Topic 02:

Ethics in Research

"Even the most rational approach to ethics is defenseless if there isn't the will to do what is

right."

Alexander Solzhenitsyn

Objectives

 To be familiar with the ethical guidelines that govern experimental research.

 To value acting ethically when conducting research.

 In the context of research, the capability to determine whether or not a specific

conduct should be considered unethical.

 Ability to make an informed consent.

Introduction

Research ethics dictate the conduct standards for scientific researchers. To protect the dignity,

rights, and welfare of research participants, adherence to ethical principles is essential. As a result,

all human subjects research should be reviewed by an ethics committee to ensure adherence to

the appropriate ethical standards. Central to ethical review is the discussion of the ethical

principles of beneficence, justice, and autonomy (WHO, 2016).

Ethics in Research

I. Code of Ethics for Philippine Psychologist and Psychometrician (2022)

The Psychological Association of the Philippines (PAP) adopted a Code of Ethics for

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 Clinical Psychologists in 1980s, and this Code has remained unchanged since then. Due

to the pandemic, which fundamentally altered the landscape of psychological services in

the Philippines, including research, it was revised during the last quarter of 2020 and

have been approved in 2022.

PAP Code of Ethics for Psychologists and Psychometricians (2022) Section X.

A. Rights and Dignity of Participants

1. In all aspects, we respect the rights, safeguard the dignity, and protect and promote the

welfare of research participants.

2. Before beginning any research work in a community not our own or not familiar to us, we

obtain essential information about their mores, culture, social structure, customs, and

traditions.

3. We respect and abide by their cultural expectations, provided that this does not

contravene any of the ethical principles of this Code of Ethics.

4. We respect the rights of research participants should they wish to discontinue their

participation at any time. We are responsive all throughout the research to participants’

non-verbal indications of a desire to withdraw from participation, especially if the person

has difficulty with verbal communication, is a young child, or is culturally unlikely to

communicate.

5. We do not contribute nor engage in research which contravenes international

humanitarian law, such as development of methods intended to torture persons,

development of prohibited weapons, or destruction of the environment.

6. It is our duty to ask participants about any factors that could bring forth potential harm,

such as preexisting medical conditions, and to detect, remove, or correct any foreseeable

undesirable consequences prior to research proper.

7. To ensure that participants’ rights are protected, we seek independent and sufficient

ethical review of the possible risks our research may pose to them.

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B. Informed Consent to Research

1. We do not just ask participants to sign in the consent form; we recognize that informed

consent happens due to the willingness of the participants to work collaboratively with

us.

2. We make sure that the consent form is translated in language or dialect that the

participants understand. We will take reasonable measures to guarantee that the

information was understood.

3. When we conduct research with persons below 18 years of age, we obtain informed assent

from them and informed consent from their parents or legal guardian.

4. When we conduct research with adult participants who have difficulties in

comprehension or communication, we obtain informed consent from adult family

members of the participants and approval from independent advisors.

5. When we conduct research with detained persons, we pay attention to special

circumstances which could affect the latter’s ability to give informed consent.

6. When obtaining informed consent as required in section III.J. of this Code of Ethics, it is

our duty to inform research participants about:

a. the purpose of research, expected duration, and procedures;

b. mutual responsibilities;

c. their right to decline to participate and to withdraw from the research once

participation has begun;

d. the foreseeable consequences of declining or withdrawing;

e. reasonably foreseeable factors that may be expected to influence their willingness

to participate such as potential risks, discomfort, or adverse effects;

f. how to rescind consent if desired;

g. any prospective research benefits;

h. protections and limits of confidentiality and/or anonymity;

i. incentives for participation;

j. whom to contact for questions about the research and research participants’ rights;

and
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 k. contact details of mental health professionals in case participants experience

distress due to the study.

We shall provide an opportunity for prospective participants to ask questions and

receive answers.

7. When conducting intervention research using experimental treatments, it is our duty to

clarify to participants at the beginning of research the following:

a. experimental nature of the treatment

b. services that will or will not be available to the control group(s) if appropriate;

c. means by which assignment to treatment and control groups will be made;

d. available treatment alternatives if an individual does not wish to participate in the

research or wishes to withdraw once a study has begun; and,

e. compensation for or monetary costs of participating, and if appropriate, including

whether reimbursement from the participant or a third-party payor will be sought.

8. In longitudinal research, we may need to obtain informed consent on more than one

occasion.

9. In conducting online data gathering procedures using digital survey platforms, we ensure

that informed consent is obtained in the same rigorous manner as in face-to-face surveys.

Such consent to participate in the study must be secured before the respondent gains

access to the actual survey or data gathering instruments.

C. Informed Consent for Recording Voices and Images in Research

1. It is our duty to obtain informed consent from research participants before recording

their voices or images for data collection, except when:

a. the research consists only of naturalistic observations in public places, and it is

not anticipated that the recording will be used in a manner that could cause

personal identification or harm; and,

b. the research design includes deception, and consent for the use of the recording

is obtained during debriefing.

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D. Research Participation of Client, Students and Subordinates

1. When we conduct research with our clients, students or subordinates, we do not coerce

them to participate, rather, we inform them about their right not to participate and we do

not reprimand or penalize them for doing so.

2. When research participation is a course requirement or an opportunity for extra credit,

we inform our clients, students or subordinates about equitable alternative activities that

could fulfill their educational or employment goals.

E. Dispensing with Informed Consent for Research

1. We may dispense informed consent only on the following conditions:

a. when we believe that the research would not distress or create harm to participants

or general welfare or when our study involves:

i. the study or normal educational practices, curricula, or classroom

management methods conducted in educational settings;

ii. only anonymous questionnaires, naturalistic observations, or archival

research for which disclosure of responses would not place participants at

risk of criminal or civil liability or damage their financial standing,

employability, or reputation, and confidentiality is protected;

iii. the study of factors related to job or organization effectiveness conducted

in organizational settings which would not affect the participants’

employability, and when confidentiality is protected; or,

b. when it is mandated by law or is an institutional regulation.

F. Offering Inducements for Research Participation

1. We may fairly compensate participants for the use of their time, energy, and knowledge,

unless such compensation is refused in advance.

2. We make reasonable efforts not to offer undue, excessive or, inappropriate reward,

financial or other inducements for research participation, which could likely pressure or

coerce participation.
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 3. When we offer psychological and professional services as an incentive for research

participation, it is our duty to clarify the nature of the services, including the risks,

obligations and limitations.

G. Deception in Research

1. We refrain from conducting research involving deception, except: a. when we have

determined that the use of deceptive techniques is justified by the study’s significant

prospective scientific, educational, medical, or applied value; and, b. when effective non-

deceptive alternative procedures are not possible.

2. We do not deceive prospective research participants about our study that is reasonably

expected to interfere with their decision to give informed consent. We ensure that the level

of risk, discomfort, or inconvenience that could cause physical pain or severe emotional

distress is not withheld from the participants.

3. It is our duty to explain any deception as an integral feature of design and conduct of an

experiment to those who participated in research as soon as possible, preferably at the end

of their participation but not later than the end of data gathering.

H. Debriefing

1. We debrief by informing the participants that they have contributed to the body of

knowledge and we make sure that they have also learned from their participation.

2. We give participants an opportunity to obtain the nature, results, and conclusions of the

research. We also take reasonable steps to correct any misconceptions participants have

about our research, especially when the participants were led to believe that the research

has a different purpose.

3. When participants’ trust may have been lost due to incomplete disclosure or temporarily

leading participants to believe that the research had a different purpose, we seek to re-

establish trust and assure them that the research procedures were carefully structured and

necessary for scientifically valid findings.

4. If scientific or humane values justify delaying or withholding this information, we take

reasonable measures to reduce the risk of harm.

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 5. When we become aware that our research procedures have harmed a participant, we act

to correct and minimize the harm.

6. If after debriefing, the participants decided to withdraw their data, we shall respect and

grant their request. The participants have the right to appeal that their own data, including

recordings, be destroyed.

I. Observational Research

We respect the privacy and psychological well-being of persons studied based on

observational research. This method is acceptable only when those being observed would

expect to be observed by strangers.

J. Humane Care and Use of Animals in Research

1. We do not use animals in research, except when there is a sufficient reason to say that it

is the only way to:

a. further increase understanding of the structures and processes underlying human

or animal behavior;

b. increase understanding of the specific species used in the study; or

c. eventually augment benefits to the health and welfare of humans or other animals.

2. We comply with current laws, regulations and professional standards when we acquire,

care for, use, and dispose animals used in research.

3. We take reasonable steps to ensure that animals used in research are treated humanely

and are not exposed to unnecessary discomfort, pain, or disruption. If possible, a

psychology practitioner trained in research methods and experience in care of laboratory

animals shall supervise all procedures in researches of this kind.

4. We make sure that all individuals under our supervision have received clear instructions

and guidelines in research methods and in care, maintenance, and handling of animals or

specific species being used, to the extent that is appropriate to their role.

5. We use a procedure causing pain, stress, and privation to animals only when:

a. an alternative procedure is unavailable;

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 b. the goal is justified by its prospective scientific, educational, or applied value; and,

c. we make reasonable efforts to minimize the discomfort, infection, illness, and pain

of animal subjects.

6. We perform surgical procedures with appropriate anesthesia and we follow techniques

to avoid infection and minimize the pain during and after surgery.

7. Only when it is appropriate that an animal’s life be terminated, then we proceed rapidly,

with an effort to minimize pain and in accordance with accepted procedures.

K. Care for the Environment

We shall avoid procedures/methodologies that will adversely affect the environment.

L. Reporting Research Results

1. When reporting results of research activities, we will use language that is appropriate and

comprehensible to the target population.

2. Whenever feasible and appropriate, we consult with groups, organizations, or

communities being studied the findings of our research so as to increase the accuracy of

interpretation and to minimize the risk of misunderstanding, misinterpretation or misuse.

3. We are cautious when reporting results of our research regarding vulnerable groups or

communities and we ensure that the results will not be misinterpreted or misused in the

development of social policy, attitude, and practices.

4. In research involving children, we are cautious when discussing the results with parents,

legal guardians, or teachers and we make sure that there is no misinterpretation or

misunderstanding.

5. We do not fabricate data.

6. If we discover significant errors in our published data, we act quickly to correct such

errors in a correction, retraction, erratum, or other appropriate publication means.

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M. Plagiarism

We do not present any portions of other’s work or data as our own, even if the source is

cited occasionally.

N. Publication Credit

1. We take responsibility and credit only for work we have actually done and credit others

(including students and research assistants) for work they have actually performed or to

which they have substantially contributed.

2. We ensure that principal authorship and co-authorship accurately reflect the relative

scientific or professional contributions of the individuals involved, regardless of their

relative status. Mere possession of an institutional position, such as department chair or

head of the research unit, does not justify authorship credit. Minor contributions to the

research or to the writing for publications must be acknowledged appropriately, such as

in footnotes or an introductory statement.

3. We do not claim credit or authorship in a publication that is substantially based on our

student’s thesis or dissertation if we do not have substantial contributions to the research

beyond our regular duties as thesis/dissertation mentor or advisor. As faculty advisors,

we should discuss with students, publication credit at the outset and throughout the

research and publication process based on our relative contributions to the research work.

4. In a multiple-authored article that is partly and/or substantially based on the student’s

thesis or dissertation, we shall give appropriate publication credit to the student based on

the student’s contribution relative to the other authors. When the article is mainly based

on the student’s thesis or dissertation, we credit the student with primary authorship.

O. Duplicate Publication of Data

We do not publish data that have been previously published and claim them as original data.

However, this does not prohibit republishing of data as long as proper acknowledgement is

clearly stated.

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P. Sharing Research Data for Verification

It is our duty to share and not to withhold our data to other competent professionals, who

seek to verify and reanalyze the research results and substantive claims of our publication,

provided that:

1. the latter obtain prior written agreement for the use of data;
2. the latter intend to use the data solely for the purpose declared;

3. the latter will hold responsibility for costs associated with the release of data; and,

4. confidentiality of participants can be protected. Unless legal rights concerning

proprietary data preclude such release, then the latter should seek permission from the

concerned institution, organization or agency.

Unless legal rights concerning proprietary data preclude such release, then the latter should seek

permission from the concerned institution, organization or agency.

Q. Reviewers

When we review material submitted for presentation, publication, grant, or research proposal

review, we respect the confidentiality and the proprietary rights of those who submitted it.

R. Limitations of the Study

1. We acknowledge the limitations of our knowledge, methods, findings, interventions,

interpretations, and conclusions.

2. In cases wherein our research touches on social policies and structures of communities

which we do not belong, we thoroughly discuss the limits of our data with respect to their

social policy.

3. We do not conceal disconfirming evidence about our findings and views and we

acknowledge alternative hypotheses and explanations.

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 II. Informed Consent

The code of ethics mentioned informed consent. It is a fundamental component of experimental

research and one of the cornerstones of research ethics. Its purpose is to ensure that human

participants can enter research voluntarily, with complete knowledge of what participation

entails, and that they provide informed consent prior to entering research.

The following is the instruction utilized by the Bataan Peninsula State University PREC.

TITLE OF STUDY

[Insert title]

PRINCIPAL INVESTIGATOR

[Name]

[Department]

[Address]

[Phone]

[Email]

I. PURPOSE OF STUDY

- You are being asked to take part in a research study. Before you decide to participate in

this study, it is important that you understand why the research is being done and what

it will involve. Please read the following information carefully. Please ask the researcher

if there is anything that is not clear or if you need more information.

- The purpose of this study is to [Briefly describe purpose of study.]

II. STUDY PROCEDURES

- List all procedures, preferably in chronological order, which will be employed in the study. Point

out any procedures that are considered experimental. Clearly explain technical and medical

terminology using non-technical language. Explain all procedures using language that is

appropriate for the expected reading level of participants.

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 - State the amount of time required of participants per session, if applicable, and for the total duration

of the study.

- If audio taping, videotaping, or film procedures are going to be used, provide information about the

use of these products.

III. RISKS

- List all reasonably foreseeable risks, if any, of each of the procedures to be used in the study, and

any measures that will be used to minimize the risks.

- You may decline to answer any or all questions and you may terminate your involvement

at any time if you choose.

IV. BENEFITS

- List the benefits you anticipate will be achieved from this research. Include benefits to participants,

others, or the body of knowledge. If there is no direct benefit to the participant, state so. For example,

“There will be no direct benefit to you for your participation in this study. However, we hope that

the information obtained from this study may….”

- When applicable, disclose alternative procedures or courses of treatment, if any, which might be

advantageous to participants.

V. CONFIDENTIALITY

- Your responses to this [survey] will be anonymous. Please do not write any identifying

information on your [survey]. OR For the purposes of this research study, your comments

will not be anonymous. Every effort will be made by the researcher to preserve your

confidentiality including the following:

- [State measures taken to ensure confidentiality, such as those listed below:]

 Assigning code names/numbers for participants that will be used on all research notes

and documents.

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  Keeping notes, interview transcriptions, and any other identifying participant

information in a locked file cabinet in the personal possession of the researcher.

- Participant data will be kept confidential except in cases where the researcher is legally

obligated to report specific incidents. These incidents include, but may not be limited to,

incidents of abuse and suicide risk.

VI. COMPENSATION

- If there is no compensation, delete this section.

- Indicate what participants will receive for their participation in this study. Indicate other ways

participants can earn the same amount of credit or compensation. State whether participants will

be eligible for compensation if they withdraw from the study prior to its completion. If compensation

is pro-rated over the period of the participant's involvement, indicate the points/stages at which

compensation changes during the study.

VII. CONTACT INFORMATION

If you have questions at any time about this study, or you experience adverse effects as the

result of participating in this study, you may contact the researcher whose contact information

is provided on the first page. If you have questions regarding your rights as a research

participant, or if problems arise which you do not feel you can discuss with the Primary

Investigator, please contact the Institutional Review Board at (865) 354-3000, ext. 4822.

VIII. VOLUNTARY PARTICIPATION

- Your participation in this study is voluntary. It is up to you to decide whether or not to

take part in this study. If you decide to take part in this study, you will be asked to sign a

consent form. After you sign the consent form, you are still free to withdraw at any time

and without giving a reason. Withdrawing from this study will not affect the relationship

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you have, if any, with the researcher. If you withdraw from the study before data

collection is completed, your data will be returned to you or destroyed.

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Note: Please delineate the "Consent" section of the Informed Consent Form by drawing a line across the

page (like the one above this paragraph). This delineation is important because the consent form grammar

shifts from second person to first person, as shown in this example.

CONSENT

I have read and I understand the provided information and have had the opportunity to ask

questions. I understand that my participation is voluntary and that I am free to withdraw at any

time, without giving a reason and without cost. I understand that I will be given a copy of this

consent form. I voluntarily agree to take part in this study.

Participant's signature: Date:

Investigator's signature: Date:

Generalization
The importance of ethics in the discipline of psychology cannot be overstated. Additionally, it

acts as a guide for conducting experimental research. No longer do individuals suffer harm or

make sacrifices to conduct research. What is the purpose of research if it causes more harm to

individuals or participants than good? As a future researcher, you must rigorously adhere to the

research ethics and other sections of the code of ethics for psychologists and psychometricians.

We maintain our discipline with the utmost regard for human decency and the value of life.

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References
 Code of Ethics for Philippine Psychologist and Psychometrician (2022). Psychological Association
of the Philippines

 BPSU- PREC’s Guide in Writing Informed Consent

 World Health Organization (2016). Ensuring ethical standards and procedures for research with

human beings. https://www.who.int/activities/ensuring-ethical-standards-and-procedures-for-

research-with-

humanbeings#:~:text=Research%20ethics%20govern%20the%20standards,and%20welfare%20of%

20research%20participants.

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