be issued. If an amended application is disapproved, you will be notified that adoption of the proposed significant change(s) will result in prospective termination of the original Certificate. Any termination of a Certificate of Confidentiality is operative only with respect to the identifying characteristics of individuals who began their participation as research subjects after the effective date of such termination.
What if my research project extends beyond the expiration date on the Certificate?
If you determine that the research project for which you have received a Certificate of Confidentiality will extend beyond the expiration date on the Certificate, you may submit a written request for extension of the date. This request should be submitted to the NIH Institute issuing the certificate at least three months prior to the Certificate's expiration. It must include an explanation of the reasons for requesting an extension (e.g., new subjects continue to be enrolled in the project), a revised estimate of the date for completion of the project, documentation of the Institutional Review Board's most recent approval for the project, and a copy of the consent form which should include language explaining the Certificate's protections, specify any voluntary disclosures, and clearly state any other limitations. If your request is approved, an amended Certificate will be issued.
What is the researcher's responsibility to participants regarding a Certificate of Confidentiality?
When a researcher obtains a Certificate of Confidentiality, the subjects must be told about protections afforded by the Certificate and any exceptions to those protections - i.e., the circumstances in which the investigators plan to disclose, voluntarily, identifying information about research participants (e.g., child abuse, harm to self or others, etc.). This information should be included in the informed consent form unless a research subject is no longer actively participating in the project so amendment of the informed consent would be impractical The researchers should eliminate provisions in consent form templates that may be inconsistent with the Certificate protections (such as references to disclosures required by law, since the Certificate enables researchers to resist disclosures that would otherwise be compelled by law). In addition, researchers may not represent the Certificate as an endorsement of the research project by the DHHS or use it in a coercive manner when recruiting subjects.
Has the legality of Certificates been challenged?
There have been very few reported court cases. In 1973, the certificate's authority was upheld in the New York Court of Appeals. The U.S. Supreme Court declined to hear the case.
What should an investigator do if legal action is brought to release personally identifying information protected by a certificate?
The researcher should immediately inform the Certificate Coordinator who issued the Certificate and seek legal counsel from his or her institution. The Office of the NIH Legal Advisor is willing to discuss the regulations with the researcher's attorney.
I am collecting data from subjects recruited in a foreign country. Can I get a Certificate of Confidentiality?
Yes, if the data are maintained within the U.S. If the data are maintained only in the foreign country, a Certificate of Confidentiality would not be effective.
I am an intramural scientist working on a clinical HIV study at the NIH. If the Federal Privacy Act applies to my research, do I still need a Certificate of Confidentiality?
Yes, because the Federal Privacy Act does not protect identifying information if disclosure is ordered by a court of competent jurisdiction. Moreover, there are other exceptions to the protection afforded by the Privacy Act.
I'm conducting a longitudinal study. I just got a Certificate of Confidentiality. Part of my cohort was recruited prior to issuance of the Certificate, but they are no longer actively participating in the study. What do I do?
In the informed consent form, you should tell subjects who are still actively involved in your study that the Certificate is in effect. If subjects are no longer actively participating in the project, an amendment to the informed consent form would be impractical.
If I am conducting a sensitive research project that is covered by the AHRQ confidentiality statute (42 U.S.C. section299a-1(c) entitled limitation on use of certain information) or the Department of Justice confidentiality statute (42USC section 3789g), should I also apply to the NIH for a Certificate of Confidentiality?
No. You should not apply for an NIH Certificate if your study is covered by AHRQ or the DOJ statute.
B. April 10, 2002:
You indicate that both the PI and the Institutional Official must sign the application for a Certificate. What do you mean by "Institutional Official"?
The authorized institutional official is the individual named by the applicant organization who is authorized to act for that organization and assumes on behalf of the institution the obligations imposed by assurances as well as obligations imposed by the Federal laws, regulations, requirements and other conditions that apply to grant applications and awards.
C. July 21, 2003:
Does the Privacy Rule preclude the need for Certificates of Confidentiality?
No. Certificates of Confidentiality offer an important protection for the privacy of research study participants by protecting identifiable health information from forced disclosure (e.g., by court order). While the Privacy Rule does establish protections for covered entities use and disclosure of PHI, it permits use or disclosure in response to certain judicial or administrative orders. Therefore, researchers/contractors may obtain Certificates of Confidentiality to protect them from being forced to disclose information that would have to be disclosed under the Privacy Rule.
D. March 22, 2005:
Does the Patriot Act affect the Certificate of Confidentiality protections?
No, a Certificate of Confidentiality protects investigators and institutions from being compelled to release information that could be used to identify study participants in any civil, criminal, administrative, legislative, or other proceeding, whether at the federal, state, or local level. The Patriot Act does not affect those protections.
Appendix B: Some References
Adler, P. A., & Adler, P. (2002). Do university lawyers and the police define research values? In Walking the tightrope: Ethical issues for qualitative researchers, W. C. Van den Hoonard (ed.). Toronto: University of Toronto Press. Pp. 34-42.
Annas, G., & Grodin, M. (eds.) (1992). The Nazi doctors and the Nuremberg Code: Human rights in human experimentation. New York: Oxford.
Babbie, E. (2001). The practice of social research. Belmont, CA: Wadsworth Publishing.
Barber, B. (1973). Prepared statements to the House Subcommittee on Health Hearing, Protection of Human Subjects Act. Washington, DC: U.S. Congress.
Berg, B. L. (2004). Qualitative research methods for the social sciences. Toronto: Pearson Education.
Bruckman, A., "Teaching Students to Study Online Communities Ethically," Journal of Information Ethics 15, 2 (2006), 82--98.
Ferdinand J., Pearson G., Rowe M. et al. (2007). A different kind of ethics. Ethnography, 8(4):519-543.
Fitzgerald, J., & Hamilton, M. (1996). The consequences of knowing: Ethical and legal liabilities in illicit drug research. Social Science and Medicine, 43(11), 1591-1600.
Geis, G., Mobley, A., & Schichor, D. (1999). Private prisons, criminological research, and conflict of interest: A case study. Crime and Delinquency, 45, 372-390.
Lucas, K. B., & Lidstone, J. G. (2000). Ethical issues in teaching about research ethics. Evaluation and research in ethics, Evaluation and Research in Ethics, 14, 53-64.
Haggerty, K. (2004). Ethics creep: Governing social science research in the name of ethics. Qualitative Sociology, 27(4): 391-414.
Israel, M. (2004). Strictly confidential? Integrity and the disclosure of criminological and socio-legal research. British Journal of Criminology, 44, 715-740.
Itlas, A. S. (2006). Human subjects research: Ethics and compliance. In Research ethics, Anna Smith Itlas (ed.). New York: Routledge. pp. 1-21.
HYPERLINK "http://portal.acm.org/citation.cfm?id=1281195&dl=GUIDE&coll=GUIDE&CFID=97061913&CFTOKEN=83380966" Jon M. Kleinberg, Challenges in mining social network data: processes, privacy, and paradoxes, Proceedings of the 13th ACM SIGKDD international conference on Knowledge discovery and data mining, p.4-5, August 12-15, 2007, San Jose, California, USA
Lowman, J., & Palys, T. (2004). Ethics and institutional conflict of interest: The research
confidentiality controversy at Simon Fraser University. Sociological Practice, 2(4): 245-264.
Milgram, S. (1974). Obedience to authority. New York: Harper & Row.
Mueller, J. (2007). Ignorance is neither bliss nor ethical. Northwestern University Law Review, 101(2): 809-836.
Mueller, J. (2004). Research ethics: A tool for harassment in the academic workplace. In Workplace mobbing in academe, K. Westhues (ed.). Lewiston, NY: E. Mellen Press. pp. 1-24.
Palys, T., & Lowman, J. (2006). Protecting research confidentiality: Towards a research-
participant shield law. Canadian Journal of Law and Society, 21(1): 163-185.
Palys, T., & Lowman, J. (2002). Anticipating law: Research methods, ethics, and the law of privilege. Sociological Methodology, 32: 1-17.
Palys, T., & Lowman, J. (2000). Ethical and legal strategies for protecting confidential research information. Canadian Journal of Law and Society, 15(1): 39-80.
Power, R. (2001). Reflections on Participant Observation in Drugs Research. Addiction Research and Theory, 9(4):325-337
Roberts, L., & Indermaur, D. (2003, March). Signed consent forms in criminological research: Protection for researchers and ethics committees but a threat to research participants? Evaluation in Crime and Justice: Trends and Methods Conference, Canberra AU.
Savage, J. (2000). Participant observation: Standing in the shoes of others? Qualitative Health Research, 10(3), 324-339.
Scarce, R. (2005). Contempt of court: A scholars battle for free speech behind bars. Lanham,
MD: Altamira press.
Shea, C. (2000). Dont talk to humans: The crackdown in social science research. Lingua
Franca, 10(6): 26-34
Ward, J. (2008). Researching Drug Sellers: An experiential account from the field. Sociological Research Online, 13(1)
Wiles, R., Crow, G. Heath, S. et al, Anonymity and Confidentiality. Paper presented at ESRC Research Methods Festival, University of Oxford, July 2006
Zimbardo, P. G. (1973). On the ethics of intervention in human psychological research: With special reference to the Stanford Prison Experiment. Cognition, 2, 243-256.
John Henry Wigmore (March 4, 1863 April 20, 1943) was a HYPERLINK "http://en.wikipedia.org/wiki/United_States" \o "United States" U.S. HYPERLINK "http://en.wikipedia.org/wiki/Jurist" \o "Jurist" jurist and expert in the HYPERLINK "http://en.wikipedia.org/wiki/Law_of_evidence" \o "Law of evidence" law of evidence. He wrote about the maintenance of client-attorney privilege and when it could be revoked.
For example, please see the findings from the Conference on Human Factors in Computing Systems , Proceedings of the 27th international conference extended abstracts on Human factors in computing systems, Boston, MA, USA , Year of Publication:2009, ISBN:978-1-60558-247-4
Some of the information from the legal protection of confidential communication and the limits of such protections can be reviewed on Legal Lad, a division of Quick and Dirty Tips on the web ( HYPERLINK "http://legallad.quickanddirtytips.com/" http://legallad.quickanddirtytips.com/). Legal Lad host Adam Freedman is a lawyer and a regular columnist for the New York Law Journal and Vocabula Review. Freedmans legal commentary has been featured in The New York Times, the Minneapolis Star-Tribune, and on Public Radio. He holds degrees from Yale, Oxford, and the University of Chicago
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