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ETHICAL APPROACHES IN RESEARCH

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 Page 519

CHAPTER – 14

ETHICAL APPROACHES IN RESEARCH

Topics Covered
14.1 Define Research Ethics
14.2 Importance of Research Ethics
14.3 General Ethical Issues
14.4 Ethical Decision Making in Research
14.5 Ethical Standards for Human Research
14.6 Ethical Conduct in Care and Use of Animals
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14.1 DEFINE RESEARCH ETHICS

Research ethics are a set of principles about how researchers and research organizations should
conduct themselves when dealing with research participants, other researchers and colleagues, the
users of their research and society in general. Particularly relevant to the social sciences are ethics
associated with projects involving human participants, including conducting surveys, focus groups and
the use of secondary data. Typical considerations include –
 Recruiting study participants and informed consent
 Keeping data secure and confidential
 Making procedures, methods and findings transparent so that they can be assessed
 Safety and risk
 Consult guidelines and codes of conduct relevant to the research being conducted.

14.2 IMPORTANCE OF RESEARCH ETHICS

It is important to conduct research in line with ethical standards for a number of reasons –
 In order to respect and cause no harm to the participants.
 As a sign of respect for other researchers and those who will use the research.
 It is a professional requirement particularly in some disciplines and failure to do so may result in
disciplinary procedures.
 It is a requirement to obtain funding.
 Failing to conduct research ethically could be embarrassing or result in research (or the
researcher) being dismissed or rejected by the research community.
 Research involving human beings, including using questionnaires and focus groups, must be passed
by an Ethics Committee whose job it is to confirm that the research conforms to a set of
ethical guidelines.
If ethics are considered, this should make sure that the work is acceptable to the research
community and other users of the research results.

14.3 GENERAL ETHICAL ISSUES

Given the importance of ethics for the conduct of research, it should come as no surprise that many
different professional associations, government agencies, and universities have adopted specific
codes, rules, and policies relating to research ethics. Many government agencies, such as the
National Institutes of Health (NIH), the National Science Foundation (NSF), the Food and Drug
Administration (FDA), the Environmental Protection Agency (EPA), and the US Department of
Agriculture (USDA) have ethics rules for funded researchers. Other influential research ethics
policies include the Uniform Requirements for Manuscripts Submitted to Biomedical Journals
(International Committee of Medical Journal Editors), the Chemist’s Code of Conduct (American
Chemical Society), Code of Ethics (American Society for Clinical Laboratory Science), Ethical
Principles of Psychologists (American Psychological Association), Statements on Ethics and
Professional Responsibility (American Anthropological Association), Statement on Professional
Ethics (American Association of University Professors), the Nuremberg Code and the Declaration of
Helsinki (World Medical Association). The following is a rough and general summary of some ethical
principles that various codes address –
Honesty: Strive for honesty in all scientific communications. Honestly report data, results, methods
and procedures, and publication status. Do not fabricate, falsify, or misrepresent data. Do not
deceive colleagues, granting agencies, or the public.

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Objectivity: Strive to avoid bias in experimental design, data analysis, data interpretation, peer
review, personnel decisions, grant writing, expert testimony, and other aspects of research where
objectivity is expected or required. Avoid or minimize bias or self-deception. Disclose personal or
financial interests that may affect research.
Integrity: Keep your promises and agreements; act with sincerity; strive for consistency of thought
and action.
Carefulness: Avoid careless errors and negligence; carefully and critically examine your own work
and the work of your peers. Keep good records of research activities, such as data collection,
research design, and correspondence with agencies or journals.
Openness: Share data, results, ideas, tools, resources. Be open to criticism and new ideas.
Respect for Intellectual Property: Honor patents, copyrights, and other forms of intellectual
property. Do not use unpublished data, methods, or results without permission. Give credit where
credit is due. Give proper acknowledgement or credit for all contributions to research. Never
plagiarize.
Confidentiality: Protect confidential communications, such as papers or grants submitted for
publication, personnel records, trade or military secrets, and patient records.
Responsible Publication: Publish in order to advance research and scholarship, not to advance just
your own career. Avoid wasteful and duplicative publication.
Responsible Mentoring: Help to educate, mentor, and advise students. Promote their welfare and
allow them to make their own decisions.
Respect for colleagues: Respect your colleagues and treat them fairly.
Social Responsibility: Strive to promote social good and prevent or mitigate social harms through
research, public education, and advocacy.
Non-Discrimination: Avoid discrimination against colleagues or students on the basis of sex, race,
ethnicity, or other factors that are not related to their scientific competence and integrity.
Competence: Maintain and improve your own professional competence and expertise through lifelong
education and learning; take steps to promote competence in science as a whole.
Disclosure: The potential participant must be informed as fully as possible of the nature and purpose
of the research, the procedures to be used, the expected benefits to the participant and/or
society, the potential of reasonably foreseeable risks, stresses, and discomforts, and alternatives
to participating in the research.
Legality: Know and obey relevant laws and institutional and governmental policies.
Consent: The potential human subject must authorize his/her participation in the research study,
preferably in writing, although at times an oral consent or assent may be more appropriate.
Animal Care: Show proper respect and care for animals when using them in research. Do not conduct
unnecessary or poorly designed animal experiments.
Human Subjects Protection: When conducting research on human subjects, minimize harms and risks
and maximize benefits; respect human dignity, privacy, and autonomy; take special precautions with
vulnerable populations; and strive to distribute the benefits and burdens of research fairly.

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14.4 ETHICAL DECISION MAKING IN RESEARCH

Although codes, policies, and principals are very important and useful, like any set of rules, they do
not cover every situation, they often conflict, and they require considerable interpretation. It is
therefore important for researchers to learn how to interpret, assess, and apply various research
rules and how to make decisions and to act in various situations. The vast majority of decisions
involve the straightforward application of ethical rules. There are many other activities that the
government does not define as ‘misconduct’ but which are still regarded by most researchers as
unethical. These are called ‘other deviations’ from acceptable research practices and include -
 Publishing the same paper in two different journals without telling the editors;
 Submitting the same paper to different journals without telling the editors;
 Not informing a collaborator of your intent to file a patent in order to make sure that you are
the sole inventor;
 Including a colleague as an author on a paper in return for a favor even though the colleague did
not make a serious contribution to the paper;
 Discussing with your colleagues confidential data from a paper that you are reviewing for a
journal;
 Trimming outliers from a data set without discussing your reasons in paper;
 Using an inappropriate statistical technique in order to enhance the significance of your
research;
 Bypassing the peer review process and announcing your results through a press conference
without giving peers adequate information to review your work;
 Conducting a review of the literature that fails to acknowledge the contributions of other
people in the field or relevant prior work;
 Stretching the truth on a grant application in order to convince reviewers that your project will
make a significant contribution to the field;
 Stretching the truth on a job application or curriculum vita;
 Giving the same research project to two graduate students in order to see who can do it the
fastest;
 Overworking, neglecting, or exploiting graduate or post-doctoral students;
 Failing to keep good research records;
 Failing to maintain research data for a reasonable period of time;
 Making derogatory comments and personal attacks in your review of author’s submission;
 Promising a student a better grade for sexual favors;
 Using a racist epithet in the laboratory;
 Making significant deviations from the research protocol approved by your institution’s Animal
Care and Use Committee or Institutional Review Board for Human Subjects Research without
telling the committee or the board;
 Not reporting an adverse event in a human research experiment;
 Wasting animals in research;
 Exposing students and staff to biological risks in violation of your institution’s biosafety rules;
 Rejecting a manuscript for publication without even reading it;
 Sabotaging someone’s work;
 Stealing supplies, books, or data;
 Rigging an experiment so you know how it will turn out;
 Making unauthorized copies of data, papers, or computer programs;

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 Deliberately overestimating the clinical significance of a new drug in order to obtain economic
benefits
These actions would be regarded as unethical by most scientists and some might even be illegal.
Most of these would also violate different professional ethics codes or institutional policies.
However, they do not fall into the narrow category of actions that the government classifies as
research misconduct. However, given the huge list of potential offenses that might fall into the
category ‘other serious deviations’, and the practical problems with defining and policing these other
deviations, it is understandable why government officials have chosen to limit their focus. Finally,
situations frequently arise in research in which different people disagree about the proper course
of action and there is no broad consensus about what should be done. In these situations, there may
be good arguments on both sides of the issue and different ethical principles may conflict. These
situations create difficult decisions for research known as ethical dilemmas.

14.5 ETHICAL STANDARDS FOR HUMAN RESEARCH

There are several ethical issues that must be considered when designing research that will utilize
participants who are human beings (American Psychological Association, 2010).
Unfair Discrimination: In their work-related activities, psychologists do not engage in unfair
discrimination based on age, gender, gender identity, race, ethnicity, culture, national origin,
religion, sexual orientation, disability, socioeconomic status, or any basis proscribed by law.
Sexual Harassment: Psychologists do not engage in sexual harassment. Sexual harassment is sexual
solicitation, physical advances, or verbal or nonverbal conduct that is sexual in nature, that occurs in
connection with the psychologist’s activities or roles as a psychologist, and that either (1) is
unwelcome, is offensive, or creates a hostile workplace or educational environment, and the
psychologist knows or is told this or (2) is sufficiently severe or intense to be abusive to a
reasonable person in the context. Sexual harassment can consist of a single intense or severe act or
of multiple persistent or pervasive acts.
Other Harassment: Psychologists do not knowingly engage in behavior that is harassing or demeaning
to persons with whom they interact in their work based on factors such as those persons’ age,
gender, gender identity, race, ethnicity, culture, national origin, religion, sexual orientation,
disability, language, or socioeconomic status.
Avoiding Harm: Psychologists take reasonable steps to avoid harming their clients/patients,
students, supervisees, research participants, organizational clients, and others with whom they
work, and to minimize harm where it is foreseeable and unavoidable.
Multiple Relationships: (a) A multiple relationship occurs when a psychologist is in a professional role
with a person and (i) at the same time is in another role with the same person, (ii) at the same time
is in a relationship with a person closely associated with or related to the person with whom the
psychologist has the professional relationship, or (iii) promises to enter into another relationship in
the future with the person or a person closely associated with or related to the person. A
psychologist refrains from entering into a multiple relationship if the multiple relationships could
reasonably be expected to impair the psychologist’s objectivity, competence, or effectiveness in
performing his/her functions as a psychologist, or otherwise risks exploitation or harm to the
person with whom the professional relationship exists. Multiple relationships that would not
reasonably be expected to cause impairment or risk exploitation or harm are not unethical.

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(b) If a psychologist finds that, due to unforeseen factors, a potentially harmful multiple
relationship has arisen, the psychologist takes reasonable steps to resolve it with due regard for
the best interests of the affected person and maximal compliance with the Ethics Code.
(c) When psychologists are required by law, institutional policy, or extraordinary circumstances to
serve in more than one role in judicial or administrative proceedings, at the outset they clarify role
expectations and the extent of confidentiality and thereafter as changes occur.
Conflict of Interest: Psychologists refrain from taking on a professional role when personal,
scientific, professional, legal, financial, or other interests or relationships could reasonably be
expected to (i) impair their objectivity, competence, or effectiveness in performing their functions
as psychologists or (ii) expose the person or organization with whom the professional relationship
exists to harm or exploitation.
Third-Party Requests for Services: When psychologists agree to provide services to a person or
entity at the request of a third party, psychologists attempt to clarify at the outset of the service
the nature of the relationship with all individuals or organizations involved. This clarification
includes the role of the psychologist (e.g., therapist, consultant, diagnostician, or expert witness), an
identification of who is the client, the probable uses of the services provided or the information
obtained, and the fact that there may be limits to confidentiality.
Exploitative Relationships: Psychologists do not exploit persons over whom they have supervisory,
evaluative, or other authority such as clients/patients, students, supervisees, research participants,
and employees.
Cooperation with Other Professionals: When indicated and professionally appropriate, psychologists
cooperate with other professionals in order to serve their clients/patients effectively and
appropriately.
Informed Consent: (a) When psychologists conduct research or provide assessment, therapy,
counseling, or consulting services in person or via electronic transmission or other forms of
communication, they obtain the informed consent of the individual or individuals using language that
is reasonably understandable to that person or persons except when conducting such activities
without consent is mandated by law or governmental regulation or as otherwise provided in this
Ethics Code.
(b) For persons who are legally incapable of giving informed consent, psychologists nevertheless (i)
provide an appropriate explanation, (ii) seek the individual’s assent, (iii) consider such persons’
preferences and best interests, and (iv) obtain appropriate permission from a legally authorized
person, if such substitute consent is permitted or required by law. When consent by a legally
authorized person is not permitted or required by law, psychologists take reasonable steps to
protect the individual’s rights and welfare.
(c) When psychological services are court ordered or otherwise mandated, psychologists inform the
individual of the nature of the anticipated services, including whether the services are court
ordered or mandated and any limits of confidentiality, before proceeding.
(d) Psychologists appropriately document written or oral consent, permission, and assent.
Psychological Services Delivered to or Through Organizations: (a) Psychologists delivering services
to or through organizations provide information beforehand to clients and when appropriate those
directly affected by the services about (i) the nature and objectives of the services, (ii) the
intended recipients, (iii) which of the individuals are clients, (iv) the relationship the psychologist
will have with each person and the organization, (v) the probable uses of services provided and
information obtained, (vi) who will have access to the information, and (vii) limits of confidentiality.

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As soon as feasible, they provide information about the results and conclusions of such services to
appropriate persons.
(b) If psychologists will be precluded by law or by organizational roles from providing such
information to particular individuals or groups, they so inform those individuals or groups at the
outset of the service.
Interruption of Psychological Services: Unless otherwise covered by contract, psychologists make
reasonable efforts to plan for facilitating services in the event that psychological services are
interrupted by factors such as the psychologist’s illness, death, unavailability, relocation, or
retirement or by the client’s/patient’s relocation or financial limitations.
Maintaining Confidentiality: Psychologists have a primary obligation and take reasonable precautions
to protect confidential information obtained through or stored in any medium, recognizing that the
extent and limits of confidentiality may be regulated by law or established by institutional rules or
professional or scientific relationship.

14.6 ETHICAL CONDUCT IN CARE AND USE OF ANIMALS

Psychology encompasses a broad range of areas of research and applied endeavors. Important parts
of these endeavors are teaching and research on the behavior of nonhuman animals, which
contribute to the understanding of basic principles underlying behavior and to advancing the welfare
of both human and nonhuman animals. Clearly, psychologists should conduct their teaching and
research in a manner consonant with relevant laws and regulations. In addition, ethical concerns
mandate that psychologists should consider the costs and benefits of procedures involving animals
before proceeding with the research.
The following guidelines were developed by the American Psychological Association (APA) for use by
psychologists working with nonhuman animals. They are based on and are in conformity with Section
6.20 of the Ethical Principles of Psychologists and Code of Conduct of APA (2010). In the ordinary
course of events, the acquisition, care, housing, use, and disposition of animals should be in
compliance with applicable federal, state, local, and institutional laws and regulations and with
international conventions to which the United States is a party. APA members working outside the
United States are to follow all applicable laws and regulations of the country in which they conduct
research. APA authors are required to comply with APA ethical standards in the treatment of their
sample, human or animal, or to describe the details of treatment.
I. Justification of the Research
A. Research should be undertaken with a clear scientific purpose. There should be a reasonable
expectation that the research will -
(a) increase knowledge of the processes underlying the evolution, development, maintenance,
alteration, control, or biological significance of behavior
(b) determine the replicability and generality of prior research
(c) increase understanding of the species under study; or
(d) provide results that benefit the health or welfare of humans or other animals.
B. The scientific purpose of the research should be of sufficient potential significance to justify
the use of animals. Psychologists should act on the assumption that procedures that would produce
pain in humans will also do so in other animals.
C. The species chosen for study should be best suited to answer the question(s) posed. The
psychologist should always consider the possibility of using other species, nonanimal alternatives, or

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procedures that minimize the number of animals in research, and should be familiar with the
appropriate literature.
D. Research on animals may not be conducted until the protocol has been reviewed by an appropriate
animal care committee, for example, an institutional animal care and use committee (IACUC), to
ensure that the procedures are appropriate and humane.
E. The psychologist should monitor the research and the animals’ welfare throughout the course of
an investigation to ensure continued justification for the research.
II. Personnel
A. Psychologists should ensure that personnel involved in their research with animals be familiar
with these guidelines.
B. Animal use procedures must conform with federal regulations regarding personnel, supervision,
record keeping, and veterinary care.
C. Behavior is both the focus of study of many experiments as well as a primary source of
information about an animal’s health and well-being. It is therefore necessary that psychologists and
their assistants be informed about the behavioral characteristics of their animal subjects, so as to
be aware of normal, species-specific behaviors and unusual behaviors that could forewarn of health
problems.
D. Psychologists should ensure that all individuals who use animals under their supervision receive
explicit instruction in experimental methods and in the care, maintenance, and handling of the
species being studied. Responsibilities and activities of all individuals dealing with animals should be
consistent with their respective competencies, training, and experience in either the laboratory or
the field setting.
III. Care and Housing of Animals
The concept of psychological well-being of animals is of current concern and debate and is included
in Federal Regulations (United States Department of Agriculture [USDA], 1991). As a scientific and
professional organization, APA recognizes the complexities of defining psychological well-being.
Procedures appropriate for a particular species may be inappropriate for others. Hence, APA does
not presently stipulate specific guidelines regarding the maintenance of psychological well-being of
research animals. Psychologists familiar with the species should be best qualified professionally to
judge measures such as enrichment to maintain or improve psychological well-being of those species.
A. The facilities housing animals should meet or exceed current regulations and guidelines (USDA,
1990, 1991) and are required to be inspected twice a year (USDA, 1989).
B. All procedures carried out on animals are to be reviewed by a local animal care committee to
ensure that the procedures are appropriate and humane. The committee should have representation
from within the institution and from the local community. In the event that it is not possible to
constitute an appropriate local animal care commttee, psychologists are encouraged to seek advice
from a corresponding committee of a cooperative institution.
C. Responsibilities for the conditions under which animals are kept, both within and outside of the
context of active experimentation or teaching, rests with the psychologist under the supervision of
the animal care committee (where required by federal regulations) and with individuals appointed by
the institution to oversee animal care. Animals are to be provided with humane care and healthful
conditions during their stay in the facility. In addition to the federal requirements to provide for
the psychological well-being of nonhuman primates used in research, psychologists are encouraged to
consider enriching the environments of their laboratory animals and should keep abreast of
literature on well-being and enrichment for the species with which they work.

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IV. Acquisition of Animals

A. Animals not bred in the psychologist’s facility are to be acquired lawfully. The USDA and local
ordinances should be consulted for information regarding regulations and approved suppliers.
B. Psychologists should make every effort to ensure that those responsible for transporting the
animals to the facility provide adequate food, water, ventilation, space, and impose no unnecessary
stress on the animals.
C. Animals taken from the wild should be trapped in a humane manner and in accordance with
applicable federal, state, and local regulations.
D. Endangered species or taxa should be used only with full attention to required permits and
ethical concerns.
V. Experimental Procedures
Humane consideration for the well-being of the animal should be incorporated into the design and
conduct of all procedures involving animals, while keeping in mind the primary goal of experimental
procedures-the acquisition of sound, replicable data. The conduct of all procedures is governed by
Guideline I.
A. Behavioral studies that involve no aversive stimulation to, or overt sign of distress from, the
animal are acceptable. These include observational and other noninvasive forms of data collection.
B. When alternative behavioral procedures are available, those that minimize discomfort to the
animal should be used. When using aversive conditions, psychologists should adjust the parameters
of stimulation to levels that appear minimal, though compatible with the aims of the research.
Psychologists are encouraged to test painful stimuli on themselves, whenever reasonable. Whenever
consistent with the goals of the research, consideration should be given to providing the animals
with control of the potentially aversive stimulation.
C. Procedures in which the animal is anesthetized and insensitive to pain throughout the procedure
and is euthanized before regaining consciousness are generally acceptable.
D. Procedures involving more than momentary or slight aversive stimulation, which is not relieved by
medication or other acceptable methods, should be undertaken only when the objectives of the
research cannot be achieved by other methods.
E. Experimental procedures that require prolonged aversive conditions or produce tissue damage or
metabolic disturbances require greater justification and surveillance. These include prolonged
exposure to extreme environmental conditions, experimentally induced prey killng, or infliction of
physical trauma or tissue damage. An animal observed to be in a state of severe distress or chronic
pain that cannot be alleviated and is not essential to the purposes of the research should be
euthanized immediately.
F. Procedures that use restraint must conform to federal regulations and guidelines.
G. Procedures involving the use of paralytic agents without reduction in pain sensation require
particular prudence and humane concern. Use of muscle relaxants or paralytics alone during surgery,
without general anesthesia, is unacceptable and should be avoided.
H. Surgical procedures, because of their invasive nature, require close supervision and attention to
humane considerations by the psychologist. Aseptic (methods that minimize risks of infection)
techniques must be used on laboratory animals whenever possible.
I. All surgical procedures and anesthetization should be conducted under the direct supervision of a
person who is competent in the use of the procedures.
If the surgical procedure is likely to cause greater discomfort than that attending anesthetization,
and unless there is specific justification for acting otherwise, animals should be maintained under

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anesthesia until the procedure is ended. Sound postoperative monitoring and care, which may include
the use of analgesics and antibiotics, should be provided to minimize discomfort and to prevent
infection and other untoward consequences of the procedure. Animals cannot be subjected to
successive surgical procedures unless these are required by the nature of the research, the nature
of the surgery, or for the well-being of the animal. Multiple surgeries on the same animal must
receive special approval from the animal care committee.
J. When the use of an animal is no longer required by an experimental protocol or procedure, in
order to minimize the number of animals used in research, alternative uses of the animals should be
considered. Such uses should be compatible with the goals of research and the welfare of the
animal. Care should be taken that such an action does not expose the animal to multiple surgeries.
K. The return of wild-caught animals to the field can carry substantial risks, both to the formerly
captive animals and to the ecosystem. Animals reared in the laboratory should not be released
because, in most cases, they cannot survive or they may survive by disrupting the natural ecology.
L. When euthanasia appears to be the appropriate alternative, either as a requirement of the
research or because it constitutes the most humane form of disposition of an animal at the
conclusion of the research -
 Euthanasia shall be accomplished in a humane manner, appropriate for the species, and in such a
way as to ensure immediate death, and in accordance with procedures outlined in the latest
version of the American Veterinary Medical Association (AVMA) Panel on Euthanasia.
 Disposal of euthanized animals should be accomplished in a manner that is in accord with all
relevant legislation, consistent with health, environmental, and aesthetic concerns, and approved
by the animal care committee. No animal shall be discarded until its death is verified.
VI. Field Research
Field research, because of its potential to damage sensitive ecosystems and ethologies, should be
subject to animal care committee approval. Field research, if strictly observational, may not require
animal care committee approval (USDA, 1989).
A. Psychologists conducting field research should disturb their populations as little as possible--
consistent with the goals of the research. Every effort should be made to minimize potential
harmful effects of the study on the population and on other plant and animal species in the area.
B. Research conducted in populated areas should be done with respect for the property and privacy
of the inhabitants of the area.
C. Particular justification is required for the study of endangered species. Such research on
endangered species should not be conducted unless animal care committee approval has been
obtained and all requisite permits are obtained.
VII. Educational Use of Animals
Laboratory exercises as well as classroom demonstrations involving live animals can be valuable as
instructional aids. APA has adopted separate guidelines for the educational use of animals in
precollege education, including the use of animals in science fairs and demonstrations.
A. Psychologists are encouraged to include instruction and discussion of the ethics and values of
animal research in all courses that involve or discuss the use of animals. B. Animals may be used for
educational purposes only after review by a committee appropriate to the institution.
C. Some procedures that can be justified for research purposes may not be justified for
educational purposes. Consideration should be given to the possibility of using nonanimal alternatives.

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esteem: Public Vs. Private University Students in Bangladesh. Journal of Business and
Technology, 3, 96-108.
Kabir, S.M.S., Shahid, S.F.B., & Karim, S.F. (2007). Personality between Housewives and
Working Women in Bangladesh. The Dhaka University Journal of Psychology, 31, 73-
84.
Kabir, S.M.S. & Karim, S.F. (2005). Influence of Type of Bank and Sex on Self-esteem, Life
Satisfaction and Job Satisfaction. The Dhaka University Journal of Psychology, 29, 41-
52.
Kabir, S.M.S. & Rashid, U.K. (2017). Interpersonal Values, Inferiority Complex, and
Psychological Well-Being of Teenage Students. Jagannath University Journal of Life and
Earth Sciences, 3(1&2),127-135.
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Basic Guidelines for Research SMS Kabir

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