Research Ethics in Dissertations: Ethical Issues and Complexity of Reasoning
Research Ethics in Dissertations: Ethical Issues and Complexity of Reasoning
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Research ethics
< Additional data are published ABSTRACT ethics as reflected in the entire research process.
online only. To view these files Background Conducting ethically sound research is Scientific journals increasingly require that ethical
please visit the journal online a fundamental principle of scientific inquiry. Recent considerations are elucidated, but most journals
(http://jme.bmj.com).
1
research has indicated that ethical concerns are severely limit space for elaboration.4 Since studies
Institute of Gerontology, School insufficiently dealt with in dissertations. have questioned the ethical skills of doctoral
of Health Sciences, Jönköping
University, Jönköping, Sweden Purpose To examine which research ethical topics were students, dissertations provide a forum for students
2
Antioch University Midwest, addressed and how these were presented in terms of to expound on ethics and enable an assessment of
Yellow Springs, Ohio, USA complexity of reasoning in Swedish nurses’ dissertations. acquired proficiencies. One purpose of graduate
3
ARINA, Inc., Cincinnati, Ohio, Methods Analyses of ethical content and complexity of school is to train doctoral students in skills neces-
USA
4
Department of Nursing, School
ethical reasoning were performed on 64 Swedish nurses’ sary for future research careers, including more
of Health Sciences, Jönköping PhD dissertations dated 2007. critical thinking and more complex reasoning. The
University, Jönköping, Sweden Results A total of seven ethical topics were identified: quality and depth of the research ethics section is
ethical approval (94% of the dissertations), information essential to examine whether a researcher has
Correspondence to and informed consent (86%), confidentiality (67%), acquired necessary skills to reflect and report on
Sofia Kjellström, Institute of
Gerontology, School of Health
ethical aspects of methods (61%), use of ethical ethics.
Sciences, Jönköping University, principles and regulations (39%), rationale for the study Despite an increasing interest in research ethics,
PO Box 1026, SE-551 11 (20%) and fair participant selection (14%). Four of those surprisingly little is known about the quality of
Jönköping, Sweden; of topics were most frequently addressed: the majority research ethics in dissertations, particularly in
[email protected] of dissertations (72%) included 3e5 issues. While many nursing research. Research on written materials
Received 20 November 2009 ethical concerns, by their nature, involve systematic focuses primarily on research review boards5e9 and
Revised 22 February 2010 concepts or metasystematic principles, ethical reasoning journalsdfor example, ethics guidelines10 and
Accepted 2 March 2010 scored predominantly at lesser levels of complexity: research ethics in articles.4 Research on Turkish
abstract (6% of the dissertations), formal (84%) and nursing dissertations showed deficiencies in
systematic (10%). informing participants and protecting privacy.11 A
Conclusions Research ethics are inadequately covered study on Swedish nurses’ dissertations from 1987
in most dissertations by nurses in Sweden. Important to 2007 showed that an increase in occurrence and
ethical concerns are missing, and the complexity of proportions of reported ethical considerationsand
reasoning on ethical principles, motives and implications that the texts were short, had few references and
is insufficient. This is partly due to traditions and norms covered a narrow range of topics.12 We found no
that discount ethical concerns but is probably also other studies that address the design of the research
a reflection of the ability of PhD students and supervisors ethics section and how different topics were
to handle complexity in general. It is suggested that the combined.
importance of ethical considerations should be The study’s purpose was to examine which
emphasised in graduate and post-graduate studies and research ethical topics were addressed and how these
that individuals with capacity to deal with systematic were presented in terms of complexity of reasoning
and metasystematic concepts are recruited to senior in Swedish nurses’ dissertations approved in 2007.
research positions. The research questions were: Which research ethics
issues are reported? How is the research ethics
section organized around different ethical issues?
How is the information coordinated in terms of the
Research has a potential to encroach on people’s complexity of reasoning that structures the text?
lives, autonomy and integrity. To prevent or miti- What is the relationship between ethical issues and
gate the potential for such effects, the research complexity of reasoning in the text?
community has created ethics codes and regula-
tions, institutionalised ethics review boards and METHODS
formalised ethics requirements in scientific jour- Design and methodological approaches
nals.1e3 However, how do we know whether the The study used a mixed-methods approach to address
formalisations of research ethics actually result in the four research questions.13 We performed a quali-
researchers’ ability to operationalise ethics in the tative content analysis and a quantitative analysis of
ways intended? One way is to analyse how they the hierarchical complexity of ethics-related content.
write about research ethics. The quantification method was the Hierarchical
Including a well-written section about research Complexity Scoring System (HCSS) (Commons, et
ethics in a dissertation is important for several al, unpublished manual), which derives from the
reasons. Compared to protocols written for Model of Hierarchical Complexity, a mathematics-
research ethics committees, this section allows a based, formal general theory applicable to all actions
comparison of the expected and actual research in which information is organised.14 15All reasoning
Research ethics
involves organising information. The theory and validated scoring Table 1 Common range of stages of performance in adult tasks’
method enable reliable measures of discrete stages of reasoning hierarchical complexity
complexity.16e20 In accord with Swedish law, ethical approval was Stage Stage name General descriptions of tasks performed
not obtained for this study,21 but ethical principles were used and 8 Concrete Uses simple deductions; time sequences are used to
issues were addressed in ongoing reflective processes. describe actual instances that occur in past or present
time, and deal with specific things, specific incidents or
Data collection events, specific actors, specific actions, specific places.
9 Abstract Uses dualistic stereotypes (eg, good/bad, right/wrong);
The sample consisted of 64 dissertations from Swedish univer- forms abstract variables out of concrete classes of objects;
sities in 2007 (Appendix 1). The primary inclusion criteria were makes and quantifies propositions; uses variable time,
that the dissertation was written by a nurse and that it was place, act, actor, state, type; uses quantifiersd for
a PhD dissertation (4 years of full-time studies). Suitable example, all, none, some and categorical assertionsdfor
example, “We all die”. Attempts to justify an assertion take
dissertations were identified from the Swedish Society of the form of another assertion without specifying a logical
Nursing’s list of self-reported dissertations (n¼65) followed by connection; circular reasoning can appear.
a systematic comparative analysis with the Swedish National 10 Formal Uses empirical or logical evidence; logic is linear, one-
Library (n¼1). One of the self-reported dissertations discussed dimensional (ie, one input variable); solves problems with
one unknown using algebra; forms logical relationships
no research ethics and one was by an unsuccessful doctoral between abstract variables. Uses terms such as if.then,
candidate: they were not included in the sample. Dissertation thus, therefore, and because in justifying assertions.
languages were English (n¼48), Swedish (n¼15) and Norwegian 11 Systematic Constructs multivariate systems and matrices,
(n¼1). Dissertations were retrieved via full-text online access or coordinating more than one variable as input; situates
events and ideas in a larger context, that is, considers
as books from the university library. relationships in contexts; forms systems out of multiple
formal relations.
Data analysis
12 Metasystematic Integrates systems to construct metasystems, including
The dissertations were examined to identify research ethics principles, out of disparate systems; compare systems and
sections, often under the subheadings “Ethical considerations” or perspectives in a systematic way (across multiple
“Ethical approval”. The texts were analysed for the topics domains); reflect on systems, that is, is metalogical, meta-
analytic; name properties of systems (eg, homomorphic,
addressed and how they were reported. An unstructured matrix isomorphic, complete, consistent, commensurable).
of research ethics issues was created and grounded in the data.
Note: From ‘Hierarchical Complexity Scoring System (HCSS) How to Score Anything’ (pp.
The coded texts were further analysed for subcategories through 62; 92e93), by M. L. Commons, P. M. Miller, E. A. Goodheart, and D. Danaher-Gilpin, 2005,
an inductive process. Descriptions of meanings of quantitative Cambridge, MA: Dare Association, Inc. Copyright 1991e2005 by Dare Association, Inc.
and qualitative character, that is manifest and latent content Adapted with permission.
Research ethics
2 4 4 4 1 3 0
2 2 2 2 0
2 2 2 1 1 0
1 1 1 1 0
Sum 9 8 4 3 3 2 8 0
3 5 5 5 5 0 5 0
5 5 5 5 0 5 0
1 1 1 1 0 0 1
1 1 1 1 0 1 0
1 1 1 1 0 1 0
1 1 1 1 0 0 1
Sum 14 11 14 6 7 2 1 1 0 12 2
4 8 8 8 8 8 0 7 1
4 4 4 4 4 0 4 0
3 3 3 3 3 0 2 1
1 1 1 1 1 0 1 0
1 1 1 1 1 0 1 0
Sum 17 17 17 12 12 5 4 0 15 2
5 9 9 9 9 9 9 0 8 1
2 2 2 2 2 2 0 2 0
1 1 1 1 1 1 0 0 1
1 1 1 1 1 1 0 1 0
1 1 1 1 1 1 0 1 0
1 1 1 1 1 1 0 1 0
Sum 15 15 14 11 15 12 5 3 0 13 2
6 3 3 3 3 3 3 3 0 3 0
1 1 1 1 1 1 1 0 1 0
1 1 1 1 1 1 1 0 1 0
Sum 5 5 5 5 4 5 2 4 0 5 0
7 1 1 1 1 1 1 1 1 0 1 0
Sum 1 1 1 1 1 1 1 1 0 0 0
Total 64 60 55 39 43 25 13 9 4 54 6
Per cent 100 94 86 61 67 39 20 14 6 84 10
guaranteed and informed about, some researchers identified how Strategies to impede negative consequences were depicted
confidentiality had been handled: data were safely stored (n¼20): adopt a sensitive attitude, adapt to the physical and
protecting participant’s identity (n¼12); data were analysed and mental status of the interviewee, reduce questions, provide time
reported without identifying participants (n¼19) and partici- to reflect on the interview and arrange for a contact person.
pants in focus group interviews were counselled in ways to Sometimes, statements about how the participants seemed to
promote freedom of expression and confidentiality (n¼2). enjoy the interview experience were included (n¼14). A few
sections described problems that appeared during the research
Ethical aspect of the methods interview (n¼14)dfor example, interviewees who cried or did
The category for ethical aspect of the methods included the not answer all questions. The most comprehensive sections
research ethics issues in collecting data, except for questions covered all these issues, but the most common strategy was to
regarding informing participants. Ethical aspects of study mention the potential laboriousness of the interview yet argue
methods were comprised of descriptions of interviews and that participants benefited from practical solutions that were
questionnaires (n¼37). Explanations of why interviews were provided in the interview situation or by claiming that research
ethically problematic were done by referring to principles or participants appreciated the opportunity to tell their stories. The
risks of harm (n¼17). The negative aspects stated (n¼24) were reported ethical problems with questionnaires were primarily
physical and psychological with an emphasis on emotional. the tedium of answering questions and how researchers adjusted
Research ethics
the number of requests for completion out of respect and logic or evidence to justify the assertiondfor example, by
concern for participants’ possible fatigue. providing a logical explanationdfor example, using such terms
as because, in order to, since, if, then, therefore. Descriptions of
Use of ethical principles and regulations hypothetical or alternative options in the future were sometimes
Discussions that included the usage of principles and ethical included. The logic was linear. Such linear logic took the form of
regulations like laws and research ethics codes were coded to the ifethen constructions or chains of logic. Some used principles as
category of ethical principles and regulations. This category was logical reasons for actions.
analytically different from others because it revealed how ethics Systematic stage performances were characterised by the
were applied in the research sections. Explicit report of laws, ability to coordinate at least two logical relations into a system
ethics codes and principles occurred in fewer than half of the (table 3); in other words, they demonstrated reasoning about
dissertations (n¼25). Principles were employed but performed in complex causation and ability to understand a system of logical
qualitatively different ways (n¼17). The simplest form was to relationships. For example, one researcher described procedures
state that the study had been performed in accordance with for finding the “right people” by invoking a multivariate system
a research ethics declaration, code or rules outlined in a research that required the coordination of multiple variables. Systemic
ethics book. The most elaborate ones integrated the principles stage performances were characterised by more fluid reasoning
and described how they were used as compasses for research than the linear, logical performances.
procedures (n¼8).
Comparing content and complexity
Rationale for the study Few dissertations demonstrated abstract reasoning and system-
To provide an ethical rationale for the study means to justify atic reasoning, four and six, respectively, but showed interesting
why the study is important in a wider perspective. Thirteen patterns. The texts with abstract stage reasoning reported either
dissertations featured an ethical rationale for the study, and one or two topics. All four mentioned approval; information and
when included, it was framed in terms of risks and benefits. The methodological issues were raised by only two. Texts with
need for new and valuable knowledge that could potentially systematic reasoning introduced three to five ethical issues. Half
improve conditions for other people weighed heavier than the of them discussed principles (as compared to merely citing
extra demand and little direct gain that the research subjects a principle as the reason for an action), and the other three
gained from participating. Some reported that the value of reported the rationale for the study, indicating that the topic and
pursuing the research outweighed the disadvantages but entailed study could perhaps be viewed in a wider context. Among the
the necessity of protecting the autonomy of the research majority of texts demonstrating formal reasoning, the topics
participants. varied from one to seven, meaning at least formal reasoning was
needed to explain all conceivable aspects. Formal reasoning is
Fair participant selection required to report such tasks as fair selection of participants,
Fair selection of participants signifies reflections on a justified rationale for the study and principles, ethics codes and laws.
choice of participants. The reason to include vulnerable groups
and groups that previously has been excluded from research was DISCUSSION
sometimes given (n¼9). A few sections justified the choice of Our study demonstrates that research ethics are insufficiently
participants (n¼8). The importance of including important and reported and inadequately described in many nursing disserta-
vulnerable groups so their voices would be heard was the main tions. Few ethical topics are considered, and they are not
reason reported. discussed in a thorough way. While most note official approval
and describe informed consent issues, other issues like the
Design of the research ethics section rationale for the study and how the participants were selected
The topics of the research ethics sections are outlined in table 2. are infrequently reported. The level of complexity of reasoning
Most frequent was to report four ethics issues (n¼16), followed was inadequate in most dissertations. The majority of the
by three (n¼14) or five issues (n¼ 14). The majority (72%) dissertations used formal reasoning, although by their nature,
included 3e5 issues. Four sections stated one topic and only one the ethical issues introduced in them require more complex
dissertation section reported seven issues. The most common reasoning to be satisfactorily addressed.
composition of a section about research ethics discussed five A methodological strength of our study is its inclusion of
topics: the approval from a research review board, information a large number of dissertations, which are likely representative
and informed consent, ethical aspects of the methods, confi- of dissertations by Swedish nurses. A major advantage of our
dentiality and principles. method is that the analytical approach permits assessments and
comparisons of the coverage of ethical issues and the complexity
Complexity of reasoning of reasoning.
The analysed texts demonstrated three stages of performance as A methodological shortcoming is that the analysis was
measured by hierarchical complexity: abstract (n¼4), formal primarily focused on the section denoted “Ethical consider-
(n¼54) and systematic (n¼6). ations/approval”, thus some ethics topics and reasoning might
Abstract stage text performances consisted of declarative have passed undetected if they were treated in other parts of the
statements (table 3). Unsupported categorical assertions were dissertation. The analysis is thus limited to what the authors
made and justified by invoking another assertion. Generalisa- define as belonging to ethics sections. Our analysis identified the
tions were created by quantifying people and events. Often-used most complex stage of reasoning as a criterion for analysis
quantifications in the sample were “all participants” and “all because ethical considerations are complex matters. A more
studies”. Research ethics sections included mainly generalisa- extensive analysis could have also analysed the entire low to
tions about actions that had been performed. high range of reasoning demonstrated in each ethics section. An
Reasoning at the formal stage of performance used empirical or implication of the language analyses is that we do not know
logical evidence (table 3). Assertions were supported by explicit which and how the ethical issues were applied in reality. Some
Research ethics
issues could have been omitted from the dissertation text even more elaborated use of ethics principles. Very few used systematic
though the issue was dealt with in practice and vice versa. The reasoning, and none used metasystematic, which would be pref-
consistency between writing about ethics and ethical behaviour erable because several of the research ethics concepts are meta-
in the fielddfor example, in contact with research subjects and systematic stage principles. For example, informed consent is
patients, should be investigated in future studies. a metasystematic stage concept because it coordinates the system
The first main finding is the incompleteness of the elaboration of informing a research subject and the system of obtaining
of topics and details in several dissertations, which is consistent consent from the person.24 This means that metasystematic
with several studies in the domain of research ethics. A previous reasoning is needed for a full understanding and use of these
study showed a high level of errors in research ethics committee concepts.
letters; that is, procedural violations, missing information, slip- What are possible explanations for the low levels of reasoning
ups and discrepancies.8 Earlier research on Swedish nurses’ on research ethics? One possibility is that ethical issues are dealt
dissertations demonstrate the questionable quality due to short with at a sufficiently high level of complexity in practice, whereas
length, few references and a narrow range of topics.12 the text of the dissertation merely reflects a research tradition
In our study, few topics were addressed. Emanuel et al argued that discounts the importance of performing and explaining
for seven requirements to be considered and met in the conduct ethical reasoning. Disciplinary norms for terse writing styles are
of ethical research: scientific value, validity, fair subject selection, presumably promoted by supervisors and department guidelines.
favourable riskebenefit ratio, independent review, informed For example, nurses’ dissertations in social science use more
consent and respect for potential and enrolled subjects.23 references to methods, ethics and philosophy of science than
Applied to our findings, some requirements may be treated in dissertation in the medical science tradition.23 In addition, poor
other parts of a dissertation, but several dissertations leave out writing may occur because researchers mimic previous disserta-
topics that are necessary for judging their ethical quality. tions or regard ethical considerations as bureaucratic hurdles rather
Informing potential participants and pursuing informed than moral requirements to protect participants. The supervisor
consent was reported in almost 90% of the dissertations’ ethics role is an important factor since they sometimes acknowledge
sections. This frequency is higher than that reported in a study of a considerable lack of knowledge about research ethics.25 Another
Turkish nurses’ dissertations where subjects were not informed conceivable explanation is that the level of ethical reasoning
about the study (72.7%) and the researchers had not obtained corresponds rather accurately to the level of complexity the
permission from the subjects (73.6%).11 doctoral students and their supervisors use to handle complex
The second main finding is the insufficient level of complexity issues in general. In other words, they are arguing on ethical issues
of reasoning, with which research ethics are handled. Findings at their highest complexity level. In that case, the scientists’ (PhD
from a discourse analysis of research ethics committee letters students’ and supervisors’) ability to discuss at more complex
showed that there was “the lack of formal reasoning” (p 258) and levels must be improved for ethical issues to be sufficiently
ethical argumentsdfor example, informed consent are described managed in the future. All these possibilities suggest further
as procedural norms rather than an ethics principle possible to research is needed to account for our findings, since ethics have
dispute.9 This is consistent with our findings, because a signifi- long been an important part of nurses’ education and occupation.
cant number invoked research ethics principles to justify proce- There are several implications of insufficient ethical reasoning.
dures taken, rather than to use principles to support ethical Integrity of the research subjects and patients are at risk, and
arguments for and against certain procedures. However, our patients, if they participate, may be informed without under-
findings also showed that the great majority used at least some standing the implications. From the perspective of the readers of
formal reasoning, as measured by hierarchical complexity. the scientific literature, it is impossible to assess how and why
Unfortunately, formal reasoning is necessary but not suffi- the authors dealt with various ethical issues. A crucial implica-
cient for adequacy in ethical matters. The analysis showed that tion is the consequences of selection of research questions,
formal reasoning and systematic reasoning were needed to methods and participants/sample. Scientists performing at
elaborate on topics, and the comparison of complexity reasoning abstract or formal stages are less likely to integrate relevant
and content indicated that higher levels of reasoning involved ethical aspects into their research aims than scientists at higher
Research ethics
complexity levels. This is because such integration, by its nature, 3. Fischer BA. A summary of important documents in the field of research ethics.
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