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Ethical Issues in Research

Chapter · May 2021

DOI: 10.1007/978-3-319-31816-5_462-1

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E

Ethical Issues in Research Definition

Juwel Rana1,2,3, Segufta Dilshad1 and Ethics Ethics is a set of standards, a code, or
Md. Ali Ahsan4 value system, worked out from
1
Department of Public Health, School of Health human reason and experience, by
and Life Sciences, North South University, which free human actions are
Dhaka, Bangladesh determined as ultimately right or
2
Department of Biostatistics and Epidemiology, wrong, good, or evil. If acting agrees
School of Health and Health Sciences, University with these standards, it is ethical,
of Massachusetts Amherst, Amherst, MA, USA otherwise unethical.
3
Department of Research and Innovation, South Research Scientific research refers to a
Asia Institute for Social Transformation (SAIST), persistent exercise towards
Dhaka, Bangladesh producing new knowledge to unveil
4
Space and Environment Research Center a new stream of ideas in academia for
(SERC), Rajshahi, Bangladesh humankind.
Research Research ethics refer to some of the
Ethics genres that researchers follow to
The most important human endeavor is the striving protect the rights in developing
for morality in our actions. Our inner balance and research strategies and building a
even our very existence depend on it. Only morality
in our actions can give beauty and dignity to life –
trusted relationship between the
Albert Einstein. study participants and investigator.

Introduction

Synonyms Ethics or moral philosophy is a branch of philos-

ophy with standards or codes or value systems
Ethics; Methodology; Mixed-method research; and involves defending, systematizing,
Observation; Qualitative research; Quantitative recommending concepts of right, and minimizing
research; Research; Research design; Research wrong conduct. Ethical issues in research are
ethics some of the genres that researchers follow to

© Springer Nature Switzerland AG 2021

A. Farazmand (ed.), Global Encyclopedia of Public Administration, Public Policy, and Governance,
https://doi.org/10.1007/978-3-319-31816-5_462-1
2 Ethical Issues in Research

protect the rights in developing research strategies Minimizing the Risk of Harm
and building a trusted relationship between the
study participants and investigator. In a scientific No research is supposed to do any harm to partic-
study, research ethics plays a crucial role, and it ipants. Even then, participants could be subjected
refers to a persistent experience towards produc- to several types of harm, such as physical harm,
ing new knowledge for the sake of unveiling a psychological distress, social humiliation, finan-
new stream of ideas in academia. Ethical consid- cial loss, and invasion into privacy by breaking
erations in research have always been challeng- the anonymity rule. Strong justifications are cru-
ing, including ethical concerns vis-a-vis time, cial if there are any possibilities that participants
funding, accessibility, and proper implementation could be harmed or feel discomfort. Additional
of these concerns. These considerations need to strategies and planning mentioning the harm or
apply throughout the study rather than at any discomfort reduction strategy, including detailed
specific time of the process. The current chapter debriefing, may contain the situation. Therefore, it
will briefly cover basic research ethics principles is important to minimize the risk of harm by
and their implementation in research strategies. ensuring, inter alia, informed consent, protection
of anonymity and confidentiality, and nonuse of
any deceptive practices, including options for
participants to withdraw from the research at
Basic Principles of Research Ethics
any time (Principles of research ethics; Homan
1991; Israel and Hay 2006; Kimmel 1988; Fisher
Research ethics guide researchers conducting
and Anushko 2008).
any research, educate, and monitor scientists to
ensure a high ethical standard in research. Major
ethical requirements of scientific study include
five fundamental ethical principles, which needs Obtaining Informed Consent
to be considered at the research planning
and designing phases: first, minimizing the risk “Informed consent” is known as the cornerstone
of harm to the participants; second, securing of ethical research. The informed consent process
informed consent from the identified research par- is also known as a contract between the researcher
ticipants; third, protecting the anonymity and con- and the participants. The term consists of two
fidentiality of the participants; fourth, avoiding important elements, and each requires careful
deceptive practices; and finally, offering partici- consideration: “informed” and “consent.” The
pants the right to withdraw from the research required information in the consent form should
at will (Principles of research ethics; Homan include the purpose of the research, what will be
1991; Israel and Hay 2006; Kimmel 1988). asked to them, the methods being used, how the
Two major concepts are in consideration here: data will be used, the possible outcomes of the
(a) the researcher should focus on the participants’ research, and associated inconveniences and
welfare as a goal of any research study, which is risks/consequences (if any) that the participants
known as beneficence, and (b) the researcher must might face. The participants must provide explicit,
avoid harming and maintain confidentiality, signed consent to participate in the research,
which is known as non-malfeasance (Principles including understanding their rights to access
of research ethics). Based on country or institu- their information and the right to withdraw any-
tion, ethical requirements in research may differ. time at will. It is also a standard practice to men-
While reviewing the approval process, the ethics tion in the consent form that the participant is
committee of the concerned institution might find volunteering and his/her participation in the
inadequacy of ethical requirements in the pro- study is without being coerced and deceived.
posal and may reject any study that fails to meet
the basic ethical standards.
Ethical Issues in Research 3

There are situations where informed consent may 2008). Few things must be remembered in such
not be possible to collect from participants; in that a situation:
situation, the researcher must thoroughly explain
the case before approaching the actual research • The potential scientific value to the research
activity with the participant(s) and ethics commit- should justify deception, not otherwise.
tee (Principles of research ethics; Homan 1991; • Deception should only be used when there are
Israel and Hay 2006; Kimmel 1988; Fisher and no reasonably effective, alternative methods
Anushko 2008). available to achieve the research study’s goals.
• Deception is only used with study components
having potential risks.
Protecting Anonymity and • In the interest of full disclosure, researchers
Confidentiality must debrief subjects about the deception to
the extent possible.
If the participants are willing to volunteer to share
private or sensitive information, the researchers
must ensure extra efforts to keep the information Providing the Right to Withdraw
confidential. Insensitive data collection methods
might hurt the research participants’ privacy. It is Most ethics committees for research, which
likely to face a greater risk of data breach after review research protocols, generally emphasize
collection if data is not stored and treated sensibly, reserve unconditional or absolute “right” of with-
including even during the publication process. drawal of participants at any time and without
However, some research may not be mandatory giving any reason. The right to withdraw, by
to keep the information of the research partici- design, is to protect research participants from an
pants confidential or anonymous. If the investiga- inherent uncertainty, information imbalance,
tor needs to disclose confidential information of inability to hedge, and untoward bodily invasion.
the research participants, an entirely understand- This is important because it strengthens public
able “informed consent” has to be taken from the trust in the research institution and the research
participants (Principles of research ethics; Homan domain. Research participants must have the right
1991; Israel and Hay 2006; Kimmel 1988; Fisher to withdraw anytime at will from the research
and Anushko 2008). process, except for covert observations. The
research team must ensure that when a participant
considers withdrawing from the research process,
Avoiding Deceptive Practices there should not be any way to stop them from
withdrawing (Principles of research ethics;
The deception of subjects may occasionally be a Homan 1991; Israel and Hay 2006; Kimmel
requirement in research studies, known as covert 1988; Fisher and Anushko 2008).
research. This is typically needed to promote sci-
entific validity, where subjects are given false or
incomplete information about the research to Brief Historical Background of Research
obtain unbiased data with respect to their attitudes Ethics
and behavior. This is generally used when com-
plete or truthful disclosure is expected to produce Individuals, communities, and social values gov-
biased results. For example, the research study ern scientific research work as human activities.
team may inform subjects that they will be Research ethics involve protecting subjects’ dig-
engaged in a cooperative task with other subjects, nity required in daily works and the publication of
but in reality, subjects will be interacting with the information in research. Ethical concerns and
study personnel, of course unknowingly (Princi- dilemmas are part of the everyday practice of
ples of research ethics; Homan 1991; Israel and conducting all types of research. Ethical issues
Hay 2006; Kimmel 1988; Fisher and Anushko are not confined to qualitative research or studies
4 Ethical Issues in Research

involving human subjects and equally pertinent in research questions and implementing the method-
clinical trials that involve animals. Moreover, eth- ological aspects. All these components have
ical issues are also equally important for non- inherent ethical implications for the research
empirical research that has remarkable direct and study. Therefore, when a research strategy is
indirect impacts and research investigating undertaken, it is supposed to guide the study and
humans or documents related to people. The tra- determine the research approach, leading to
ditional starting point and focus for ethical issues research ethics (Homan 1991).
were mainly in quantitative biomedical research.
However, social scientists have started discussing
ethical issues in qualitative social research since Ethical Issues in Research Designs
1960s (Homan 1991; Bulmer 1982; Robley
1995). Each type of research design comes with unique
Experiment on humans was conducted even ethical challenges. There are three types of
before the eighteenth century. However, ethical research designs: quantitative, qualitative, and
issues in research drawn society’s interest only mixed-method designs.
after the 1940s because of human exploitation in
several research. Thus, professional codes and Quantitative Research Design
laws were introduced to prevent abuses of Quantitative research design is more structured
human lives in the name of research. The Nazi and well-defined, allowing researchers to plan
experiments led to the Nuremberg Code (1947), most of the research process in clear terms ahead
which is the leading code for all subsequent codes of time. There tends to be relatively little deviation
to protect human rights in research. Voluntary from these design specifics even during the
informed consent, liberty of withdrawal from research implementation phase. Clarification
research, protection from physical and mental about the quantitative design and associated
harm, or suffering and death were the main focus process makes it easier to understand potential
of this code. This code also emphasizes the ethical challenges during the research phase.
balance between risk and benefit of involving Accordingly, the researchers can plan to address
humans in research. This code’s key limitation these possible ethical challenges, including an
was the self-regulation of the research that could appropriate ethics proposal (Kimmel 1988).
be abused. All declarations followed prohibited In nonexperimental research, the researcher
nontherapeutic research, but Helsinki’s declara- only needs to convince the supervisor that poten-
tion in 1964 urges the necessity of nontherapeutic tial ethical challenges were covered instead of
research. Helsinki’s declaration emphasized the submitting an ethics proposal to an ethics com-
protection of human subjects and strongly pro- mittee. In experimental research, especially
claimed that individuals’ wellbeing should be pri- involving human subjects, the researcher needs
oritized over scientific and social interests to submit an appropriate ethics proposal, although
(Homan 1991; Kimmel 1988; Orb et al. 2001). that process can slow down the research process
(Hill and Wright 2001).

Research Strategy and Research Ethics Qualitative Research Design

The primary way of conducting qualitative
It is important to understand how research strat- research is to use structured, semi-structured,
egy affects research ethics. Any research strategy and unstructured interviews. Researchers can get
introduces a research study or project’s main com- rich and in-depth information using interview
ponents, such as research perspective, research techniques. However, extensive planning to
area, focus, research method, and research design, develop the structure; decide whom to interview
including sampling and data analysis techniques. and how, individual or group interviews; and
It means how researchers propose answering their record and analysis is mandatory. Interviewees
Ethical Issues in Research 5

should have multiple skill sets of conducting qual- interviews) to be used. The ethical issues may
itative interviews, including rapport building, also be different due to how a method is used
social skills, communication, and good listening (e.g., covert versus overt observation).
skills. All these are prone to problems of uncer-
tainty associated with individual behavior, Surveys and Structured Interviews
thereby generating possible biases, leading to eth- Surveys and structured interviews usually employ
ical challenges (Robley 1995; Orb et al. 2001; closed-ended questions, and respondents choose
Wiles et al. 2006). answers from the predefined options, which
A research project may have several stages. should be designed before starting research.
Qualitative research design and data obtained dur- Thus, it becomes easier for respondents to
ing implementation may affect selecting research understand predefined questionnaires and for
methods in the following phase(s) of a research researchers to get informed consent. However,
project. Therefore, potential ethical issues, there- researchers should clearly explain the structured
fore, may arise in the next stage of a research questionnaires, options, ethical issues, and rights
project only become apparent after completing a for the respondents, which help researchers get
certain preceding stage(s). This raises difficulty in informed consent and ease the research partici-
understanding possible ethical challenges that pant’s mind, minimizing potentials for distress
may evolve in the process of qualitative research. (Israel and Hay 2006; Kimmel 1988).
Furthermore, subsequent planning should be at
the outset of the research process to write an Observation: Overt and Covert
ethical proposal and overcome these ethical chal- Compared to surveys and structured interviews,
lenges. The ethical approval process may even get overt or covert observation methods warrant
more complicated if the research involves decep- higher ethical scrutiny. In covert observation, par-
tive practices (like covert observation) or sensitive ticipants do not know which research method is
segments of human subjects like children or mar- applied that can raise significant ethical concerns.
ginalized people. Thus, the inclusion of a qualita- It is reassuring to note that most research that uses
tive component, with its uncertainty, makes the observation as a research methodology generally
ethics approval process more challenging (Robley tends to use an overt method, where the partici-
1995; Orb et al. 2001). pants are aware that the researchers are making
them subjects. It is relatively easier to obtain
Mixed-Method Research Design informed consent from those participants who
Researchers should consider the potential ethical undergo overt observations. On the other hand,
challenges inherent in quantitative and qualitative covert observation is a form of deceptive practice
research, including possible synergy to apply and problematic in terms of ethical aspects. The
mixed-methods research design. Often, this forces participants’ absence of informed consent and the
a greater burden on the researcher to clarify the researcher’s willful attempt to keep the observa-
overall design process and slow down the research tion covert can give rise to ethical concerns. It
process. This is particularly prominent if the could be considered contentious to use covert
researcher needs to finish the qualitative phase observation and deceptive practices, especially
(e.g., interviews) before settling on the appropri- when used intentionally (Kimmel 1988; Bulmer
ate quantitative technique (e.g., experimental or 1982).
nonexperimental) (Fisher and Anushko 2008).
Informal and In-Depth Interviews
Informal and in-depth interviews can lead to
Ethical Issues in Research Methods greater exposure to ethical standards. Potential
ethical issues may arise from the types and quality
Potential ethical issues may be raised from of data that needs to be obtained, the procedure of
research methods (e.g., surveys, in-depth storing the data, and how to inform the
6 Ethical Issues in Research

participants that their data will be used (Orb et al. study; and (b) an undersized sample limits the
2001; Wiles et al. 2006). researcher to achieve the goals of the study, due
to insufficient units of the sample. The ethical
issue is that the researcher fails to correctly answer
Ethical Issues in Sampling Strategies the research questions, not because of the lack of
answer; instead, it is due to the small sample size
Sampling that the researcher may choose to inves- for such an answer to be explored, derived, or
tigate can also raise several ethical issues that need interpreted (Principles of research ethics; Butler
a clear understanding and appropriate attention to 2002).
be resolved.

Sampling Techniques
Ethical Issues in Data Analysis
During the sampling process, the researcher needs
to decide on sampling units (e.g., people, organi-
The participants’ confidentiality and data privacy
zations) – criteria to include as a sample and
issues often face challenges during the data anal-
exclude from the included samples –sampling
ysis and reporting phases. Ethical challenges are
techniques (probabilistic and non-probabilistic)
different for quantitative and qualitative data
help in selecting such units. The researcher selects
analysis, which requires particular attention.
units for the sample from an existing population
Quantitative data analysis techniques (e.g., data
list with specific confidentiality and data protec-
aggregation and data summarization) have built-
tion issues in the probability sampling technique.
in protection mechanisms towards respondents’
Until the researcher gets permission to access the
anonymity with some exceptions (Hill and Wright
population list and its details, it is unethical to use
2001). On the other hand, both presentation style
it for research purposes. This warrants the
and the depth of qualitative data quality often
researcher to obtain the right to have access to
create potential ethical challenges, mainly due to
the list he/she intends to use. For non-probability
researchers’ style of reporting qualitative data in
sampling, the researcher may include or exclude
all its richness, increasing the risks of identifying
units for theoretical or practical reasons. For
research participants (Wiles et al. 2006).
example, in purposive sampling, the choice of
units to be included and excluded is entirely
driven by theoretical elements, raising few ethical
concerns. On the other hand, if units are included Conclusion
or excluded for practical reasons like ease of
access or personal preferences (e.g., convenience Research ethics are important moral signposts for
sampling), there exists the risk that some units researchers to avoid deception when conducting
may be excluded unnecessarily, which also raises and reporting research outcomes. Research ethics
ethical issues (Principles of research ethics; Butler also protect against any possible harm to the study
2002). participants. This further helps validate any
research. Following ethical standards in research
Sample Size also ensures credibility and public trust. Ethical
Sample size depends on sampling techniques, issues in research should be prioritized in the
whether probabilistic or non-probabilistic aspects study design phase. Therefore, tackling ethical
of it. Ethical issues might appear in determining issues and challenges aligns with the research
sample size for two reasons: (a) an oversized strategy to get maximum impact.
sample, more people or organizations in the sam-
ple than necessary to achieve the research goals, is
an ethical issue because it would expose more
people (or other units) than it is necessary for the
Ethical Issues in Research 7

Cross-References methods.sagepub.com/book/the-sage-handbook-of-
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▶ Ethics and Philosophy 19(6):432–443
▶ Qualitative Method Homan R (1991) The ethics of social research. Addison-
▶ Quantitative Method Wesley Longman Limited
Israel M, Hay I (2006) Research ethics for social scientists.
▶ Research Design Sage
Kimmel AJ (1988) Ethics and values in applied social
research. 1st ed. SAGE Publications Inc
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