Deccan Education Society’s

Fergusson College (Autonomous), Pune

Research Coordination Committee

The Code of Ethics of an Ethical Review Board for Research in Social

Sciences and Humanities

Purpose of an ethical review board for research in Social sciences and humanities

There is a growing number of students, teachers and research scholars who are conducting major
and minor research projects in the domain of social sciences. Human participation in these studies is
not only common but unavoidable as the phenomena under investigation concern human beings.

In recent years researchers have increasingly ventured into topics that touch upon social and ethical
dilemmas and controversial subjects. While the researcher has and should enjoy freedom to explore
diverse topics, it is an obligation that we have towards society to protect the interests and integrity
of the participants of the research. The research studies also must be carried out with the intention
of social welfare. As researchers we also bear responsibility towards funding agencies and
collaborators.

The purpose of an ethical review board is to ensure that the research studies being undertaken in the
organization do not violate the integrity of the participants and are geared towards the betterment of
society. Another objective of an ethical review board is also to ensure good scientific practice, like
originality of research ideas, methodologically sound research designs, good scientific reporting
practices, and anti-plagiarism practices. Recognizing the need for a body that educates students and
teachers about good research practices and also one that monitors research projects undertaken at
educational institutions, the UGC has recommended that each institution has its own Office of
Research Integrity (ORI) at the local level (Patwardhan et al, 2020).

General ethical principles and ethical standards

The American Psychological Association (APA) has listed down the following general ethical
principles for research with human participants:

A. Beneficence and non-maleficence

B. Fidelity and responsibility
C. Integrity
 D. Justice and
E. Respect for peoples’ rights and dignity

Of course these are broad ethical principles and should not be used to impose sanctions and should
not be considered as obligations.

The overarching ethical principles that have been laid down by the WHO concerning research are:

1. respecting human dignity and integrity

2. ensuring honesty and transparency towards research subjects
3. respecting individual autonomy and obtaining free and informed consent (as well as assent
whenever relevant)
4. protecting vulnerable individuals
5. ensuring privacy and confidentiality
6. promoting justice and inclusiveness
7. minimising harm and maximising benefit
8. sharing the benefits with disadvantaged populations, especially if the research is being
carried out in developing countries
9. respecting and protecting the environment and future generations.

The need to scrutinize research proposals that methodologies involving human participation

Numerous tools like surveys, self report questionnaires, rating scales, projective techniques,
interviews, experiments and observations are used to carry out research studies. It is likely that a
participant’s identifying data is revealed in the process. It is also possible that the participant feels
uncomfortable while answering questions in inventories or interviews or while participating in
experiments. If researchers are accused of violating the personal rights of the participants they can
be subjected to heavy penalties as this constitutes a criminal offense. The use of informed consent
in research is therefore crucial in social science research. Also the participants must be explained
that they can leave the research project any time they wish to without having to explain their
decision to the researcher. The detailed description of what is needed to be included in informed
consent is as follows:

A. Explaining participants the aims, methods and implications of the study.

B. Clarifying that participation is voluntary.
C. Explaining the benefits, risks, burden or discomfort involved in participation. Giving an
estimate of the time and effort expected of participants.
D. Explaining precautions to ensure participants’ safety and provide information on insurance,
if there is any.
 E. Explaining who is funding the research and why.
F. Disclosing who will benefit from the research.
G. Giving a firm commitment to protect participants’ anonymity and privacy (provided that this
can genuinely be guaranteed).
H. Making a clear commitment to treating personal and sensitive information confidentially.
I. Reassuring participants that there are secure procedures for analysing any data gathered.
J. Explaining clearly who will have access to any data that participants provide.
K. Considering any unintended/unexpected/incidental findings and explaining how such
findings will be dealt with.
L. Explaining briefly where research findings will be published.
M. Offering to provide respondents with further information about research if they ask for it.
N. Giving the name and contact details of the contact person who can answer any queries
participants may have.
O. Clarifying possible uses to which data may be put in future (if this is envisaged) and
clarifying whether participants will be asked for consent again if this is the case.
P. Explaining any issues relating to copyright of data and other materials used in the research.

Sometimes controversial methodologies need to be used in social science research. Some such
methodologies are:

A. use of deception in research

B. covert research
C. internet research and social media data in research

These methodologies are used in social science research because the open explanation of the aims
and purpose of the research might inhibit honest responses of the participants. In case of the use of
such alternative methodologies, strong justification for their use must be provided.

Other circumstances which necessitate the approval of the research proposal from a research
committee include:

A. Vulnerable participants such as children, refugees, irregular migrants, sex workers, people
with cognitive impairments, dissidents, traumatised people at risk of re-traumatisation (e.g.
people from conflict areas, victims of crime and/or violence); and people in dependent
relationships with the researcher or the research team (e.g. students doing course work with
researchers). When there is a risk that these participants might be stigmatized, re-
 traumatized or otherwise harmed through their participation in the research, it needs to be
carefully scrutinized.
B. Use of children in research

The ethical committee reviews the proposal of the research before the study begins as well as during
the proposed period. In case the findings of the study fall outside the scope of the research project,
appropriate measures need to be taken to report such findings or to protect the data.

Not every research proposal where human participation is enlisted can be risky for either the
researcher, the collaborators, the funding agency, the participants or for society at large. Therefore
most ethics boards have a process of risk assessment. A research proposal may be classified as
“minimal risk project” when the potential discomfort that participants might experience because of
the study is judged to be not above the discomfort they may experience in their day to day life.

But if the research project runs risk which goes beyond the “minimal risk” level, a full review of
the proposal by a research ethics committee is required. These “high risk” researches include
circumstances when:

A. participants are expected to talk about sensitive topics, highly private topics of their life,
B. Research involving potentially vulnerable groups and people unable to consent;
C. research involving sensitive topics and those which might cause psychological stress,
anxiety or humiliation;
D. Individuals or groups in cases where a gatekeeper is normally required to give permission
for initial or continued access to participants,
E. research involving justified deception without participants’ valid and informed consent at
the time the research is carried out;
F. intrusive interventions or data collection methods, such as the administration of substances,
vigorous physical exercise, or techniques where participants are persuaded to reveal
information which they would not otherwise disclose in the course of everyday life,
G. research which would or might induce psychological stress, anxiety or humiliation, or cause
more than minimal distress,
H. research where the safety of the researcher may be in question;
I. research involving respondents through the internet, in particular where visual images are
used, and where sensitive issues are discussed or where participants and other individuals
may be identifiable in the visual images used or generated, social media and participants
recruited or identified through the internet, especially if the understanding of privacy in
 these settings is contentious when sensitive issues are discussed - for example in ‘closed’
discussion groups where there is potential for quotes to be identifiable, and including those
where visual images are used or
J. any research where biological samples are collected and/or medical imaging technologies
are used as part of social science research.

WHO guidelines about the constitution of the research ethics committee:

Composition of research ethics committees

The research ethics committee (REC) is constituted according to a charter or other document that
establishes the manner in which members and the Chair will be appointed. The appointing entity
ensures that the REC has a multidisciplinary and multisectoral membership, that its composition is
gender balanced, that it reflects the social and cultural diversity of the communities from which
research participants are most likely to be drawn, and that it includes individuals with backgrounds
relevant to the areas of research the committee is most likely to review. The entity establishing the
REC takes the following factors into consideration when appointing members.

1. Members include individuals with scientific expertise, including expertise in behavioural or

social sciences; health care providers; members who have expertise in legal matters and/or ethics;
and lay people whose primary role is to share their insights about the communities from which
participants are likely to be drawn.

2. Lay people and other members, whose primary background is not in health research with human
participants, are appointed in sufficient numbers to ensure that they feel comfortable voicing their
views.

3. In order to enhance independence, committee membership includes members who are not
affiliated with organizations that sponsor, fund, or conduct research reviewed by the REC

4. Committees are large enough to ensure that multiple perspectives are brought into the discussion.
To this end, quorum requirements provide that at least five people, including at least one lay
member and one non-affiliated member, are present to make decisions about the proposed research.

Core documentation required by ethics review committees

The following is a brief summary of the minimum items required for submission to an ethics review
board or committee. Additional items that may be required will depend on the nature and scope of
the proposed research.
The core documentation should include:

• the research proposal, showing the exact methods and procedures to be followed;
• evidence that the investigators’ education and experience are appropriate for the proposed
research;
• a statement on potential risks, demonstrating that they are within acceptable limits and are
justifiable in relation to the anticipated benefits to participants, and to the role of the
research in furthering global knowledge;
• a statement that no unethical deception of participants is involved, and no exaggeration of
proposed benefits;
• a description of how confidentiality will be protected;
• a statement of how free and informed consent will be obtained. This will include the
informed consent form to be used, describing the aims and objectives of the research, the
procedures to be undertaken, and how this will be presented to participants;

The informed consent form should contain the following elements:

• a statement indicating that participation is voluntary, obtained without institutional or social

pressure, and that there are no penalties for non-participation;
• a statement of any risks that may be incurred during or following participation;
• a statement of any inducements or compensations for participation;
• a statement confirming that participation can be withdrawn at any time, for any reason,
without penalty;
• a statement on protection of privacy through strict confidentiality of the data;
• an indication that only information or samples described in the informed consent form can
be obtained without additional review and approval by the ethics review committee;
• Information on contacts within the RI for participants in case of questions or concerns.

For research involving IP, this essential documentation would also include proof of collective
consent, and a copy of the research agreement, if one exists.

The need for upgrading the knowledge of current good research practices for ethical
committee members

The Ethical Research Committee needs to undergo periodic training in order to keep up breast of
the recent trends and good practices in research. The educational institution needs to organize such
training programmes for ethical committee members from time to time.
References:

1. The Norwegian Research Ethics committees Guidelines for research ethics in Social
Sciences, Humanities, Law and Theology

https://www.forskningsetikk.no/en/guidelines/social-sciences-humanities-law-and-
theology/guidelines-for-research-ethics-in-the-social-sciences-humanities-law-and-theology/
downloaded on 22/11/2020

2. WHO (2011). Standards and Operational Guidance for Ethics Review of Health-Related Research
with Human Participants

https://www.who.int/activities/ensuring-ethical-standards-and-procedures-for-research-with-
human-beings

downloaded on 21/11/2020

3. Indian Council of Medical Research (2018). Handbook On National Ethical Guidelines For
Biomedical And Health Research Involving Human Participants.
4. CIOMS (in collaboration with WHO, 2009). International Ethical Guidelines for
epidemiological research.
https://cioms.ch/wp-content/uploads/2017/01/International_Ethical_Guidelines_LR.pdf
downloaded on 21/11/2020
5. Patwardhan B., Desai A., Chourasia A, Nag S., Bhatnagar R. (2020). Guidance Document:
Good Academic Research Practices. New Delhi: University Grants Commission.

Dr. Ashish Yengantiwar Dr. Ravindrasing Pardeshi

Coordinator Principal
Research Coordination Committee and
Academic and Research Committee