Ethics in Social Science Research

ADOR R. TORNEO, PH.D.

Associate Professor & Research Fellow, Department of Political Science DLSU
Director, Jesse M. Robredo Institute of Governance DLSU
Representative of Political Science, Social Science Ethics Review Board
Philippine Social Science Council
Outline
• Why ethics matter
• Principles of ethical research
• Research ethics in the social sciences
• Ethical issues and dilemmas
• Challenges in ethics review
• Regulating ethics in research
• Different ethical approaches
• Avoiding ethical quandaries
Why ethics matter in research?
• Revelations of the terrible atrocities
performed—in the guise of scientific
research—on Jews and minority groups in Nazi
concentration camps during World War II led
to the Nuremberg Code (1949), a code of
ethics that begins with the stipulation that all
research participation must be voluntary.
• The Declaration of Helsinki (1964), which
mandates that all biomedical research projects
involving human subjects carefully assess the
risks of participation against the benefits,
respect the subject’s privacy, and minimize the
costs of participation to the subject.
• The Council for International Organization of
Medical Sciences (CIOMS) was also created for
those researching in developing nations
• The Universal Declaration on Bioethics and
Human Rights was promulgated in 2005
Source: Israel, 2015
Why ethics matter in research?
• The Tuskegee Syphilis Study
- 40-year study with 400 African
American males by USPHSY
- 200 had syphilis, 200 did not
- Participants were not informed
- Consent was not asked
- Deliberate instruction not to treat;
Antibiotics were withheld
- In the end only 28 participants
remained, many died of syphilis
Source: Israel, 2015
Why ethics matter in research?
• Stanley Milgram’s Experiment
- Psychology study on individual’s
obedience to authority
- Volunteer subjects were deceived
into thinking they were involved in an
experiment on the impact of
punishment on memory
- If the fake test subject were unable to
repeat words given them, volunteers
were asked to administer what they
thought was an “electric shock”
- Test subjects were not allowed to quit
and urged to administer “shocks”
Source: Israel, 2015
“Social scientists are concerned about ethics. We behave in ways
that are right and virtuous: for the sake of those who put trust in
us and our work; for those who employ us, fund our research, and
otherwise support our professional activities; and as a result of
our own desires to do good. Less charitably, we may also be
motivated to behave ethically by desires to avoid public censure.”

- Mark Israel, 2015

Research ethics in the social
sciences
Research ethics in the social sciences
There are pronounced ethical issues and dilemmas in social sciences:
• Social science research deal with people
• Experiments involving people are a potential ethical minefield
• There is often less control on the environment and less predictable
outcomes in social science researches (e.g., qualitative methods)
• Embrace of values, subjectivity, advocacies
• Concerns over power relations and culture
• Ethical dilemmas involving responsibility to protect the vulnerable,
doing the “right thing”, and/or addressing injustice
Principles of ethical research
Fundamental principles of ethical research
Research ethics are based on three fundamental principles:
1) Respect for persons – people are autonomous; individuals should
make their own informed decisions about whether to participate in
research; People with diminished autonomy should be protected
2) Beneficence – do no harm; research is for doing good, researchers
should avoid hurting or finding out information at the expense of
other people; Researchers must do their best to minimize risks and
to maximize the benefits for participants.
3) Justice – fairness in terms of recruitment; consideration of who
benefits from research and who bears the risks of research
Source: The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research
(National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, NCPHSBBR, 1979)
American Psychological Association: General principles

A. Principle A: Beneficence and

nonmaleficence
B. Principle B: Fidelity and
responsibility
C. Principle C: Integrity
D. Principle D: Justice
E. Principle E: Respect for people's
rights and dignity
Source: https://www.apa.org/ethics/code
Other Principles from the University Code for
the Responsible Conduct of Research, DLSU
• Excellence referring to the researchers’ effort to enhance the University’s reputation
and that of their profession through the conduct of research that matches world
standards of quality;
• Truth referring to conduct of research founded on a commitment to honesty and
transparency;
• Integrity and professionalism, which involve the researchers’ responsibility of
honoring obligations and agreements;
• Cooperation, which involves the open exchange of ideas, methods, data, and
analysis;
• Accountability, which refers to researchers’ obligation to report, explain and justify
their actions and activities whenever necessary; and,
• Zeal and growth, which refer to the researchers’ responsibility to impart knowledge
and skills to other researchers in the spirit of mentorship. This principle also refers to
the expectation of researchers’ further enhancement of their qualifications through
continuous education and training.
Regulating research ethics
The role of institutional ethics review boards
• Institutional body to ensure that researches, especially involving
humans, are “ethical” adhere to ethical principles and procedures
• Ensures ethics guidelines and protocols are followed
• Has the authority to review, approve, or reject research proposals
• Weighs the risks and benefits and ensures the rights and welfare of
people who will be involved in a research project are protected
• Works with research committee in conducting review
Philippine Health Research Ethics Board
• PHREB is the main policy making body on health research ethics in the Philippines
• Formulate/update guidelines for the ethical conduct of human health
research;
• Develop guidelines for the establishment and management of ethics review
committees and standardization of research ethics review;
• Monitor and evaluate the performance of institutional ethics review
committees in accordance with procedures outlined in a prior agreement;
• Promote the establishment of functional and effective ethics review
committees;
• Provide advice and make recommendations to the PNHRS Governing Council
and other appropriate entities (including the FDA) regarding programs,
policies, and regulations as they relate to ethical issues in human health
research;
• Initiate and contribute to discourse and discussions of ethical issues in human
health research; and
• Network with relevant local, national and international organizations
Source: http://pchrd.dost.gov.ph/index.php/programs-and-services/ethics
National Ethics Committee
• NEC is tasked to ensure that all biomedical researches involving human participants
conform to international ethical principles and standards; Put together the first set of
national guidelines for biomedical research in 1985. Functions:
• Ethics Review of research protocols that: (1) are referred by other agencies especially
government-funded researches that are to be conducted in institutions that do not have
their own Ethics Review Committees (ERC); (2) are directed to NEC by the Philippine
Health Research Ethics Portal (PHREP); (3) the NEC may deem appropriate to review.
• Assist Institutional ERCs in the resolution of difficult ethical issues
• Provide input to the Philippine Council for Health Research and Development (PCHRD)
and other government agencies including Philippine Food and Drug Administration
(FDA), regarding ethical issues in relevant studies
• Provide applicable information to PHREB in the formulation of policies and guidelines in
health research
• Network with other national ethics bodies (i.e. National Bioethics Advisory Committee
(NBAC), National Transplant Ethics Committee NTEC), Philippine Genomics Center -
Ethical Legal Social Issues Program (PGC-ELSI)) in contributing to the development of an
ethical research environment.
Source: http://pchrd.dost.gov.ph/index.php/programs-and-services/ethics
Three types of review in DLSU
• Full review: Research projects which pose a more than “minimal risk”
to research participants or subjects are subjected to a full review by
the RERP.
• Expedited Review: Projects posing more than minimal risk to
research subjects go through expedited reviews.
• Exempted from Review. Projects which involve the collection data
from public available databases or public documents are exempted
from review.
Review of student research
• Graduate Research - The ethics review of the thesis proposal is
conducted by the thesis panel before and after the research.
• Undergraduate Research and Theses - Ethical review for
undergraduate theses is conducted through a similar procedure for
graduate theses. That is, the thesis panel or the thesis reader
undertakes the research ethics review of the student thesis proposal,
and then at the completion of the thesis project.
Different ethical approaches
Practical guide to doing ethical research
1) Obtain informed consent from
potential research participants;
2) Minimize the risk of harm to
participants;
3) Protect their anonymity and
confidentiality;
4) Avoid using deceptive practices; and
5) Give participants the right to
withdraw from your research.

Source: http://dissertation.laerd.com/principles-of-research-ethics.php
ESRC framework for research ethics: Principles
1) Research should be designed, reviewed and undertaken to ensure
integrity and quality.
2) Research staff and subjects must be informed fully about the purpose,
methods and intended possible uses of the research, what their
participation in the research entails and what risks, if any, are involved.
3) The confidentiality of information supplied by research subjects and the
anonymity of respondents must be respected.
4) Research participants must participate in a voluntary way, free from any
coercion.
5) Harm to research participants must be avoided.
6) The independence of research must be clear, and any conflicts of interest
or partiality must be explicit.
Source: Economics and Social Research Council and http://www.ethicsguidebook.ac.uk/Key-ethics-principles-15
How DLSU Decides on Ethics Review
Approval or disapproval are based on the ff elements in a protocol:
• Adherence to social values and scientific validity
• Acceptable proportion of potential benefits to risks or harm posed by
the research
• Adequacy of informed consent procedures
• Attention to the potential impact of research on the communities
from which participants will be drawn during the research and after
its completion.
Ethical issues and dilemmas
Sample issues involving misconduct
• Altering or misrepresenting data
• Plagiarism
• Submitting the same articles to two or more journals simultaneously
• Faculty submitting, reusing, or appropriating student work
• Removing the name of major research contributor without just cause
• Exploiting junior faculty and students
• Breach of trust, privacy, anonymity, etc.
Ethical dilemmas
• The need for or practically of
informed consent in some contexts
• When identifying people is
important to the research
• Impact of researcher on people
and communities they study
• Conflict between intervening and
staying objective and neutral
• Participating in illegal or
questionable activities
Other issues and conflicts
• Conflicts over authorship and authorship sequence
• Using student work (e.g., papers, thesis, data, dissertation)
• Using student records (e.g., as teacher vs. as researcher)
• Giving weight to intellectual contribution
• Reusing or repurposing data originally collected for another purpose
• Handling information in the public sphere (e.g., Twitter, Facebook)
• Dealing with archival data
• Dealing with information given “off-the-record”
Some typically overlooked ethical concerns
• Self-plagiarism
• Multiple roles
• Issues involving power dynamics in research (e.g., teacher-student,
senior-junior, superior-subordinate)
• The rights and well-being of members of the research team
• Long-term negative effects and psycho-social effects of doing research
• Storage and/or disposal of research records and data
Challenges in ethics review
Some challenges in ethics review
• Ethical reviewers may face difficulty in delineating their roles
• Conflicts between expert / technical reviewers and ethics reviewers
• Concerns over delays where speed is necessary
• Dealing with new technologies, approaches, and innovations
• Ethical restrictions may favor and protect powerful groups / interests
• Some participants may want to divulge private and personal
information while others would like to keep theirs confidential
• Researchers get in situations that put them in conflict with the law
Avoiding ethical quandaries
APA Guidelines on avoiding ethical quandaries
• Discuss intellectual property frankly
• Ownership of IP and authorship should be discussed at the beginning
• Be conscious of multiple roles
• Researchers should be conscious of power relations and roles
• Follow informed-consent rules
• Participants must know what they are getting into and the risks involved
• Respect confidentiality and privacy
• Discuss scope and limits of confidentiality including how data will be handled
• Tap into ethics resources

Source: American Psychological Association https://www.apa.org/monitor/jan03/principles

The demand for integrity and ethical behavior goes beyond
compliance with written rules or policies. Academics and
researchers are held to the highest standards of integrity.
References
• Israel, M. (2015). Research ethics and integrity for social scientists:
Beyond regulatory compliance. Sage.
• Economics and Social Research Council (n.d.).Key ethics principles.
Retrieved from: http://www.ethicsguidebook.ac.uk/Key-ethics-
principles-15
• American Psychological Association. (n.d.) Five principles of research
ethics. Retrieved from:
https://www.apa.org/monitor/jan03/principles