Ethical Issues in Research

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MASTERS OF EDUCATION MANAGEMENT
AND PLANNING
Mr Livinus M. F. Ndibalema.
( Dip: Phil& Rel.Studies, BA: Phil, MA: Sociology, MA Cand:
MEMP)
Taking into account of ethical issues when planning and designing
research projects.
@2016

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TABLE OF CONTENTS
Introduction ...................................................................................................................................1
The Concept of Ethics ....................................................................................................................1
Meta ethics………………………………………………………………………………….1
Normative Ethics…………………………………………………………………………..2
Applied Ethics……………………………………………………………………………...2
Ethics in Research .........................................................................................................................2
ETHICAL ISSUES TO CONSIDER IN RESEARCH...............................................................4
Criteria for judging a research………………………………………………………….4
Ethical principles (of research)………………………………………………….5
The principle of autonomy- (respect the right to self-determination)……..5
Non-Maleficence principle- (not to inflict evil or harm)………………….5
Beneficence principle– (to further others‟ legitimate interests)…………...5
The principle of justice-( to ensure fair entitlement to resources)………...5
Ethical rules………………………………………………………………………5
Veracity (habitual truthfulness)……………………………………………...6
Privacy (freedom from public attention) / Anonymity…………………........6
Confidentiality……………………………………………………………............6
Fidelity……………………………………………………………………….........8
Scientific Criteria………………………………………………………………...8
Bias………………………………………………………………………….8
Plagiarism…………………………………………………………………8
THE CONCEPT OF CONSENT………………………………………………………………..8
Informed Consent………………………………………………………….9
Implied consent ………………………………………………………….11
Active versus Passive Consent …………………………………………..11
ADDITIONAL PRINCIPLES……………………………………………………… ………...11
Honesty…………………………………………………………………..12

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Objectivity……………………………………………………………..…12
Integrity…………………………………………………………………..12
Carefulness………………………………………………………………12
Openness…………………………………………………………………12
Respect for Intellectual Property………………………………………...12
Confidentiality……………………………………………………………12
Responsible Publication……………………………………………….…13
Responsible Mentoring………………………………………..…………13
Respect for colleagues……………………………………….……......…13
Social Responsibility………………………...………………………...…13
Non-Discrimination………………………………………………...……13
Competence………………………………………………………………13
Legality…………………………………………………………………..13
Animal Care……………………………………………………………...13
Human Subjects Protection………………………………………………14
OTHER MISCOUNDUCT IN RESEARCH AND ACADEMIC PUBLICATION (OTHER
DEVIATIONS)………………………………………………………………………………….14
OTHER ETHICAL STEPS FOLLOWED BY MOST UNIVERSITIES IN CONDUCTING
ACADEMIC RESEARCH (Research for Academic Award)………………………………....15
Entry protocol………………………………………………………………...15
University………………………………………………………………15
Regional Level………………………………………………………....16
District Level………………………………………………………..….16
Ward Level……………………………………………………………..16
Community/Village level…………………………………………..……16
Departmental Involvement………………………………………..……16
CHALLENGES OF ADHERING TO ETHICS CONCERNS IN RESEARCH……………16
Challenge of Covert Operations/Participant Observer………………….17
Challenge of Anonymity and Confidentiality …………………………....17
Challenge of informed consent to children………………………………17
How to Report Ethical Matters in Research……………………………………………………..18
CONCLUSION…………………………………………………………………………………..19

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Reference………………………………………………………………………………………...20

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Introduction
The purpose of this paper is to explore and discuss all the ethical issues that should be taken into
account when planning and designing research projects. However for the good understanding of
the concept of “ethics in research” the paper as tried to explore other areas surrounding the
concept, by first discussing the concept itself, after which other issues have been discussed, as
stipulated the following parts.
The Concept of Ethics
To understand ethics in research it is important to understand the concept ethics in general.
Ethics is a concept which has its roots in the Ancient Greek word ethikos or ethos simply
meaning habit or custom. But ethics is also considered as a discipline or an intellectual inquiry,
and as a discipline it originates from philosophy, though lately it has stood on its own as a
discipline. In philosophy it is sometimes referred to as moral philosophy, Rushoworth (2003). It
is a discipline which investigates the question “What is the best way for people to live?” and
What actions are right or wrong in a particular circumstances?” in practice ethics seeks to resolve
questions of human morality, be defining concepts such as good and evil, right and wrong,
virtues and vice, just and crime. It is concerned much with how one ought to do and ought not to
do. Additionally, Ethics deals much with actions of human being by judging them whether they
are right or wrong, how to live a good life, our rights and responsibilities.
For Rushoworth 2003), contends that most of our ethical conduct have been derived from
religions, philosophies and cultures. This partly explains why it has been considered a branch of
philosophy.
However for David (2015), the most common way of defining ethics while carrying out our
duties, is that it can be defined as a code of professional conduct: norms for conduct that
distinguishes between acceptable and unacceptable behaviour.
Now, in determining where ethics in research could fall, three major areas of ethics were
explored, and according to Paul and Linda (2006), ethics is categorized in three major areas;
 Meta ethics, concerning the theoretical meaning and reference of moral propositions, and
how their truth values can be determined.

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 Normative Ethics, concerning the practical means of determining a moral course of
action.
 Applied ethics concerning what a person is obligated (or permitted) to do in a specific
situation or a particular domain of action.
However some scholars have defined ethics as a set of concepts and principles that guide us in
determining what behaviours helps or harms other creatures (Paul and Linda 2006). With that
already know, ethics in research will possibly fall in the third category of applied ethics as well
as in the definition which considers ethics to be principles that guide in determining the
behaviours that helps or harms other creatures. However, we can also argue that it could also fall
in the normative ethics which deals with practical means of determining a moral course of action.
ETHICS IN RESEARCH
Ethics in research as already hinted above in the general understanding of the concept, can be
explained in the same line, where a researcher has to consider certain principles in doing the
research. These are some things you ought to do, or supposed to do, or supposed to observe, to
consider, to adhere, so as not to harm the participants, the process, the findings, and the readers
of the findings.
Ethics as a discipline has its own principles, however these principles such as that of justice, (as
will be seen later) were transferred into research so that research activities could capture those
principles so that scientific development of knowledge can be ensured.
As it will be seen later, ethical principles in research such as confidentiality, anonymity, secrecy,
informed consent, plagiarism, justice and many others have to be adhered to, have to be
considered, have to be observed while planning research activity, which includes before, during
and after the research when findings are being reported.
According to David (2015), there are several reasons why it is important to adhere to ethical
norms in research. First, norms promote the aims of research , such as knowledge, truth, and
avoidance of error. For example, prohibitions against fabricating , falsifying, or misrepresenting
research data promote the truth and minimize error.

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But secondly, according to David (2015), since research often involves a great deal of
cooperation and coordination among many different people in different discipline and
institutions, ethical standards promote the values that are essential to collaborative work, such as
trust, accountability, mutual respect and fairness.
Third, many of the ethical norms help to ensure that researchers can be held accountable to the
public . For instance, federal policies on research misconduct, conflicts of interest, the human
subjects protections , and animal care and use are necessary in order to make sure that
researchers who are funded by public money can be held accountable to the public (David 2015)
Fourth, ethical norms in research also help to build public support for research. People are more
likely to fund a research project if they can trust the quality and integrity of research.
Finally, for David (2015) many of the norms of research promote a variety of other important
moral and social values, such as social responsibility, human rights, animal welfare, compliance
with the law, and public health and safety. Ethical lapses in research can significantly harm
human and animal subjects, students, and the public. He gives an example of medical research,
that a researcher who fabricates data in a clinical trial may harm or even kill patients, and a
researcher who fails to abide by regulations and guidelines relating to radiation or biological
safety may jeopardize his health and safety or the health and safety of staff and students.
Another thing we should be aware of as researchers is that in some countries as Scott (2013)
highlights there is what is called Human Research Ethics Committees (HREC). These
committees are established to review and evaluate research protocols to ensure that a given piece
of research has adequately addressed the principles of ethical research conduct and, in turn,
safeguards both researchers and research participants. An ethical review process can offer
helpful insights related to the ethical considerations of a research project that should be taken
into account and addressed before proceeding (Scott, 2013). That researchers should ensure that
they are aware of, and follow, any national ethics processes, any relevant ethical review
processes through local institutions, and comply with local laws.

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So before starting any research activity, it‟s important for one to ask himself/herself some of the
important ethical issues: This starts right away from the selection of the topic - when selecting a
particular topic to investigate:
 Is it realistic and feasible to conduct research into this topic, given the practical and
ethical restrictions?
 What are the procedures to follow while entering the field?
 What are the rights of subjects or participants?
 What information about the research will be provided to the participants?
 How will free and informed consent be obtained and ensured throughout the research
process?
 How do you plan to protect confidentiality and anonymity?
 What will happen to the data? How will it be accessed and secured?
 Have assistant researchers received training, information and assistance related to
addressing ethical issues?
 What effects will the findings have on the readers?
 How safe will be the participants be after giving certain information
ETHICAL ISSUES TO CONSIDER DURING RESEARCH.
There might be many ethical issues to consider, in as far as research is concerned. But notably
what is most considered are the ethical principles, ethical rules and scientific criteria, and these
form the basis or criteria for judging a good research.
Criteria for judging a research.
According to Degu and Tegbar (2006) research studies should be judged ethically on three sets
of criteria, namely: ethical principles, ethical rules, and also scientific criteria. The latter is
often neglected but is important since if a study is poor or the sample size insufficient then the
study is not capable of demonstrating anything and consequently could be regarded as unethical.

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Ethical principles (of research)
These ethical principles are also known as research ethical principles and are also given much
consideration by Polit and Hungler (1999:133)
The principle of autonomy- (we ought to respect the right to self-determination)
In research autonomy is protected by ensuring that any consent to participate in the study is
informed or real. This means it is not enough to explain something about your project to a
particular subject, it is the understanding and free choice whether or not to participate that is the
key issue. There must be no coercion of any sort. Respondents‟ rights to self-determination
should be honoured because respondents have the right to decide independently, without any
coercion, whether or not to participate in the study; or if the there is any issues that causes
discomfort; to disclose or not to disclose personal information and to ask for clarification about
any aspect that caused some uncertainty. For Polit and Hungler (1999), refer to this as the
principle of respect to the human dignity.
Non-Maleficence principle- (we ought not to inflict evil or harm)
This principle states that we may not inflict harm on or expose people to unnecessary risk as a
result of our research project. This is particularly important if our subjects may not be competent
in some way, such as, the ability to give informed consent.
Beneficence principle– (we ought to further others’ legitimate interests)
This is the principle that obliges us to take positive steps to help others pursue their interests.
These interests clearly have to be legitimate.
The principle of justice-(we ought to ensure fair entitlement to resources)
This principle is concerned with people receiving their due. This means people should be treated
equally in every way since not all people are equally competent or equally healthy.
Ethical rules
The ethical rules of research, like principles, are not absolute in that one may override

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another although clearly this must be justified. These rules are essential for the development of
trust between researchers and study participants. Like the ethical principles on which the rules
are based, there are four:
Veracity (habitual truthfulness)
All subjects in any research project should always be told the truth. There is no justification for
lying, but this is not the same non-disclosure of information should it, in particular, invalidate the
research. Truthfulness also goes beyond the respondent, it includes even those asking for funds.
For those who intend to ask for funds, that their research may be funded, it‟s also imperative that
truthfulness is adhered. You should not give wrong budgets to your sponsors, so much so that
you squeeze them to the board. Be considerate, be genuine to yourself, ask yourself if it were you
sponsoring someone else. It not bad to include extra amount in your budget for emergency
issues, but let it not be enormous.
Privacy (freedom from public attention) / Anonymity
When subjects enroll in a research study, they grant access to themselves, but this is not
unlimited access. Access is a broad term and generally includes viewing, touch or having
information about them. According to ACFID (2015) researchers should be aware that
preserving anonymity requires that there be no link between the data (responses) and the source
(the participant), and in some cases this might be impossible since characteristics of the
participant may identify them. In such cases it may be possible for researchers to take care that
information is sufficiently aggregated or with sufficient details changed so that no community,
household or individual can be identified.
Confidentiality
According to ACFID (2015) confidentiality refers to how much information a participant may
wish to share and entrust with the researcher, as well as how the information they share is
obtained, protected and stored.
Although someone may grant limited access to him or herself, they may not relinquish control
over any information obtained. Certainly, no information obtained with the patient‟s or subject‟s
permission from their personal record such as medical records should be disclosed to any third
person without that individual‟s consent. This applies to conversations too. Bruce (2001) asserts

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that some of the international research agencies and international bodies take confidentiality very
seriously, to the extent of preparing statement of confidentiality to all those who get involved in
research.
Below is a figure, that show an example of a statement of confidentiality
Figure 1. Personnel Agreement for Maintaining Confidentiality (adopted from Bruce 2001)
For Bruce (2001) says, although confidentiality and anonymity are sometimes mistakenly used as
synonyms, they have quite distinct meanings. Confidentiality is an active attempt to remove from
the research records any elements that might indicate the subjects' identities. In a literal sense,
anonymity means that the subjects remain nameless. In some instances, such as self-administered
survey questionnaires it may be possible to provide anonymity. Although investigators may
know to whom surveys were distributed, if no identifying marks have been placed on the
returned questionnaires, the respondents remain anonymous. In most qualitative research,
however, because subjects are known to the investigators (even if only by sight and a street
name), anonymity is virtually nonexistent. Thus, it is important to provide subjects with a high
degree of confidentiality.
STATEMENT OF CONFIDENTIALITY
This form is intended to further ensure confidentiality of data obtained
during the course of the study entitled "Drinking by American College
Students During Social Gatherings." All parties employed in this research
are asked to read the following statement and sign their names indicating
they agree to comply.
I hereby affirm that I will not reveal or in any manner
disclose information obtained during the course of this
study. I agree to discuss material directly related to this
study only with other members of the research team. In
any reports, papers, or published materials I write, I
agree to remove obvious identifiers.
Name:…………………………………………………
Signature:…………………………………………….
Project Director's Signature:………………………….

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Fidelity
Fidelity means keeping our promises and avoiding negligence with information. If we agree for
example, to send a summary of our research findings to participants in a study we should do so.
Scientific Criteria
Bias
Being ethical also includes, being true to scientific knowledge i.e. following methods and
procedures. One of the threats to scientific knowledge is being bias in research. Therefore it is
very much advised to be as less bias as possible. Much as some studies are not after
generalization or drawing inferences, one should try as much as possible to avoid bias so as to
adhere to scientific knowledge. For instance one is single parent , and is researching how single
parenting/motherhood affects the upbringing the children. In this case, there is a possibility that
the final analysis might be bias. It is unethical to bring knowledge into the world that is not
reliable. This is not being true to scientific knowledge.
Plagiarism:
Plagiarism is one of the academic offense that in some other countries it is considered as a grave.
Offense. This is act of quoting, referring, considering academic material as if they were of own
initiatives without the permission of the author or the originator. It becomes an ethical issue is
research because it jeopardize a true value of scientific knowledge and scientific development.
Plagiarism also cuts across issue to do with copyright and patent rights of the original
scholar/researcher/innovator. Therefore researchers are advised to be as much original as
possible, when preparing to conduct their own research which includes reviewing the literature
and field operating when data are generated.
THE CONCEPT OF CONSENT
According to Bruce (2001) a consent can be divided into two forms, (i) the informed consent and
(ii) the applied consent. However he contends that what is commonly said is the informed
consent. He goes ahead to give another typology of informed consent, but this deals much with
children. This is where there is active informed consent and passive informed consent.

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Informed Consent
Informed consent according to Bruce (2001), means the knowing consent of individuals to
participate as an exercise of their choice, free from any element of fraud, deceit, duress, or
similar unfair inducement or manipulation. For, ACFID (2015) the core idea of informed
consent is that a participant agreeing to take part in research should do so voluntarily,
without coercion and with sufficient understanding of the research procedures, potential
risks and potential benefits.
Bruce (2001) assets that, in the case of minors or mentally impaired persons, whose exercise of
choice is legally governed, consent must be obtained from the person or agency legally
authorized to represent the interests of the individual. In most institutionally sponsored research,
consent must be ensured in writing. Typically, informed consent slips contain a written statement
of potential risk and benefit and some phrase to the effect that these risks and benefits have been
explained. As a rule, these slips are dated and signed by both the potential subject and the
researchers or their designated representative.
Informed consent is one of the basic minimum requirements that must be addressed to ensure
that ethical research principles are upheld. Informed consent should be considered at the
beginning and throughout the research process. ACFID (2015) reports that specific procedures
and considerations should be observed in the case of particular groups such as children and
young people, and people with disabilities.
Informed consent means that a participant is given clear information about the research, is able to
choose not to participate, and is able to withdraw at any time and without consequence. Any
limits to this right should be explained.
Informed consent is an ongoing process and must be renegotiable so that participant
understanding and comfort is assured. Information provided to participants (either verbally or
written) should include:
 Research aims and objectives
 Details of information that is being sought
 How responses will be recorded and used
 The degree to which participants will be consulted prior to publication
 How findings will be communicated to participants

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 Potential benefits and consequences of participation, including potential risks
 Reimbursements or incentives (if any) that will be provided for participating in the study
 The name of the organisation that is funding the research
 Contact details for someone independent of the research process for inquiries and
complaints
 An explanation of the voluntary nature of the participant‟s involvement
 The name of the investigator.
Researchers should make an informed choice between written (signature, thumbprint or other
personal mark) and verbal consent. In all cases, it is advisable that an informed consent script or
form be completed to ensure that all elements of the informed consent process are adhered to,
documented and clearly communicated.
Illiteracy, low literacy, fear, or suspicion of written consent is the basis for using verbal consent,
or for having a witness present.
Below is the a figure, that shows an example of a consent form.
Figure 2: Consent form (Adopted from Health & Development International Consultants, 2014 * with
some manipulation on signatory parts )
Consent Form
Hello!, My name is ……………………………… I am here conducting a study aimed at
understanding the community’s ideas on the causes, effects, treatment and prevention of obstetric
fistula. The study involves talking to a sample of individuals from this community in order to get their
views on this issue. You have been selected to represent others on this issue. Your participation in the
study is entirely dependent on your decision to participate, you may decide not to participate or your
may decide not to answer any or some of the questions; you may also decide to stop the interview at
any time as you may feel. However we hope you will participate fully in the study because your ideas
and opinions are important. If you shall be willing to participate, the answers you give shall remain
confidential and will not be told to anyone. The answers from the study will help to improve the way
such services are delivered especially to disadvantaged segments of the population.
Do you have any questions regarding this study?
Signature………………………………
Are you willing to participate? (Interviewer)
1 Yes
2 No
If Yes, can we start the interview now? Signature………………………………
(Interviewee/respondent)

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Implied consent
According to Bruce (2001), sometimes in large-scale survey questionnaire studies, separate
signed informed consent slips are eliminated and replaced with implied consent. Implied consent
is indicated by the subject taking the time to complete the lengthy questionnaire. In these
circumstances, explanations of the study's purpose and potential risks and benefits are explained
at the beginning of the survey. A similar kind of implied consent can replace a signed consent
slip when researchers conduct tape-recorded in-depth interviews. In this instance, the
interviewers fully explain the nature of the project and the potential risks and benefits at the
beginning of each interview. Next, the interviewers ask the subjects if they understand the
information and are still willing to take part in the interview. Affirmative responses and
completed interviews serve the purpose of implying consent in the absence of a signed consent
slip.
Active versus Passive Consent (for the case of Children with and their parents/guardians)
For Bruce (2001) Active versus Passive Consent is another type of ethical issue which has
recently arisen where children are involved in research but active and passive consent have to be
given by their parents. Active consent may be defined as the "formal written permission by an
informed parent or legal guardian that allows a child to participate in a research project"
While Passive consent on the other hand is usually based on the assumption that parental
permission is granted if parents do not return a refusal form after being informed about the
study's purpose
ADDITIONAL PRINCIPLES
Besides the known principles of which have been discussed above, David (2015) comes with a
16 package principles of which some have already been discussed above, and he advices
whoever wants to do research to follow them for better advancement of science. They should be
followed before, during and after the research or when reporting the findings. They are briefly
explained as follows.

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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, research sponsors, or the public.
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 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.

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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 not related to 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.
Legality
Know and obey relevant laws and institutional and governmental policies.
Animal Care
Show proper respect and care for animals when using them in research. Do not conduct
unnecessary or poorly designed animal experiments.

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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.
OTHER MISCOUNDUCT IN RESEARCH AND ACADEMIC PUBLICATION (OTHER
DEVIATIONS)
David B. Resnik (2015), tells us that there are many other activities that the governments of
respective countries do not define as "misconduct" but which are still regarded by most
researchers as unethical. These are sometimes referred to as " 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
 Using data, ideas, or methods you learn about while reviewing a grant or a papers
without permission
 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

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 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
 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
 Owning over $10,000 in stock in a company that sponsors your research and not
disclosing this financial interest
 Deliberately overestimating the clinical significance of a new drug in order to obtain
economic benefits
Some of the ethical issues above are much related to the laboratory research while others are
concerned with field research. What brings them together is that all of them produce findings –
findings that contribute to scientific knowledge.
OTHER ETHICAL STEPS FOLLOWED BY MOST UNIVERSITIES IN CONDUCTING
RESEARCH ACTIVITIES.
When one wants to conduct research especially the students of higher learning, there are some
ethical steps to follow which have developed by most Universities especially in Tanzania. They
are discussed briefly below as follows:
Entry protocol: This means all the necessary grants of permission from different stages of
authority, right from the campus to the last level of authority where the research will be taking
place.
University: A permission letter to do the research is always picked from the department
concerned in collaboration with the research coordinator‟s office. This is when after the research
proposal has been accepted by both the supervisor and the defense panel. Some universities a
research proposal is either rejected or accepted by the research committee.

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Regional Level: Then, the next step is to the regional level, where the research will be
conducted (not the region where the university is situated), this is where the Regional
Administrative Secretary (RAS), will grant the students with research permission
cards/documents to conduct the research in the region.
District Level: The next step is to the District level where the research will be conducted. The
same procedures which was followed at the regional level follow suit, but this time it is the
District Administrative Secretary (DAS) who grants such permission to conduct the research in
the district.
Ward Level: Then after, the next level is to ward authority. The ward executive officers have to
know what is happening in their areas of administrative jurisdiction. Therefore a permission has
to be sought from them. But generally there is always no problem at this level since the
permission flows from the top administrate unit to them.
Community/Village level: If the research goes to the last level i.e. at the villages level, or street
(mtaa/kitongoji), then the leaders also have to be consulted, to make sure as a researcher you are
protected, so that even if something bad happens to you, they are aware.
Departmental Involvement: Sometimes, however if the research involves some department like
Education, then the District Education Officer (DEO) has to be consulted. Another sensitive
department could in hospitals. For instance if a study involves patients or hospital staff, hospital
facilities or hospital equipments, then the permission extends to the Regional Health Officer or
the doctor responsible for the regional administrative matters. Likewise, this applies to the
district level, but it also goes to the last level of research.
CHALLENGES OF ADHERING TO ETHICS CONCERNS IN RESEARCH
There might many ethical challenges, as there are many research context settings. This is because
ethical issues are sometimes subjective and relative to specific area, community or society.
However, below are some of the discussed ones.

17
Challenge of Covert Operations/Participant Observer
In a study involving participant observation or covert operations adhering ethical concerns is
always a challenge. Participant observation is where the researcher participates in all the
activities of the people he is studying but he makes sure that his identity is not revealed. Some
scholars have called this covert operations, or misidentification, where sometimes the identity of
the researcher is changed (Bruce 2001: Adler 1985. p 17, 27).
In order to obtain scientific knowledge, sometimes is allowed to operate under cover, but as said
already it raises some ethical challenges. This came about by the Hawthorne effect, formerly
identified by Roethlisberger and Dickenson (1939) as quoted by Bruce (2001). The Hawthorne
effect suggests that when subjects know they are subjects in a research study, they will alter their
usual (routine) behavior. This therefore brings a different context altogether. So, in order to do
avoid that it sometimes allowed to operate under cover, the question remains concerning the
rights of the including the right to privacy.
Challenge of Anonymity and Confidentiality
Researchers commonly assure subjects that anything discussed between them will be kept in
strict confidence, but what exactly does this mean? Naturally, this requires that the researchers
systematically change each subject's real name to a pseudonym or case number when reporting
data. But what about the names of locations? Names of places, in association with a description
of certain characteristics about an individual, may make it possible to discover a subject's
identity (Gibbons, 1975). Even if people are incorrect about their determination of who is being
identified, the results may nonetheless make people wary of cooperating in future research.
Researchers, therefore, must always be extremely careful about how they discuss their subjects
and the settings as well (Hagan 1993).
Challenge of informed consent to children
Informed consent of children is somehow problematic. Informed consent raises particular
challenges when research involves children. Children‟s or young people‟s capacity to understand
what the research involves, and therefore whether their consent to participate is not always

18
sufficient. Sometimes there is possible coercion of children or young people by parents, peers,
researchers or others to participate
How to Report Ethical Matters in Research.
There are many ways of reporting ethical matters in a research report, just as they are many
researchers. Reporting of ethical matters can be in different forms, in different formats
depending on the suitability of the researcher. Below is an example adopted from Baseline
Survey for Promoting Safe Motherhood and Fistula Services through Strengthening Health
Systems in Tanzania, conducted by Health & Development International Consultants (Prof. Dr.
Joe L.P. Lugalla, Dr. Gideon Kwesigabo, Dr. Richard F. Sambaiga, Dr. Mathew A. Senga) on
behalf of AMREF
No one was allowed to participate in the baseline without consenting. All
participants were informed that participation was voluntary, that the information
they provided to researchers was going to be treated as confidential, and that no
names were going to be associated with any information provided by the research
subject. Before the interview, they were also informed that if they are
uncomfortable answering any question, they could skip them or stop the interview
at any time and withdraw from it without facing any negative consequences. We
also tried to make sure that the risk someone may learn about the interview was
minimal by ensuring that the interview was conducted in a safe, private place,
and the bi-leveled consent process was followed, making sure other members of
the household were not aware of what the identified research subject was telling
the researcher. All protocols of carrying out research studies in regions were
followed. While the Regional Administrative Secretaries of regions where
community surveys were carried out granted us regional research
permission/clearance, the District Executive Directors and District
Administrative Secretaries gave us permission in their areas of jurisdiction and
introduced us to other officials of the local government, specifically to those at
Ward and Village levels. (Health & Development International Consultants, 2014)
Some influential research organisations both at national and international level, and academic
institutions have their own method of reporting ethical matter in research. But in most of those
methods and formats the basic principles of research are adhered. Principles such as that of

19
anonymity, confidentiality, secrecy, privacy, consent form, and the respect of the rights of
participants in general.
CONCLUSION
Ethics is are important aspects of our life. Research forms one of the element of our life, because
it brings scientific knowledge into existence – the knowledge which we depend on in different
matters. Therefore while conducting research ethical principles have to be adhered to, have to
considered, for the production of good and authentic scientific knowledge. Not only scientific
knowledge should drive the research to adhere such principles, but also he/she should consider
the harm that the research activity can cause to the study participants.
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 ethically in various situations.

20
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Bruce L. Berg (2001) Qualitative Research Methods for the social Sciences, Allyn & Bacon:
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David B. Resnik (2015) What is Ethics in Research & Why is it Important?, Retrieved from,
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Getu Degu and Tegbar Yigzaw (2006) Research Methodolgy, EPHTI, Ethiopia Gibbons, D. C.
(1975). Unidentified research sites and fictitious names. American Sociologist 10, 32-
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Hagan, F. E. (1993). Research Methods in Criminal Justice and Criminology. New York:
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Kidder, Rushoworth (2003). How Good People Make Tough Choices: Resolving the Dilemma of
Ethical Living, New York Harper Collins
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May, T (2011). „Social Research: Issues, methods and process’, Values and ethics in the
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Paul, Richard: Elder, Linda (2006) The Miniature Guide to Understanding the Foundations of
Ethical Reasoning, US: Foundation for Critical Thinking Press
Polit, D & Hungler, B. 1999. Nursing research: Principles and methods. 6th
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Philadelphia: Lippincott.
Scott, D (2013). Demystifying Ethical Review. Australian Institute of Family Studies, 2013.
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