Ethical considerations in research are a set of principles that guide your research designs and
practices. These principles include voluntary participation, informed consent, anonymity,
confidentiality, potential for harm, and results communication (Bhandari, 2024).
Ethical considerations in research include: informed consent, confidentiality,
anonymity, potential for harm, voluntary participation, beneficence, justice, all aimed
at upholding the dignity and rights of research subjects while conducting responsible
research.
Informed consent:
Informed consent is a fundamental ethical and legal requirement in research involving
human participants. It ensures that individuals are fully informed about the nature,
purpose, procedures, risks, and potential benefits of a study, enabling them to make a
voluntary and educated decision about their participation. This process respects the
autonomy of participants and fosters trust between researchers and the community.
The informed consent process involves several critical elements:
1. Information Disclosure: Providing comprehensive details about the study, including
its objectives, procedures, potential risks, benefits, and any alternative options.
2. Comprehension: Ensuring that participants understand the information provided,
which may involve assessing their understanding and providing additional explanations
as needed.
3. Voluntariness: Confirming that participation is voluntary and free from coercion or
undue influence.
4. Competence: Assessing whether participants have the capacity to make informed
decisions about their involvement.
5. Consent Documentation: Obtaining written or verbal consent, as appropriate, and
maintaining records of the consent process.
The importance of informed consent in research
Ethical Responsibility: It upholds the principle of respect for persons, acknowledging
their autonomy and right to make informed choices.
Legal Compliance: Adhering to informed consent procedures ensures compliance with
ethical guidelines and regulations governing human subjects research.
Risk Mitigation: By informing participants of potential risks, researchers promote
transparency and allow individuals to weigh these risks against potential benefits.
Trust Building: Transparent communication fosters trust between researchers and
participants, which is essential for the integrity of the research process.
Confidentiality:
The excerpt explains that confidentiality in research involves protecting personal
information that participants prefer to keep private. Researchers must respect
participants’ dignity and autonomy, ensuring their data is not misused or disclosed
without consent. This ethical obligation is supported by international guidelines like the
Helsinki Declaration (2013) and GDPR (2018), which legally protect privacy. In
practice, researchers safeguard confidentiality through secure data handling and clear
communication with participants.
Confidentiality in Research: Examples
1. Protecting Identities in Social Psychology Research
In studies exploring sensitive topics like peer pressure among Basotho youth,
researchers often collect personal data related to participants’ behaviors, beliefs, and
social interactions. To protect confidentiality, researchers use pseudonyms or
anonymous codes instead of real names when presenting data. This prevents the
identification of participants in published reports, ensuring their privacy is maintained,
especially when dealing with vulnerable groups such as adolescents.
2. Confidential Interviews in Qualitative Research
In qualitative research, such as in-depth interviews or focus group discussions,
researchers often encounter personal stories that participants may not want to be
public. To maintain confidentiality, researchers conduct interviews in private settings
and assure participants that their responses will remain confidential. Additionally,
audio recordings are stored securely, and transcriptions are anonymized to prevent
linking responses to specific individuals.
Anonymity:
While anonymity is rightly viewed as a component part of confidentiality, that is,as one
means of protecting confidential information, in the context of research ethics,
anonymity can also be considered separately Suzanne (2012). On the one hand, for some
research participants, anonymity means invisibility.Even the researcher, does not know
the identity of the respondent.
According to Chen (2023) Perfect anonymity arguably comes when the following
aspects of identity are masked: legal name, location, pseudonyms linked to name or
location, appearance and behavior patterns, or social categorization. Instead of
gathering these characteristics about participants, researchers are inclined to request
descriptive information by category .
Researchers employ a number of methods to keep their subjects' identity confidential.
They keep their records secure through the use of password protected files, encryption
when sending information over the internet, and even old fashioned locked doors and
drawers. They frequently do not record information in a way that links subject
responses with identifying information (usually by use of a code known only to them).
And because subjects may not be identified by names alone, but by other identifiers or
by combinations of information about subjects, researchers will often only report
aggregate findings,not individual-level data, to the public.
Potential for harm (non-Maleficence):
Psychological harm: Sensitive questions or tasks may trigger negative emotions such as
shame or anxiety.
Social harm: Participation can involve social risks, public embarrassment, or stigma.
Physical harm: Pain or injury can result from the study procedures.
Legal harm: Reporting sensitive data could lead to legal risks or a breach of privacy.
Therefore it’s best to consider every possible source of harm in your study as well as
concrete ways to mitigate them. Involve your supervisor to discuss steps for harm
reduction. A researcher must make sure to disclose all possible risks of harm to
participants before the study to get informed consent. If there is a risk of harm, prepare
to provide participants with resources or counseling or medical services if needed.
Example of potential for harm
In a study on stress, you survey college students on their alcohol consumption
habits.Some of these questions may bring up negative emotions, so you inform
participants about the sensitive nature of the survey and assure them that their
responses will be confidential, also providing participants with information about
student counseling services and information about managing alcohol use after the
survey is complete.
Voluntary participation:
Voluntary participation is a core principle of ethical research, ensuring that individuals
decide freely whether to take part in a study without coercion, pressure, or undue
influence. Ethical guidelines, such as those from the Belmont Report, the World Health
Organization (WHO), and the U.S. Department of Health & Human Services (HHS),
require that researchers obtain informed consent from participants, clearly explaining
the study’s purpose, risks, and benefits.
Key Aspects of Voluntary Participation
1.Informed Consent- Participants must be fully informed about the research, including
its goals, procedures, risks, and benefits, before agreeing to take part (Grady, 2019).
2. Freedom to Withdraw– Individuals must have the right to withdraw from the study
at any time without facing penalties or negative consequences (Menikoff, Kaneshiro, &
Pritchard, 2017).
3. No Coercion or Undue Influence– Researchers must ensure that participation is truly
voluntary and not influenced by pressure, excessive incentives, or threats (Resnik,
2020).
4. Protection of Vulnerable Populations – Special considerations are required for
vulnerable groups, such as children, prisoners, and individuals with cognitive
impairments, to prevent exploitation (Emanuel, Wendler, & Grady, 2018).
5. Confidentiality and Anonymity – Participants' data must be protected to maintain
privacy and trust, reducing the risk of harm (Richards & Holten, 2021).
6. Ethical Oversight– Research studies must be reviewed by Institutional Review
Boards (IRBs) or ethics committees to ensure compliance with ethical standards
(Beskow et al., 2017).
Importances of Voluntary Participation
Ensuring voluntary participation protects individuals' autonomy, dignity, and rights
while enhancing the credibility and validity of research findings. Ethical research
practices build trust between researchers and participants, encouraging greater public
participation in scientific studies.
Beneficence:
Beneficence is an ethical principle in research that requires researchers to maximize
benefits and minimize harm for participants. It means that researchers should always
aim to do good and ensure the well-being of those involved in their studies.
Key Aspects of Beneficence:
1. Maximizing Benefits – Research should contribute positively to knowledge, health, or
society.
2. Minimizing Harm – Participants should not be exposed to unnecessary risks, pain, or
distress.
3. Weighing Risks vs. Benefits – If risks exist, they must be justified by potential
benefits.
Examples:
Medical Research: A study testing a new drug should ensure that participants receive
proper medical care, and any side effects are monitored and addressed.
Psychological Research: If studying trauma survivors, researchers must provide
emotional support and avoid triggering distress.
Social Research: A study on poverty should not expose participants to shame or stigma;
instead, it should empower them.
Simple Explanation:
Imagine a doctor testing a new medicine. They must make sure it helps people more
than it harms them. Similarly, researchers must design their studies so that participants
benefit and are not hurt physically, emotionally, or socially.
Justice:
According to Kumar M. (2020), justice in research refers to ensuring fairness in how
participants are treated and how the benefits and risks of research are shared. It
involves equitably distributing benefits, avoiding exploitation of vulnerable groups, and
ensuring transparency in research processes.
Types of justice
Distributive Justice: This type of justice refers to the fair allocation of the benefits and
burdens of research among different groups of people. It ensures that no group is
unfairly burdened by the research process, and that all groups have the opportunity to
benefit from the outcomes of research. In clinical trials, for example, distributive justice
would advocate for the inclusion of diverse populations, so the results are generalizable
to all, not just a specific group.
Procedural Justice: Procedural justice focuses on the fairness of the processes used in
research. This includes how participants are selected, how informed consent is obtained,
and how the research is reviewed and monitored. Ensuring procedural justice is vital in
maintaining trust between researchers and participants, as it assures that all steps in
the research process are transparent, equitable, and respectful of the participants’
rights. For example, a climate change study on agriculture uses fair selection criteria,
including both male and female farmers.
Restorative Justice: Restorative justice in research aims to address and repair any harm
caused by unethical or problematic research practices. If a research project causes
harm to participants or communities, restorative justice calls for acknowledging that
harm and working with those affected to make amends. This might involve offering
compensation, `providing support, or even changing research practices to prevent
further harm. For example, a mental health study provides free counseling for
participants distressed by recalling traumatic experiences.
Social Justice: Social justice in research emphasizes the need for research to contribute
to the betterment of society, particularly in addressing inequalities. This type of justice
advocates for including marginalized or vulnerable populations in research, ensuring
that their voices are heard and their needs are met. Social justice ensures that the
outcomes of research benefit all parts of society, not just the privileged or dominant
groups. For example, research on gender-based violence advocates for policies
improving protection and support for survivors.
PERMISSIONS NEEDED IN RESEARCH
Ethical Approval
Definition: Research involving human subjects often requires approval from an
Institutional Review Board (IRB) or Ethics Committee to ensure ethical standards are
followed.
Example: A psychologist studying the effects of stress on students must submit a
research proposal to the university’s ethics committee. The study is only approved if it
meets ethical guidelines, such as ensuring no harm to participants in research,
permissions are required to ensure ethical compliance, legal considerations, and respect
for participants' rights.
2. Informed Consent
Participants must voluntarily agree to participate in the research after being fully
informed about the study’s purpose, procedures, risks, and benefits. Consent can be
written, verbal, or implied, depending on the study's design and ethical guidelines.
Example: If a researcher is interviewing Basotho farmers about climate change
adaptation strategies, they must obtain signed or verbal consent from each participant,
ensuring they understand the study’s purpose and their rights.
3. Data Access and Use Permissions
If the research involves secondary data, permissions may be required from data owners,
such as government agencies, companies, or other researchers. This ensures compliance
with data protection laws and intellectual property rights.
Example: A study analyzing national census data on urban migration trends in Lesotho
requires permission from the Bureau of Statistics to access and use restricted datasets.
4. Permissions from Organizations or Institutions
If the study takes place within an organization (e.g., a school, hospital, or business),
researchers may need formal permission from the institution’s management. This is
particularly relevant for workplace studies, educational research, and institutional case
studies.
Example: A study assessing literacy levels in primary schools in Maseru requires
permission from the Lesotho Ministry of Education and school principals before
surveying teachers and students.
5. Permissions for Special Populations
Research involving minors, prisoners, or individuals with disabilities may require
additional approvals from guardians, legal representatives, or specialized ethics boards.
1. Research on Children
If a researcher wants to study how school meals affect children’s health, they must get
permission from parents or guardians before talking to the children.
2. Research on Prisoners
If a study looks at the mental health of prisoners in Lesotho, the researcher needs
permission from the prison authorities and may also need approval from the Ministry
of Justice.
6. Government and Legal Approvals
Some studies, especially those involving sensitive topics like public health, national
security, or indigenous knowledge, may require governmental approval. Researchers
may need to comply with national research regulations, such as obtaining permits for
fieldwork.
Example: If a foreign researcher wants to conduct an environmental impact study on
the Mohale Dam, they must obtain clearance from the Lesotho Environment Authority
and possibly the Ministry of Water.
In conclusion, ethical considerations like informed consent, confidentiality, and
voluntary participation are crucial in research to protect participants’ rights and well-
being. In Lesotho, obtaining necessary permissions—such as ethical approval and
institutional clearances—is vital for conducting responsible and culturally respectful
research. These practices ensure trust and compliance while contributing to meaningful
and ethical knowledge creation.
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