Intro to consent forms
An introduction to consent forms that outlines what they are, what goes into them, and how to make them work well.
If your research practice is further along in maturity, you’re probably using consent forms. But does your consent form do a good job of informing participants about how you will use the information they share with you? Or maybe consent forms are new to you. If so, this is for you!
Definition
A consent form is a document that both informs a participant about your data collection practices and asks for permission to use their data according to those practices.
What it does
Consent forms provide participants with the ability to decide what data you can collect and how you can use it. This may seem like you are at the mercy of the participant — and you are. Participants have no obligation to partake in your research. There are only advantages to having a consent form as it not only protects the participant but you and your company. By ensuring you have obtained consent properly and accurately, you are avoiding potential lawsuits.
What to include
There are many ways to write a consent form. The following list includes content I recommend including as you create your own.
- The purpose of the study — Some opt to keep this high-level and include the more detailed study description in the moderator guide. This helps facilitate form reuse. If providing the form at the beginning of the session, you may include language that prompts you to explain the study.
- Your data practices — Be upfront about your data practices. This includes being transparent about what type of data you will collect, how you will collect it, where you will store it, how long you will keep it, and who you will share it with and to what extent.
- Their participation rights — It is important that participants understand their participation is voluntary. Let them know they can do the following at any point: take a break, end the session, ask questions, and withdraw consent.
- Reporting — You may hear information that you may not otherwise learn about during research sessions. For this reason, if you have an obligation to report certain accounts or experiences due to laws (e.g., mandatory reporting) or internal company regulations, then you must include this in your consent form.
- Publishing — Additionally, if you plan to publish reports that include the information they shared, then you must disclose that as well, even if the information is anonymous.
- Granular consent options — Provide participants with the ability to both opt out of certain types of data recording (e.g., audio, video, photography) and choose how it gets shared.
- Form copy request — Offer the option to obtain a copy of the signed consent form.
- Agreement and Signature — At the bottom of the form, ask for participant consent based on the information shared and consent options in the form, then provide a space for participants to write their name, signature, and date.
- Contact information — Ask for the participant’s contact information as well as ask for permission to contact them post-session. This will help you in case you need to reach out after the session.
- Company contact information — Provide information about who to contact and how in case the participant wishes to withdraw their consent or has any questions.
When to ask for consent
Before
Ideally, you obtain consent before you start a research session. You may do this via email or a variety of tools available online that send the consent form to the participant for you. This helps minimize delays by ensuring there are no surprises for the participant about how their information will be collected, used, and maintained. Providing the consent form ahead of time gives participants the opportunity to ask questions and get clarity about the research session.
If you go the route of providing the consent form ahead of a research session, I recommend that you still review the consent form at the beginning of the session.
During
If you plan to ask for consent at the beginning of your research session, I recommend allocating time for the participant to fully review the form and ask questions. Not planning for enough time to review and discuss the consent form may result in delays or less time available to conduct the research session. Additionally, a participant may ask for a copy of the signed form, so I recommend having a process for obtaining and providing a copy that won’t interrupt the session.
After
At some point, you may discover that your consent form does not cover a specific scenario. This can definitely happen and it can put you in a difficult position.
While not ideal, reaching out to participants once a session has come and gone is an option you may have available to you. However, this entirely depends on your company’s rules around interactions with the public as well as any agreements you have with the participant about post-session contact. I recommend asking for consent to contact participants after a research session within your consent form if you do have permission to do this from your company.
Who to involve
When writing a consent form, there are a few different people you should involve to ensure that you cover all necessary areas.
- Your team — Different studies have different needs. Make sure you include your team in the creation of a consent form so it works for them as well.
- Other research teams and departments — Your company may have other teams that conduct research, such as a marketing team. A lot of companies often have a market research team before they have a UX research team. I recommend reaching out to other teams as they may already have a consent form you can use or amend to fit your research needs.
- Management — Always involve management as they have insights about company processes you may not be privy to. Additionally, they can connect you to the appropriate personnel, such as a legal team or another decision-maker, to write a consent form that the company is in agreement with.
- Legal team / lawyer(s) — If your company is on the larger side, you’ll likely have access to a legal team that can help ensure the consent form is properly written to avoid issues later on.
- Institutional Review Board (IRB) — If you conduct research that falls within the definition of research provided in Title 45 of the Code of Federal Regulations §46.102 (2018), you will need to present your consent form to the IRB within your organization for review and approval.
Other things to consider
GDPR
The General Data Protection Regulation (GDPR) has changed the way we obtain and manage people’s information. This directly impacts user research. There is a high likelihood that some of your users live in countries that are part of the European Union (EU) even if yours isn’t. As such, it’s important you take the necessary precautions to comply with GDPR.
NDAs
While both consent forms and non-disclosure agreements (NDAs) ensure private information stays private, they serve different purposes. Consent forms protect research participants. NDAs protect the company conducting the research.
If you’re conducting research that involves sensitive company information, you will want to create an NDA in addition to a consent form.
Templates
You do not need to start from scratch. There are plenty of consent form templates available online. Some of the resources I’ve listed in this article include templates that you may copy and modify to fit your needs.
Consent forms can change
As you learn and grow as a researcher, you will find ways to improve the artifacts you use. Additionally, things change and new laws that affect research may come into effect in the future. I recommend reviewing your consent form periodically to ensure your consent forms continue to serve you and your participants fairly and effectively.
Another way to look at things
Transparency is your ally. It’ll protect both the people helping you improve your products and your company. Don’t leave room for misunderstandings.
Resources
If you wish to learn more about consent forms or access templates, I recommend the resources below.
Consent forms
GDPR
Institutional Review Boards (IRBs)
Thank you Brian J. Hoffman for reviewing this article.
