Policy paper

How we carry out ethical research

Updated 27 February 2025

Applies to England

Introduction

Ofsted carries out all research with dedication and commitment to the Civil Service and its core values: integrity, honesty, objectivity and impartiality.

Ofsted is a member of the Government Social Research profession, which supports the development, implementation, review and evaluation of government policy.

This document sets out our policy on carrying out research or evaluation directly with people, and with secondary data, on behalf of Ofsted.

Carrying out ethical research

In Ofsted, research is the use of social scientific methods to provide a new understanding of matters relating to the sectors we inspect and regulate. This includes the quality of education and care for children and learners.

Evaluation is an area of research that examines the implementation or impact of either government or Ofsted policy and practice.

When we say ‘research’ in this policy, we mean both research and evaluation.

Research in social science may involve collecting data from people who directly take part, or using secondary data already collected.

This policy applies to collecting data from people and analysing secondary data for research purposes. As such, it does not apply to collecting data for other purposes (such as where there is a direct legal requirement to provide data, for example, for Ofsted to carry out its inspection and regulatory activity).

Policy statement

Ofsted is fully committed to carrying out high-quality research.

All our research follows 6 core principles (see Government Social Research guidelines):

• there must be a clear user need and public benefit for our research
• we must use sound research methods and protect against bias when interpreting our findings
• we must follow data protection laws and securely handle personal data
• we must ensure ethical participation
• we must ensure that the groups our research seeks to represent can participate
• we must make it a priority not to cause harm

We aim to ensure that all research by Ofsted employees, or on behalf of Ofsted, is carried out in a way that protects all those doing the research as well as those taking part in it.

All of our research has the welfare and safety of children and young people at its core. If we have concerns about the safety of a child or young person, we will follow our internal guidance and Ofsted’s safeguarding policy. 

Before we begin any of our research, a research ethics committee reviews our proposals and methods. This committee includes external research ethics experts, as well as internal members who are researchers, analysts, data protection experts and inspectors. We only begin our research activity if the committee approves the ethics application.

Our research is informed by the following guidance:

• Government Social Research guidelines
• British Educational Research Association guidelines
• The UK Framework for Health and Social Care Research
• Ethical Research Involving Children guidelines
• UK Statistics Authority ethics in statistics and research
• Ofsted’s safeguarding policy
• The Civil Service code
• The Data Protection Act 2018
• General Data Protection Regulation

Core research principles

This section describes some of the main considerations related to each of our ethical principles.

Data collected for research purposes will only be used for the purpose collected

Research must meet a need to provide new knowledge about how Ofsted works, the sectors we inspect or regulate, or other topics necessary for us to perform the functions set out in sections 116 to 119 of the Education and Inspections Act 2006 (‘the Act’).

These functions include:

• determining HMCI’s strategic priorities, objectives and targets
• ensuring that HMCI’s functions are performed effectively and efficiently
• encouraging improvement in those we inspect and regulate
• encouraging the carrying out of user-focused activities
• encouraging those we inspect and regulate to use resources efficiently and effectively
• informing the Secretary of State about the quality of education and care
• providing advice and assistance to other public authorities (under paragraph 8 of Schedule 13 to the Act)

Research must be proportionate to this need and researchers should avoid placing an unnecessary burden on people.

Sometimes research activity is carried out by our inspectors. When inspectors visit a provider solely to carry out research, they are acting in a research capacity only. They will not provide individual feedback to people taking part in research-only activities. Some requests from the Secretary of State involve inspection as well as research. Inspectors will provide leaders and governors with individual feedback on the outcome of these inspections, in line with our published inspection handbook.

People’s data is protected by the terms set out in any voluntary participation agreement. This means that we will use what people tell us only for the purpose stated in the agreement. Those who carry out research on our behalf have a duty to protect participants’ data, as set out in the avoidance of harm section. However, if we have concerns about the safety of a child/young person or vulnerable adult, or a provider, we will follow the procedures in our safeguarding policy and in our internal guidance.

Ensuring ethical participation

The Secretary of State has the power, under section 118(2) of the Act, to require us to provide information or advice on matters within a remit in which we have inspection or regulatory powers. In this situation, we may gather that information by carrying out an inspection, or by using our power of entry and our power to inspect documents for that remit, rather than by inviting voluntary informed participation with the right to withdraw.

However, even when we choose to carry out an inspection or use our statutory powers, children, young people, parents and service users will only ever participate in our research activities on a voluntary basis. Our researchers will ask for their agreement before carrying out any research activity. Therefore, the following paragraphs about voluntary informed participation and the right to withdraw do apply to children, young people, parents and service users. The following do not apply to providers when the research is being carried out in response to a request from the Secretary of State under section 118(2) of the Act.

When research involves Ofsted employees, we make sure we get an appropriate, meaningful sample. Voluntary informed participation and the right to withdraw might not be meaningful in an employer/employee relationship. This is because employers are entitled to give reasonable instructions to their employees – in this case, for example, to direct them to cooperate with the research activities.

Voluntary informed participation

When we carry out research externally, researchers will take appropriate steps to satisfy themselves that people have exercised free will when agreeing to take part in our research.

Researchers must give everyone the information they need to make an informed decision about taking part. This should include, but is not limited to:

• the aims and purpose of the research
• what we will ask people to do
• the benefits and drawbacks of participation
• their right to withdraw for any or no reason
• how we will use, store, share and retain their data
• relevant contact details
• reasons why confidentiality may need to be breached

Researchers must provide information in a way that is appropriate for the participant, particularly when carrying out research with children or vulnerable groups. They will always record people’s voluntary informed participation in a way that is appropriate for the person and proportionate to the legal and ethical considerations, as advised by the research ethics committee.

Researchers will analyse secondary data in a way that is consistent with the participant’s original consent, based on the information given at the time, for example in privacy notices or information sheets. We will always check that any original consent covers potential future use of the data.

The right to withdraw

All people taking part in research must be informed that they can withdraw for any or no reason, at any point before or during data collection, and that withdrawal will not be detrimental to them.

People taking part should also be informed of the point at which the data they have provided can no longer be excluded from the research findings. For example, the right to withdraw may be impractical after data has been aggregated.

Researchers must provide contact details so that people can withdraw from the research.

The role of gatekeepers and guardians

A gatekeeper is any person or organisation that acts as an intermediary between Ofsted and potential participants in research. Researchers will normally contact participants directly before they take part in the research, if it is practical to do so.

However, it may be necessary to use a gatekeeper:

• when a legal guardian can grant or deny their permission for a child to be approached to take part in the research
• for people who we cannot contact directly

When we use a gatekeeper, researchers will take reasonable steps to make sure everyone taking part is as fully informed as possible. This includes being informed of the right to withdraw.

Imbalance of power between people taking part

Researchers must take steps to mitigate the possible impact of any imbalance of power on research participants, and on the validity and truthfulness of the data collected.

Many different power relationships may be present in research. Researchers should carefully consider mitigating against power imbalances between:

• researchers and people taking part
• inspectors and the settings they inspect
• individuals taking part
• minority groups or people with protected characteristics and researchers or other individuals
• gatekeepers and people taking part
• individuals with pre-existing contractual obligations to each other
• adults and children

We are committed to removing barriers to participation and we try to make sure that everyone who our research seeks to represent can participate. This includes doing our best to ensure under-represented and vulnerable groups are involved in our research.

Security of personal and sensitive data of people who take part

Researchers working on behalf of Ofsted will make every effort to protect the identity and personal data of people invited to take part in our research. This applies to every stage of the process: during invitation, data collection, data storage, analysis and reporting.

Researchers will also ensure that we protect people’s personal information and identity in the secondary data used for research. When we use anonymised or minimised secondary data, we will do our best to ensure individuals and organisations cannot be identified.

We will restrict data access to those who need to see it. This may include anyone carrying out research on behalf of Ofsted who has a relevant Disclosure and Barring Service (DBS) clearance and/or has signed a confidentiality agreement.

We will store and delete all data according to:

• our data protection policy
• data protection legislation
• the information we have given to people taking part

Researchers must decide how long to retain data for, according to our data retention policy. For example, this may be for the purpose of the project or for ongoing research in the area. Researchers must be able to justify collecting and storing the data and must inform people who take part about what we will do with their data.

Researchers must apply the principles of data minimisation, to reduce the risk of identifying someone from stored data. We review personal data regularly and delete it when it is no longer required for our work.

Avoidance of harm

Adequate support for, or protection of, people taking part, and staff

Researchers should consider any possible harmful consequences for people taking part in research, including for researchers. Research designs must include mitigations against harmful consequences, both psychological and physical.

Research designs must take account of risks that arise from:

• off-site work
• carrying out research with people
• conflicts that may arise from performing the dual roles of inspector and researcher

Researchers must have knowledge of and training in carrying out ethical research with people, including but not limited to:

• people’s right to withdraw their consent
• safeguarding concerns during data collection
• data protection principles
• sensitive topics
• research with children and young people, vulnerable adults and other disadvantaged groups
• reasons why confidentiality may need to be breached

People who take part in our research should be offered the opportunity to talk about potential negative consequences from it, where appropriate. Researchers must consider how to protect vulnerable people during their research. For example, they can offer people the opportunity to have someone present to provide support during data collection or to review their data to ensure that they are represented fairly.

Research at Ofsted is carried out in accordance with our duty to ensure the health, safety and welfare at work of all our employees and contractors. Researchers will inform their line manager immediately if they have any concerns about their own or others’ safety and well-being at work, whether from carrying out research or otherwise.

Age-appropriateness of materials for children and young people

Researchers should ensure that all research designs are appropriate for the child’s characteristics, including their age and any special educational needs and/or disabilities. This affects:

• the topic and research questions
• the questions that will be asked of children and young people
• the methods and materials used

When creating materials, researchers should use age- and ability-appropriate materials. Examples include scenario-based questioning, storyboards, drawing and other indirect methods of carrying out research with children and young people.

Disclosure and Barring Service requirements

All researchers will have DBS checks to ensure that no researcher is barred from working, or is unsuitable to work, with such groups.

An enhanced DBS check is required for individuals whose role involves direct and regular contact with children or vulnerable groups.

Contact us

You can contact us by email at Research_Surveys@ofsted.gov.uk if you have a query relating to research at Ofsted.

Raising concerns and making a complaint about Ofsted

If you have a concern about research in Ofsted that you are, or have been, involved with, you should speak to the research lead. If your concern cannot be resolved directly with the individuals involved, you should ask to speak with the Head of Research via the contact details provided to you during the research.

If your concerns about our research have not been resolved, you can raise a complaint.