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Research II
Quarter 2 – Module 3:
Research Ethics and Protocols
Research II – Grade 10 STE
Alternative Delivery Mode
Quarter 2 – Module 2: Research Ethics and Protocols
First Edition, 2020

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Research II
Quarter 2 – Module 2:
Research Ethics and Protocols
Introductory Message
For the facilitator:

Welcome to the Research II – Grade 10 STE Alternative Delivery Mode (ADM) Module
on Research Ethics and Principles!

This module was collaboratively designed, developed and reviewed by educators both
from public and private institutions to assist you, the teacher or facilitator in helping
the learners meet the standards set by the K to 12 Curriculum while overcoming
their personal, social, and economic constraints in schooling.

This learning resource hopes to engage the learners into guided and independent
learning activities at their own pace and time. Furthermore, this also aims to help
learners acquire the needed 21st century skills while taking into consideration their
needs and circumstances.

In addition to the material in the main text, you will also see this box in the body of
the module:

Notes to the Teacher

This contains helpful tips or strategies that
will help you in guiding the learners.

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As a facilitator you are expected to orient the learners on how to use this module.
You also need to keep track of the learners' progress while allowing them to manage
their own learning. Furthermore, you are expected to encourage and assist the
learners as they do the tasks included in the module.

For the learner:

Welcome to the Research II – Grade 10 STE Alternative Delivery Mode (ADM) Module
on Research Ethics and Protocols!

The hand is one of the most symbolized part of the human body. It is often used to
depict skill, action and purpose. Through our hands we may learn, create and
accomplish. Hence, the hand in this learning resource signifies that you as a learner
is capable and empowered to successfully achieve the relevant competencies and
skills at your own pace and time. Your academic success lies in your own hands!

This module was designed to provide you with fun and meaningful opportunities for
guided and independent learning at your own pace and time. You will be enabled to
process the contents of the learning resource while being an active learner.

This module has the following parts and corresponding icons:

What I Need to Know This will give you an idea of the skills or
competencies you are expected to learn in the
module.

What I Know This part includes an activity that aims to

check what you already know about the
lesson to take. If you get all the answers
correct (100%), you may decide to skip this
module.

What’s In This is a brief drill or review to help you link

the current lesson with the previous one.

What’s New In this portion, the new lesson will be

introduced to you in various ways such as a
story, a song, a poem, a problem opener, an
activity or a situation.

What is It This section provides a brief discussion of the

lesson. This aims to help you discover and
understand new concepts and skills.

What’s More This comprises activities for independent

practice to solidify your understanding and
skills of the topic. You may check the
answers to the exercises using the Answer
Key at the end of the module.

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 What I Have Learned This includes questions or blank
sentence/paragraph to be filled in to process
what you learned from the lesson.

What I Can Do This section provides an activity which will

help you transfer your new knowledge or skill
into real life situations or concerns.

Assessment This is a task which aims to evaluate your

level of mastery in achieving the learning
competency.

Additional Activities In this portion, another activity will be given

to you to enrich your knowledge or skill of the
lesson learned. This also tends retention of
learned concepts.

Answer Key This contains answers to all activities in the

module.

At the end of this module you will also find:

References This is a list of all sources used in developing

this module.

The following are some reminders in using this module:

1. Use the module with care. Do not put unnecessary mark/s on any part of the
module. Use a separate sheet of paper in answering the exercises.
2. Don’t forget to answer What I Know before moving on to the other activities
included in the module.
3. Read the instruction carefully before doing each task.
4. Observe honesty and integrity in doing the tasks and checking your answers.
5. Finish the task at hand before proceeding to the next.
6. Return this module to your teacher/facilitator once you are through with it.
If you encounter any difficulty in answering the tasks in this module, do not
hesitate to consult your teacher or facilitator. Always bear in mind that you are
not alone.

We hope that through this material, you will experience meaningful learning and
gain deep understanding of the relevant competencies. You can do it!

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 What I Need to Know

In this module, the students will be able to identify and understand some ethical
principles (libguides. library,2020): to help researchers steer clear of ethical
quandaries (Smith 2003).

At the end of this chapter, you should be able to:

1. identify and understand some ethical principles

What I Know
Pre-assessment
Answer the table by checking the statement which corresponds to research ethics
principles

Research Ethics Principles Yes No

1. An intellectual property refers to the creations of the mind. It

can be an invention (patent/utility model), a design (industrial
design), a brand name (trademark, or a literary and artistic work
(copyright).

2. A patent is an exclusive right granted for a new inventive &

useful product while utility model, just like inventions, is an
exclusive right granted for an invention, but it does not require
the condition of the involvement of an inventive step to be
protected.

3.Copyright protects literary and artistic works, such as books

and other writings, musical works, films, paintings and other
works and computer programs. (ipophil.gov.ph)

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 4.Is there a procedure in place for risks to the researcher?

5.Research Ethics is the application of moral rules

Lesson
Research Ethics Principles
3 Adopted fromFive APA’s principles for Research
Ethics

Way back then academians were careful talking about their ethical problems with
regards to their research and academic works. But it is different now a days.
Researchers are more likely to ask advice from their colleagues with regards to their
research data. Also, the researchers are facing ethical requirements like professional,
institutional and federal standards for conducting research with human participants,
often supervise students they also teach and must sort out authorship issues, and
others when performing their research.

In this lesson, we will be discussing the five recommendations APA's Science

Directorate give to help you young researchers to avoid the ethical difficulties such
as: Discuss intellectual property frankly; Be conscious of multiple roles; Follow
informed-consent rules; Respect confidentiality and privacy and Tap into ethics
resources. (Smith 2003).

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 What’s In
Review

In our previous discussion, you define and differentiate Ethics from

a Research Ethics. You even try to draw what you think defines Ethics.

In One to two sentences, describe

ethics using the given figure.

Notes to the Teacher

This module is prepared to give the students an information about
research ethics principles. This module is hopeful to provide
guidance to the young researchers when performing their research.

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 What’s New
INFORMED
CONSENT
RULES

INTELLECTUAL
PROPERTY

CONFIDENTIALITY
& PRIVACY

ETHICS
RESOURCES

FIT the GIVEN figures inside

this circle accordingly to show MULTIPLE
ROLES
the APA’s 5 principles of Ethics.

(you can make your own drawing

to illustrate your answer)

What Is It
Here are five recommendations from APA's Science Directorate with regards to
Research Ethics principles:

Principle 1: Discuss intellectual property frankly

An intellectual property refers to the creations of the mind. It can be an invention

(patent/utility model), a design (industrial design), a brand name (trademark, or a
literary and artistic work (copyright).

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 Copyright Vs Patent

A patent is an exclusive right granted for a new inventive & useful product while
utility model, just like inventions, is an exclusive right granted for an invention, but it
does not require the condition of the involvement of an inventive step to be protected.

On the other hand, an industrial design consists of three-dimensional features

such as the shape of surface of an article, or of two-dimensional features such as
patterns, lines or colors. Likewise, a trademark is a word, a group of words, sign, symbol
or a logo that distinguishes your business goods or services from those of other traders.

Copyright protects literary and artistic works, such as books and other writings,
musical works, films, paintings and other works and computer programs.
(ipophil.gov.ph)

Copyright Patent
It protects and It secures and
keeps original protects the
printed works of originality of a
authors like books, discovery or
modules and invention like Science
published articles Investigatory
Projects

Another aspect of intellectual property is the question of who gets credit for
authorship. APA's Ethics Code offers some guidance: It specifies that "faculty advisors
discuss publication credit with students as early as feasible and throughout the
research and publication process as appropriate." According to this Ethics code when
researchers and students put such understandings in writing, they have a helpful tool
to continually discuss and evaluate contributions as the research progresses. This will
avoid conflicts and misunderstanding to everyone involve in the study.

APA's Ethics Code stipulates that you take credit only for work you have
performed, or you have substantially contributed, and that publication credit should
accurately reflect the relative contributions:

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 According to APA’s Ethics Code, if you provide major contributions in the
conceptualization, design, execution, analysis or interpretation of the research reported,
you should be listed as authors.

Otherwise, contributions that are primarily technical don't warrant authorship,

but you will be properly accredited on your work. In the same manner, advisers should
not expect ex-officio authorship on their students' work. (Smith,2003)

Principle 2: Be conscious of multiple roles

APA's Ethics Code says that you should avoid relationships that could weaken
your professional performance, exploit or harm others. But it also noted that many
kinds of multiple relationships aren't unethical--as long as they're not reasonably
expected to have adverse effects.

For example, when the teacher is recruiting students from a class to participate
in an experiment, make sure it is clear to everyone that participation is voluntary. If
participation is a course requirement, be sure also that it is included in the class
syllabus and certify that participation has educative value by providing a detailed
information to enhance students' understanding of the study.

The 2002 Ethics Code also mandates in Standard 8.04b that students be given
equitable alternatives to participating in research.

Perhaps one of the most common multiple roles for researchers is being both a
mentor and lab supervisor to students they also teach in class.

By outlining the nature and structure of the supervisory relationship before

supervision or mentoring begins, both parties can avoid misunderstandings, says
George Mason University's Tangney. Experts also recommend that supervisors set up
timely and specific methods to give students feedback and keep a record of the
supervision, including meeting times, issues discussed, and duties assigned. If found
that they are in potentially harmful multiple relationships, they are ethically mandated
to take steps to resolve them in the best interest of the person or group while complying
with the Ethics Code. (Smith 2003)

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 Principle 3: Follow informed-consent rules

APA's Ethics Code mandates that who conduct research should inform participants
about:

 The purpose of the research expected duration and procedures.

 Participants' rights to decline to participate and to withdraw from the research once it
has started, as well as the anticipated consequences of doing so.

 Reasonably foreseeable factors that may influence their willingness to participate, such
as potential risks, discomfort or adverse effects.

 Any prospective research benefits.

 Limits of confidentiality, such as data coding, disposal, sharing and archiving, and when
confidentiality must be broken.

 Incentives for participation.

 Who participants can contact for questions.

Remember that Ethics Code has specific directives for researchers who conduct
experimental treatment research. As a researcher you must inform individuals about
the experimental nature of the treatment, services that will or will not be available to
the control groups, how they (participants) will be assigned to treatments and control
groups, available treatment alternatives and compensation or monetary costs of
participation.

If research participants or clients are not competent to evaluate the risks and
benefits of participation themselves--for example, minors or people with cognitive
disabilities-then the person who's giving permission or serving as a guardian must have
access to that same information, says Koocher.

Remember that a signed consent form doesn't mean the informing process can
be glossed over, say ethics experts. In fact, the APA Ethics Code says that the informed
consent can be skip in two instances only: When permitted by law or federal or
institutional regulations, or when the research would not reasonably be expected to
distress or harm participants and involves one of the following:

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 1. the study of normal educational practices, curricula or classroom management
methods conducted in educational settings, 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 for which confidentiality is protected.

2. The study of factors related to job or organization effectiveness conducted In

organizational settings for which there is no risk to participants' employability, and
confidentiality is protected. The code also says to avoid offering "excessive or
inappropriate financial for research participation or if offered incentives are likely
to coerce participation." (Smith 2003)

Principle 4: Respect confidentiality and privacy

Privacy refers to an individual desire to control who has access to him/herself.

While confidentiality refers to maintenance of the researcher’s agreement with the
participant about how the participant’s identifiable private information will be handled,
managed and disseminated. (Privacy-confidentiality-hrp)

According to the experts, the Researchers should find ways how to ask the
participants about sensitive topics without feeling awkward. It means that you should
provide detailed questions during an interview so that participants can stop anytime if
they don’t feel comfortable to answer a given question. Sangeeta Panicker, PhD, director
of the APA Science Directorate's Research Ethics Office said that researcher should be
careful when recruiting participants for a study, because they have the freedom to
choose how much information about themselves, they will reveal and under what
circumstances.

Other steps researchers should take include:

 Discuss the limits of confidentiality. You should give your participants information
about how their data will be used, what will be done with case materials, photos and
audio and video recordings, and secure their consent.

Know federal and state law. You should also know the ins and outs of state and federal
law that might apply to your research.

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 Take practical security measures. Be sure confidential records are stored in a secure
area with limited access and be aware of situations where confidentiality could
inadvertently be breached, such as having confidential conversations in a room that's
not soundproof or putting participants' names on bills paid by accounting departments.

Think about data sharing before research begins. If you plan to share your
participants data with others, this should be in accordance with the consent process,
specifying how they will be shared anonymously. When sharing, you should use
established procedures to protect confidentiality, such as coding data to hide identities.
However Merry Bullock, PhD, associate executive director in APA's Science Directorate
stated that that is impossible to totally hide an identity most especially when it includes
a video or audio recordings or can be linked to larger databases.

Understand the limits of the Internet. Since Web technology is constantly evolving,
you need to be technologically savvy to conduct research online and cautious when
exchanging confidential information electronically. If you're not an Internet whiz, get the
help of someone who is. Otherwise, it may be possible for others to tap into data that
you thought was properly protected. (Smith 2003)

5.Tap into ethics resources

One of the best ways, researchers can avoid and resolve ethical dilemmas is to
know both what their ethical obligations are and what resources are available to them.

Bullock said that as researcher you can avoid moral issues if you will remind yourself
of the foundation of research and professional ethics.

Those basics include:

 The Belmont Report. Released by the National Commission for the Protection of
Human Subjects of Biomedical and Behavioral Research in 1979, the report provided
the ethical framework for ensuing human participant research regulations and still
serves as the basis for human participant protection legislation.

 APA's Ethics Code, which offers general principles and specific guidance for research
activities.

Moreover, despite the sometimes-tense relationship researchers can have with

their institutional review boards (IRBs), these groups can often help researchers think
about how to address potential dilemmas before projects begin, says Panicker.

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" Be sure to provide the IRB with detailed and comprehensive information about
the study, such as the consent process, how participants will be recruited and how
confidential information will be protected," says Bullock. "The more information you give
your IRB, the better educated its members will become about behavioral research, and
the easier it will be for them to facilitate your research."

Protection of animals used in research

Some science and technology research involve

animals. It is accepted that animals are also moral
objects that deserve respect. Animal welfare serves as
a collective category for a number of ethical
considerations towards animals.

Research concerns animals in at least two

ways: either as laboratory animals in a research
process or as the actual subject of the research
(especially in veterinary medicine, agriculture, and
aquaculture).

Ethical considerations must be applied to

both. However, it is accepted that laboratory animals
may be subjected to reduced animal welfare and
greater risk than ordinary livestock, when the
research serves an important purpose and
experiments on animals are necessary to achieve
that goal.

- Researchers must proceed with due care and

respect animal welfare when preparing and conducting experiments involving animals.
Researchers must justify the necessity of the experiment to the responsible supervisory
authorities.

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 This means that: a) researchers must consider
carefully all aspects of the three ‘R’s of experiments on
animals (reduce, refine, replace) b) researchers
cooperate with the responsible supervisory authorities
and wait to conduct research that involves laboratory
animals until consent has been given c)
researchers cooperate with the responsible
supervisory authorities and comply with current
legislation and guidelines and apply best practice
when using laboratory animals Researchers must
arrange their research in such a way that the use of
the research results is not in conflict with
fundamental animal welfare requirements.

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 Research on the breeding of livestock, whether the methods involved are
Traditional selective breeding or biotechnological, must not compromise animal welfare.
In rare cases, periodical exemptions may be justified on the grounds that the animals
fulfil an important veterinary or human medicine function. (Guidelines
for Research Ethics in Science and Technology, 2016)

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 What’s More
Instruction: Read and analyze the following cases

Case 1: Principle 1

In 2007, the high-end signature hand-bag and luggage marker, Louis Vuitton
Malletier file a copyright infringement case against comedy fashion company Haute
Diggity dog. The comedy designers had released a line of parody products named
Chewy Vuitton to go along with other memorable knock offs such as Chewnel No. 5
and Sniffany & Co. (4 famous intellectual property cases, 2017)

As a researcher, how do you analyze this case?

Case 2: Principle 2

In your class, you serve as the research team leader and your group task is to
finish your project within a week and present it to the class. However, you were also
assigned to supervise the activity of your classmates performing their respective study.

As a researcher, how do you think these multiple roles will affect your performance as
a student?

Case 3: Principle 3

A teacher, who is a research adviser from another class, ask one section to answer a
questionnaire. However, some students from the class were reluctant to answer some
questions because they consider it as sensitive matter. But the teacher required them
to answer all the given questions.

As a researcher, in what way do you think awareness of the informed-consent rules

become helpful in this manner? Please elaborate your answer.

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Case 4: Principle 4

Given the 2 scenarios, Reflect on the privacy and confidentiality of the principles of
Ethics.

Scenario 1: The researchers secured a sensitive data they've collected in a study of

adults with serious mental illnesses, but they failed to ask participants for
permission to share the data.

Scenario 2: A developmental data collected on videotape may be a valuable resource for

sharing, however the researcher failed to ask permission to share videotapes

As a researcher do you think that in the two scenarious,it is ethical to share the data
with others? Why or why not?

Case 5: Principle 5

Your group is about to do a research project which involve human and animal
participants. But your quite unsure on how to start the study and what to do about the
participants.

In this manner, how are the Ethics resources be of help among the researchers?

Case 6: Animal Protection

If there’s a need to use animals as a research study, what should you consider in helping
these animals?

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 What I Have Learned

Based from the previous discussion, answer the following questions briefly as you can.

1. What is the main purpose of getting an intellectual property?

2. Is having a multiple role in the class an advantage or disadvantage to you? Why?

3. In getting your research participant, why there is a need for you to follow the
informed-consent rules?

4. What is the difference between privacy and confidentiality?

5. Why there is a need to tap ethics resources prior to the beginning of the research
study?

6. Why do you think a researcher should use the 3R’s when using animals as the testing
tool for a certain study?

What I Can Do

In each petal, write the different

Principles ethical
Ethics of Ethics
Principles
principles and considerations that you have

learned necessary in conducting a scientific

research.

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 Assessment

In a research class, the students were grouped into three to do their research
project. Student A and student B were eagerly performed testing and writing their
paper, while student C, showed occasionally given an excuse that he had lots of house
chores thus, went home earlier. However, he was able to share small task when in
school.

Question:

1. Whom do you think should be acknowledged as authors/co authors among the

three students? Why do you say so?

2. What Ethics priciple did you use to answer the problem?

Additional Activities

Face other members of the house, pretending that you are inside the classroom and
have some discussion with your classmates. Infront of your family members, Enumerate
the 5 APA’s Ethical principles as well the 3R’s of Animal Protection. You can discuss a
bit of information if you wish to. This is a great time to show them what have you learned
in school.

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 21
What I Have Learned What I Have Learned What I Have Learned
1.Getting an Intellectual 3.Following the informed- 5. To avoid and resolve
property will give you consent rule will ensure ethical dilemmas of their
the ownership of your the safety and legality of obligations and what
work the conducted research. resources are available
to them.
2. Having a multi role is 4. Privacy refers to an individual
both an advantage and desire to control who has access 6.Using the 3R’s will
to him/herself. While
disadvantage. ensure that research
confidentiality refers to
Advantage because it maintenance of the researcher’s results is not in conflict
will develop your full agreement with the participant with fundamental animal
capacity Disadvantage about how the participant’s welfare requirements.
identifiable private information
because of time
will be handled, managed and
constraint. disseminated.
What’s more What’s New What’s in
Case 1: Ethics is the branch
of knowledge that
A: Hauty Diggity Dog won.
deals with moral
The US court of appeals ruled Intellectual principles
against the claim of copyright property
breach stating that because of Ethics is set of moral
the element of parody, the Informed- principles that
products were adequately Multiple consent govern a person’s
differentiated and unique roles rules
thereby negating any copyright
behavior.
or trademark infringement.
Answer Key
 22
What I Can Do? Assessment
1.Discuss intellectual property Either Student A or Student B
frankly will get the authorship because
they have the biggest
2.Be conscious of multiple roles contribution and student C will
3.Follow informed-consent rules be acknowledged as
contributor.
4.Respect confidentiality and
privacy Principle 1: Intellectual property
5.Tap into ethics resources.
6.Animal Protection used in 1
Research
What’s More What’s More What’s More
Case 2 Case 3 Case 4
As a student, this will The informed-consent
In both cases, it is
affect my performance rules will help us to
unethical to share
because of multiple know our rights as
any files because it
roles assigned to me. participants.
will breach the
However, I should be
privacy and
responsible enough to
confidentiality of the
face these tasks.
person involved.
What’s More What’s More
Case 5 Case 6 What I know:
Ethics resources will Researchers must 1. yes
help the beginning consider carefully all
researcher because it aspects of the three 2. yes
will provide ‘R’s of experiments on 3. yes
information necessary animals (reduce,
to properly conduct a refine, replace)when 4. yes
certain research dealing with animals 5. yes
in a research
References

4 famous intellectual property cases, Blog https://www.edology.com , May 2,2017

American Psychological Association. (2002). Ethical principles of psychologists and code

of conduct. American Psychologist, 57(12).

APA's Research Ethics Office in the Science Directorate; e-mail; Web site: APA Science.

Association for the Accreditation of Human Research Protection Programs Web

site: www.aahrpp.org.

Deborah Smith, Five principles for research ethics, January 2003, Vol 34, No. 1 Print
version: page 56

Definition of Research Misconduct , The Office of Research Integrity, U.S. Department

of Health & Human Services

DHHS Office of Human Research Protections Web site: http://ohrp.osophs.dhhs.gov.

Guidelines for Research Ethics in Science and Technology June 2016 edition, ISBN:
978-82-7682-075-1 2. Copyright © The Norwegian National Research Ethics
Committees www.etikkom.no

NIH Bioethics Resources Web site: www.nih.gov/sigs/bioethics/index.html.

Privacy vs. confidentiality: What is the Difference? Privacy Applies to the Person Jan-
Feb 2008 HRP News Brief: https://research.uci.edu

Sales, B.D., & Folkman, S. (Eds.). (2000). Ethics in research with human participants.
Washington, DC: American Psychological Association.

The 1979 Belmont Report on protecting human subjects is

at http://ohrp.osophs.dhhs.gov/humansubjects/guidance/belmont.htm.

The Department of Health and Human Services' (DHHS) Office of Research Integrity Web
site: www.ori.hhs.gov.

23
The National Institutes of Health (NIH) offers an online tutorial, "Human Participants
Protections Education for Research Teams," at http://cme.nci.nih.gov.

What is intellectual property? Intellectual Property Office of the Philippines,

https://www.ipophil.gov.ph

https://drive.google.com/file/d/1xsJSFaCQSWEqxkIpJfi4DvoGjSDOCeKr/view?usp=s
haring

https://www.google.com/search?sa=N&rlz=1C1JZAP_tlPH902PH902&biw=1366&bih=
657&sxsrf=ALeKk01CESjttR_wd8EjpUG7X_2MNf3kgQ:1593491346092&source=u
niv&tbm=isch&q=iIf+research+participants+or+clients+are+not+competent+to+eval
uate+the+risks+and+benefits+of+participation+themselves--
for+example,+minors+or+people+with+cognitive+disabilities-
then+the+person+who%27s+giving+permission+or+serving+as+a+guardian+must+
have+access+to+that+same+information+by+:Koocher&ved=2ahUKEwjtpYvt2ajqAh
VLVN4KHWQ0ATY4ChCwBHoECAcQAQ

24