Association, and the American Anthropological Association have issued discipline-specific ethical codes for research. These codes can be found on the associations’ websites; some are listed in the References and Resources section.
In general, there is a great deal of agreement among professional codes of research ethics across the many disciplines that fall under the broad umbrella of social and behavioral sciences, although certain fields apply different research methodologies or encounter populations that may require specific ethical consideration. For example, deception is a common practice in social psychology research. The American Psychological Association’s Ethical Principles of Psychologists and Code of Conduct delineates conditions that must be met in order for deception of research participants to be ethically permissible, and it offers guidance on debriefing research participants who have been deceived. For research in educational settings, researchers follow the Code of Ethics of the American Educational Research Association, which addresses the unique issues that arise when teachers conduct research with their own students or subordinates.
Professional codes of ethics are not enforceable, but they are necessary for the ethical implementation of research. A professional code’s detailed examination of specific issues pertaining to a particular discipline provides guidance regarding the acceptable and expected behavior of researchers using discipline-specific methods and approaches.
More questions? See #4, #33, and #61.
Question #9 Who Is Responsible for Ensuring Research Is Conducted Ethically?
All persons involved in conducting research, whether they are the lead researcher of a study (called the principal investigator, or PI), or a research assistant working for the PI, are obligated to follow all the ethical rules for research. However, the PI has primary responsibility for what happens during the research. Students conducting research for their thesis or dissertation may have a faculty advisor, but the student has primary responsibility for the protection of research participants. No matter who funds the research, who is conducting it, and what specific form of review is required by an institutional review board (IRB), researchers (PIs, research assistants, and student investigators) must adhere to the basic principles of respect for persons, beneficence, and justice.
Federal research regulations are enforced through a system of local review by an IRB. An IRB is a committee that reviews research to ensure the safety and well-being of human research participants. IRB is the name designated for such committees in the United States. Internationally such committees may also be called research ethics boards (REBs) or committees (RECs). IRBs are located at institutions where research is conducted, such as at universities. Large research institutions may have multiple IRBs. The IRB submission and review process is discussed in detail in Part 8.
An IRB’s primary responsibility is to review planned research studies before they are conducted. This review aims to ensure a favorable balance of risk and benefits; minimization of risks to participants; fair recruitment practices that do not exploit particular groups; and adequate plans to secure valid, voluntary, informed consent when necessary. No recruitment, enrollment, or data collection may begin until an IRB reviews the research study.
In the United States, if research is conducted or supported by a federal government agency (such as the National Science Foundation or the Department of Education), or if data collected will be submitted to the Food and Drug Administration (FDA), then IRB review is required by law. However, academic research institutions almost always require that all human research conducted by students, faculty, and staff members undergo some type of IRB review, regardless of funding source or type.
Because federal research regulations and professional codes do not dictate specific requirements for all situations in research, institutions that conduct research also develop and disseminate their own detailed policies. These policies must be consistent with the federal regulations; but they may include additional requirements, some of which are more stringent than the federal regulations. Researchers are expected to follow their institution-specific policies in addition to the federal regulations.
More questions? See #6, #10, and #81.
Question #10 When I Begin Developing My Research, What Ethical Issues Should I First Consider?
This book provides tips for addressing specific ethical issues that may arise in social and behavioral sciences research, but how do you know which issues are relevant to your research? For all your studies, you must first and foremost demonstrate respect for participants. This may be accomplished by obtaining informed consent for participation, although consent may take a variety of forms, and in some cases, may not be required. More on this in Part 5. You must also ensure that your research has the potential to do more good than harm. Research poses a variety of risks. More on this in Part 2. You must ensure that you are fair in your selection of research participants. This is covered in Part 6. Where to begin!? Consider your topic area, target population, methods, and data sources. Here are some questions to help you get started.
What is the focus of your research, and what kinds of information do you want to collect? Will you be asking about or be in a position to observe illegal or socially stigmatized behavior? Will you learn information about people that they might not want shared with others? Even if you’re not asking people about illegal or stigmatized behaviors, you might be asking them to tell you information that they consider personal and private. What people perceive as personal and private varies greatly, so avoid making assumptions about participants’ needs. In any study, regardless of the topic, researchers must follow best practices to protect participants’ privacy and the confidentiality of their data. More on this in Part 3.
Who is your target population? Might some or all of the individuals you want to recruit have difficulty understanding what the research is about and their rights as participants (including the right to say “no”) because of either cognitive deficits, limited English proficiency, or young age? Might some have a difficult time saying “no” to participating because you are in a relationship with unequal power? More on ethical considerations and best practices for research with a variety of vulnerable populations in Part 4.
How will you find your participants? What research method (or methods) do you plan to use? Self-administered online surveys, face-to-face or telephone interviews, focus groups, or observations? Each poses unique ethical challenges. For example, focus groups limit your ability to maintain participants’ privacy and the confidentiality of their data. Using deception in research may help you to collect more reliable information from participants, but you must consider ethical trade-offs. More on ethical issues to think about when designing your research in Part 6 and implementing your research in Part 10.
What will be your primary sources of data? Surveys? Observations? Data that exist in cyberspace? More on unique ethical challenges posed by different types of data sources in Parts 7 and 9.
Lastly, as you begin thinking about conducting a research study, you must find out the requirements and process for ethical review at your institution. More on the institutional review board submission process in Part 8.
More questions? See #11, #18, and #34.
Question #11 What Is Risk, and What Are the Risks in Social and Behavioral Sciences Research?
Risk is defined as the possibility of something happening that is in some way harmful. Risk has two parts: the magnitude or degree of harm that might occur, and the probability that it will occur.
In research, risks are harms or discomforts that study participants could potentially experience from taking part in the research. As in life, where individuals experience
