Research - paying participant expenses and compensating for time: guidance

2. Key principles

2.1 Recognising and valuing the contributions made by participants

Government requires and benefits from evidence and expertise that is produced through engagement, research and collaboration with members of the public and stakeholders, who have insight and experiences that we need to understand in order to develop effective policies and services. Payment in the form of money or vouchers is an accepted and established practice that helps acknowledge this, and helps place expertise from experience on a more equal footing with professional expertise.

Some types of research ask a lot of participants. This is especially the case for participatory and co-production methods. These methods could ask participants to be a member of a panel that has meetings several times a year, which require preparation in advance and at which participants are expected to take decisions. Ensuring that all participants’ time is compensated for can help minimise power imbalances between individuals whose employers are already paying them for their involvement, and those who do not have access to remuneration.

This guidance sets out guide payment ranges for different levels of contribution, to help you decide how to pay people in a way that is commensurate with the nature and demands of their involvement.

It is important that we recognise the extent of participant time and input. In this way, compensating participants for their time is distinct from incentivising participant involvement. For example, many surveys will offer small payments or prize draw entries to encourage completion – this guidance is focused instead on recognising the insight that participants have contributed, the time they have given over, and providing payment that is proportionate to that.

Please note, payment of participant expenses and time does not prevent participants from withdrawing consent for their involvement at a later stage. They should be paid for all expenses and time up to the date of their withdrawal.

Payment is also not intended to replace or minimise the importance of other key features of good quality participation. Participants should have a high quality experience, including a clear process by which officials will feedback and provide evidence to show participants that they have made a difference. Scottish Government’s Participation Handbook provides guidance on how this can be achieved. It also sets out a spectrum of participation which can help you identify what level of contribution participants are likely to make to the work you have planned.

2.2 Inclusivity and ethics

Covering expenses and paying people for their time taking part in research and participation work is an important way to make this work inclusive. Payment can help us uphold Government Social Research ethics in our work, such as enabling participation of groups we’re seeking to represent and minimising harm.

It is particularly important that we understand the perspectives and experiences of people in marginalised groups, so that we are equipped to develop policies and services which meet the fullest range of needs. Without payment of expenses and compensation for time, many people are not able to take part – their involvement may mean taking time off work or paying for childcare.

This guidance includes information on the tax and benefits implications of participant payments, and signposts to resources that can be used to prepare documentary evidence that may be needed.

We will be working with relevant government departments and agencies to establish a clear position on payments to marginalised groups such as refugees and asylum seekers, and groups where there is particular sensitivity regarding payment, such as those in the criminal justice system. This guidance will be updated when new information is available.

2.3 No-one is out of pocket

This guidance starts from the position that you will pay participant expenses if they do not have access to another way for these expenses to be covered – for example, via their employer if they are contributing in a professional capacity – so that no-one is ‘out of pocket’. Please note, this guidance does not replace the Scottish Government’s Chairs & Members Daily Fee Framework, which continues to be applicable for Chairs, Board Members and Public Appointments.

Whilst payment is not the only way to recognise contributions, for many it is an important indicator of value.

There are instances where payment for participant time may not be necessary, may be inappropriate, or should be limited. These include:

• if a participants’ time or expenses are already paid for by an employer or other organisation e.g. if they are engaging in a professional capacity
• if the work is very small scale and/or is not using participatory methods e.g. participants are completing a survey
• if participants do not want to be paid
• if payment poses potential harm to participants e.g. if payment will have unwanted consequences for benefits they receive (there is information regarding impacts on benefits in section 12)
• if there is an agreed view with participants and stakeholders that payment is inappropriate given the nature or sensitivity of the work

You should also consider additional forms of recognition for participants e.g. offering an accreditation to recognise skills used in their involvement.

Decisions about participant selection should be made on the basis of applicability to project needs, not minimising spend on expenses or time. Organisations with the resources to pay participant expenses or compensate for time should not be prioritised for involvement over those who do not have access to these resources.

Section five of this guidance provides a flow chart to help you make decisions about whether you should compensate participants for their time. You should also consider the ethics of compensating participants for their time, using the Scottish Government's Social Research Ethics Guidance. Where possible and appropriate, demonstrate that you have established participant views on this and have not made assumptions about the impact of payment.

2.4 Transparency and accountability

This guidance is publicly available so that it can be shared with potential participants, who may have questions about payments. It is important that people engaging with us do so with informed consent and can understand why they are being paid the amounts on offer, how payment will be made, what modes of payment are available, or why payment is not possible. A definition of informed consent is available in the Scottish Government’s Social Research Ethics Guidance.

You should offer participants clear information about the payment of their expenses and compensation for their time before their involvement commences. This should set out what they will be paid and why, when they will be paid, what payment mode options there are, and what if any actions they need to take.

Any payment compensating for time needs to be made after participant involvement has taken place – sometimes participants are unable to attend at short notice and we cannot pay people for involvement that does not take place. You should make clear to potential participants that these payments will be made after their involvement. It can be helpful to set out in advance what you are expecting of participants for payment to be made, for example if there are expectations that need to be followed.

This guidance aims to support consistent decision making and payment across our work, so that people are paid similar amounts for comparable involvement.

It is also important that we have an auditable record of payments made to participants - this guidance sets out the process you need to follow to achieve this.

2.5 Participant choice

Where possible and appropriate, consider how you can engage with participants to find out what type of payment or recognition is suitable for them. Some people may prefer vouchers or bank transfer, and it is important to understand whether participants’ financial situations may be impacted on by receiving payment. There is information regarding impacts on tax and benefits in sections 11 and 12.

Make it clear to participants in advance of their involvement that in addition to payment, there are other types of recognition available. This can include:

• putting involvement in this work on their CV
• provision of a reference or certificate confirming their role and the skills they have used – please note that Scottish Government is not able to provide personal references, but can set out the activity that a participant has been involved in
• acknowledging their contribution in published reports

Asking participants questions like this demonstrates that their views are valued and that you are giving careful consideration to how to recognise that value.

Where it is practical to do so, discussing expenses with participants can be particularly useful in ensuring all needs are met. While the expenses process outlined here has tried to anticipate a range of circumstances, people may have legitimate expenses claims we do not foresee.

2.6 Prompt payment

Where possible, you should pay expenses in advance – for example, booking travel or accommodation on behalf of participants. If participants incur expenses that cannot be paid in advance, they can be immediately reimbursed using one of the payment methods set out in this document. This is important to support the inclusion of a wide range of participants.

While any payment compensating for time needs to be made after participant involvement has taken place, you should ensure that in advance of this involvement you have agreed and efficient processes in place to make bank transfer or voucher payments as promptly as possible. The payment methods that are set out in this guidance have detailed the timescales that are available within Scottish Government’s current finance system. You can also provide participants with digital or physical vouchers immediately following their involvement.

It is recommended that in advance of making payments to participants, you identify your local Finance colleagues who will be involved in processing these payments and talk through this guidance with them. This is likely to be your ePC (electronic purchasing card) holder, local Finance Lead or BCLO (Budget Centre Liaison Officer). Early discussions will support their understanding of the process that needs to be followed for research payments and you can agree how best you can work together to deliver this.