recommended reading(2)

28
RECOMMENDED READING The recommended texts for this unit are: • Runco, M.A. (ed.) 1994,  Problem Finding, Problem Solving, and Creativity, Creativity  Research. Ablex, Norwood, NJ. OR • Sternberg, R.J. (ed). 1999.  Handbook of Creativity. Cambridge, Cambridge University Press. These books are essentially alternatives. They replace a book which we used for q uite a while (Dacey, J. S. 1989. Fundamentals of Creative Thinking. USA, Lexington Books). The book by Dacey covers both creativity and problem solving and could still be a useful one to read if you can obtain a copy of it. I will describe in detail some sections of Dacey in the Unit Notes, which accompanies this Study Guide. There are quite a few books that could provide useful information depending on your particular interest, and some of these are listed below. Creative Thinking Types of thinking o Forward thinking (deductive) o Reverse thinking (inductive) Given a problem, come up with various methods to solve it (need  brainstorming) Analogy: Given the peak of a mountain, try to find a path from the foot of the mountain to reach the peak. Think about whether the problem is ill-posed; if so, reformulate the  problem. o Vertical thinking: o Lateral thinking: multidisciplinary, cross multiple areas Vertical thinking Lateral thinking Looking for the right approachLooking for as many approaches as possible Rightness Richness Proceeds if there is a directionProceeds to generate direction Is analytical Is provocative (brainstorming) Is sequential Can make jumps One must be correct at every step One does not have to be correct at every step Uses negative to block off certain pathways There is no negative

Upload: shankey-goel

Post on 09-Apr-2018

224 views

Category:

Documents


0 download

TRANSCRIPT

Page 1: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 1/28

RECOMMENDED READING

The recommended texts for this unit are:

• Runco, M.A. (ed.) 1994, Problem Finding, Problem Solving, and Creativity, Creativity

 Research. Ablex, Norwood, NJ.

OR 

• Sternberg, R.J. (ed). 1999. Handbook of Creativity. Cambridge, Cambridge UniversityPress.

These books are essentially alternatives. They replace a book which we used for quite awhile (Dacey, J. S. 1989. Fundamentals of Creative Thinking. USA, Lexington Books).The book by Dacey covers both creativity and problem solving and could still be a usefulone to read if you can obtain a copy of it. I will describe in detail some sections of Dacey

in the Unit Notes, which accompanies this Study Guide. There are quite a few books thatcould provide useful information depending on your particular interest, and some of theseare listed below.

Creative Thinking

• Types of thinkingo Forward thinking (deductive)

o Reverse thinking (inductive)

Given a problem, come up with various methods to solve it (need brainstorming)

Analogy: Given the peak of a mountain, try to find a path from thefoot of the mountain to reach the peak.

Think about whether the problem is ill-posed; if so, reformulate the problem.

o Vertical thinking:

o Lateral thinking: multidisciplinary, cross multiple areas

Vertical thinking Lateral thinking

Looking for the right approachLooking for as many

approaches as possible

Rightness Richness

Proceeds if there is a directionProceeds to generate direction

Is analytical Is provocative (brainstorming)

Is sequential Can make jumps

One must be correct at every

step

One does not have to be

correct at every step

Uses negative to block off 

certain pathways

There is no negative

Page 2: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 2/28

Excludes what is irrelevant Welcomes chance intrusions

Fixed categories/labels Labels may change

Explores most likely paths Explores least likely paths

Is a finite process Is a probabilistic process

Problems and Problem Solving

Introduction

Problem solving is what engineers do. It is what they are, or should be, good at. At one timethe basic problem solving skills engineering students needed were developed in school, withuniversity engineering programmes being able to build on them. Unfortunately that is nolonger the case. A look at today's GCSE and A-level papers show us why many studentscoming in to university have had very little training in the process of problem solving: the “problems” set tend to be largely single step tests of knowledge of individual principles. Thecurrent A-level students are not asked to tackle multi-step problems, and if faced with a largeset of information where the required objective cannot be reached in one single familiar stepmany will not know what to do. Very few new undergraduates will have the confidence andmental processes available to say “I don't know how to solve this problem yet, but if I set

about it systematically and think about it I expect I'll work it out”.

It is common in engineering education to talk about the “mathematics problem” i.e. theweakness in mathematics of students entering university engineering programmes. Certainlythe lack of fluency in specific mathematical techniques is an obvious aspect of this “problem”,but the more serious aspect may be the lack of understanding of problem solving processes.

It is this author's contention that problem-solving skills may be the most important thing wecan teach our students and, if students don't come to university with the necessary skills, wedo have to teach them. To progress onto other engineering course content without ensuringthat students can apply a systematic problem-solving process is pointless. Consequentlyproblem solving should be systematically and explicitly taught in the first year of allengineering degree programmes.

How do we teach problem solving?

We can divide what needs to be taught into two areas: the process of problem solving, whichis generic, and the tools for executing steps of solutions, which are subject specific.

To teach problem solving requires the cooperation of all staff teaching first year students.Students should be given an agreed general problem solving process and then set multi-stepproblems in all their individual subject modules with all staff insisting that the students followthe same process at all times. Periodically the general process should be reviewed with thestudents, helping them to abstract the generic process from its specific applications, and toappreciate the need to practice specific skills.

The problem solving process

What follows here is a generic description of problem solving that can

apply within any academic discipline or context provided that there is a

familiarity and fluency with the tools applicable to that context.

Page 3: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 3/28

Page 4: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 4/28

the thorough study. An informative speech is required in almost all fields, whether you are software professionalor a nonprofessional, you may require to share information with your subordinates and managers. Keeping thisperspective in mind, we can say that the informative speech is the key factor for success of a professionalirrespective of the field he or she belongs to.

An informative speech should contain useful information that is unique for the audience and draws theirattention towards the speech. If you can achieve this objective then you can easily become an informative

speaker and deliver an informative speech in a proper manner. Most of the informative speeches either arewritten for some events or processes or are just meant to describe some new concepts and ideas.

Usually, it is not the speaker who selects the topic of presentation as the topic either is given by the high-levelofficers or is situational. However, if you need to figure out the topic for informative speech then you mustconcentrate on the topics or field in which you are an expert. Try to recall the personal experiences relating tothat topic that you can include in your speech. Then the next step would be to do detailed study of the subjectso that you have knowledge about every aspect of the topic. For an informative speech, it is very important thatyou include the matter by gathering material for the speech from libraries or from the internet.

An informative speech should be divided into three parts. First, a brief introduction of the topic is required.Then the body part of the speech should include all the details. At last, you need to conclude on a specificsolution. The conclusion should draw the meaning for the informative speech and include the message to bedelivered within the conclusion part of the speech. An informative speech requires the speaker to adjust thebody language according to the type of explanation required, as some audiences may feel distracted due to

irregular body language. Practice makes a person perfect in delivering a speech; therefore, you must practicethe speech so that all the pros and cons are clear in your mind if you have chosen a controversial topic.

While you may feel a little concerned when faced with writing a speech, remember that you knowplenty of things. We are all authorities on something, and have lots of information. The goal is merelyto decide what kind of information we may want to present when we choose informative speech topics.

The informative speech is usually one of four forms. You can give a speech about objects like animals,vehicles, washing machines, buildings, and et cetera. You can also speak about a process — either describing how something is done or how to do something. Another theme is to discuss an event,either one that already occurred or one that will occur. Lastly, you can discuss ideas or concepts,though this type of speech may be harder because it can easily become a persuasive speech.

With a speech focused on objects your goal is to come up with informative speech topics that will beeasy to clearly describe. You could choose to give a speech on an animal you find fascinating, or describe virtually anything. Since you usually are composing a speech that will have time limitation,you want to make sure your information is specific and stays on topic.

Process speeches can be some of the easiest to do, especially when they are the “how to” type. Youcan demonstrate how to make a sandwich or you can talk about anything you know “how to” do. Thereare plenty of process speech subjects including how to prevent illnesses, how to lose weight, how toeat healthfully, how to play a specific sport, how to save money when shopping, and the list can go on.

With speeches focused on an event, informative speech topics could be so many different things.Describe a historical event, talk about an upcoming event in your community, or discuss an event youattended like the opening of a business, or the first night of your county fair . You can even discussthings like pet shows, fashion shows, rock concerts, school plays or anything else that comes under this heading.

When you’re going to choose conceptual informative speech topics, the most important thing is to stayaway from highly contentious issues. It is extremely difficult to give an information only speech onthings like abortion, euthanasia, the death penalty, animal rights, and a few other topics which peopleare likely to take strong sides. You can talk about other concepts, such as mercy, love, forgiveness,anger, but these can be awfully vague. If you want to give a speech on ideas, try to come up with aconcept that will be easy to describe within the time limits of your speech. If you search online, you willfind many websites that list hundreds of informative speech topics. These may be great if you’re really

Page 5: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 5/28

having a hard time. As you view these topics keep asking yourself, “What do I know about thissubject?” Sometimes the best speeches are those delivered by people who are experts on a particular subject. So use topic suggestions to remind yourself where your expertise lies.

How to write informative speech

1. Pick a topic. Unless you're writing your speech for a school assignment, you probablyalready know what your topic is. If you are writing your speech for school, however, a goodrule is to choose something you know a lot about; this will require the least amount of research. Alternatively, you may want to pick a topic you're keenly interested in, so you canresearch it and learn about it. Remember, informative speeches simply inform people. Youdon't want to choose a topic that will require you to base your speech on your opinion: that'sfor a persuasive speech.

2. Narrow down your topic. If your speech is limited to five minutes, you don't have

enough time to tell people all about the history of invention or to explain how to build a car.You may, however, be able to tell people about the history of the zipper. You should be able tothoroughly cover your topic in the time allotted.

3. Develop your thesis. Your thesis should be a statement of what the speech is about, asentence that describes your narrow topic. For example, "I am going to explain how to takeapart a carburetor," or "In this speech you will learn about how the zipper came to be" might begood theses.

4. Do your research. If there's one rule to writing an informative speech it's this: know your 

subject. If you're writing about something you know well, you may not need to do much, if any,research. Otherwise, hit the books, and learn as much as possible about your topic. Takenotes of important information as you go along.

5. Consider your audience. In general, unless your assignment says otherwise, it's a good

idea to assume your audience knows nothing about your topic. With this in mind, you may

need to give plenty of background information and be careful about what shortcuts you take inexplaining your topic. If, however, you're giving your speech on carburetors to a group of automechanics, you don't need to give a lot of background information, because they already knowthe topic well.

6. Outline your speech. Write a list of the information you think should be included. Put the

list in logical order. If you're telling people how to do something, your outline might look a bitlike the bolded first sentences in the steps of this wikiHow article. Remember you wanteveryone listening to go away with at least one piece of information they didn't know.

7. Write an introduction. Your introduction should grab the audience's attention, perhaps

with an amusing anecdote or an interesting quote relevant to your topic. Then you shouldproceed to give your thesis statement, and then, if it's a long or complicated speech, provide

your audience with a roadmap.

8. Expand your outline to make the body of the speech. Go through each key point on

your outline and expand it.

9. Write your conclusion. A conclusion should quickly summarize the main points of the

speech. Ideally, your conclusion should refer back to the introduction in some way--this showsthe speech is cohesive and tells the audience that you have come full circle.

Page 6: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 6/28

10. Time your speech. If you have been given a time limit, practice your speech - out loud -

and time it. Cut out unnecessary material if your speech is too long. Unless your assignmentsays otherwise, don't worry if the speech is short of the time limit. The speech should be justlong enough to cover the material thoroughly.

• Your outline is meant to be a guide to help you organize your speech, but it's not set in

stone. As you fill in the details to actually write your speech, you may find that some points inyour outline are unnecessary or out of order. Feel free to add, delete, and rearrange points tomake sense.

• Be sure to edit and practice your speech to make sure everything goes smoothly whenyou deliver it to your audience.

• If you have trouble thinking of a topic for your speech, search the internet for topics.There are sites with lists of potential topics.

• Stick to the facts. Remember, you're not trying to persuade people to adopt an opinion.You're just informing  them about something.

• Don't speak too fast; give your audience a chance to take in the information you aregiving them.

• Speak loud enough for the audience to hear you

The Informative Speech

This section provides some easy, effective techniques with helpful hints and tips on writing an Informative speech provide interesting and useful information to increase the knowledge of your audience and might involve providinginformation about a person, and animal or an object.

What exactly is an Informative Speech? DefinitionLet's start be considering exactly what is an Informative speech. Definition: An Informative speech is written toprovide interesting and useful information to increase the knowledge of your audience. This might involve providininformation about a person, and animal or an object. It might centre around information regarding a process, a 'Howto' speech e.g. How to Surf the Internet. An type of Informative speech is focussed on describing an event like'Visiting an exhibition on Tutankhamen'. And finally Informative speeches about ideas or concepts like 'Aliens' or 'What happened to the Dinosaurs'. There are various techniques to help complete this type of task and we would al

recommend that you check out our free, fast and concise PowerPoint-style presentations on:  

Writing a Speech

Giving a Speech 

The Main Elements to Writing an Informative SpeechThe main elements to writing a successful and effective Informative speech are to convey your knowledge and you

Page 7: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 7/28

ability to explain the subject : 

Knowledge - Establish credibility by demonstrating expertise and knowledge of the subject - conveyinginformation,, presenting ideas, facts and statistics to adequately inform the audience about the subject

Key Points - Repeat all the Key points to ensure maximum knowledge retention Interest - Conveying the subject with enthusiasm and including unusual facts or anecdotes about the subjec

List of Informative Speech Topics

The Structure and Outline of an Informative SpeechWhat is a good structure, outline or good guidelines to writing an Informative speech?  

Your Opener - the opening, ice-breaker or attention grabber  Introduction - Tell them what the speech is about and what your main points will be Knowledge - Establish credibility by demonstrating expertise and knowledge of the subject - conveying

information, presenting ideas, facts and statistics to adequately inform the audience about the subject Confirmation - Confirm and repeat the key points Conclusion - Try to end with a memorable punch line or positive statement

Famous Examples of Informative SpeechesWhat are some famous examples of Informative speeches? 

American Declaration of Independence British Declaration Of War Neville Chamberlain, 1939

Informative Speech - Tips and Hints on Writing and Giving Speeches

There are more tips and hints on Writing and Giving Speeches in our Free PowerPoint style presentations.

Informative Speech

Definition and outline ofInformative speech  Free PowerPoint style presentations on speeches  Helpful Hints and Tips  Informing and Interesting speeches  Main Elements to Writing Informative speeches  Free, Fast and interesting information 

Gain confidence with the free presentation 

Opener, Introduction, Credibility, presenting facts, personal experiences, main arguments, Alternatives and

Conclusion

Informative Speeches

Easy, effective techniques with helpful hints & tips on informing Speeches. Outlines, Openers, Introductions,

Page 8: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 8/28

presenting facts, personal experiences, memories, closing comments and conclusion.

GUIDELINES FOR USING AUDIOVISUAL AIDS

PLANNING AUDIOVISUAL AIDS

Audiovisual aids--including overhead transparencies, flip charts, slides,

chalkboards (and occasionally film and video)--can supply added impact and

clarity to your, presentation. You can use A/-V to visually reinforce the

points made verbally in your presentation, to summarize the points you will

make, as well as those you have already made, and to visually clarify

important concepts and analogies. Audiovisual aids not only help your target

group follow your presentation, but they provide support to the presenter by

helping to keep, you on track.

The key to preparing effective audiovisual aids is to remember that they are

only aids. Their role is to add a visual dimension to the points that you made

orally. They cannot make those points for you; they can only reinforce them.

When you plan for audiovisual aids, follow these simple guidelines:

1. DO use them to summarize or show the sequence of content.

2. DO use them to visually interpret statistics by preparing charts and

graphs that illustrate what you will say.

3. DO use them to illustrate and reinforce your support statements.

4. DO use them to add visual clarity to your concepts and ideas.

5. DO use them to focus the attention of the target group on key points.

6. DON'T project copies of printed or written text. Instead, summarize

the information and show only the key points on the visual aids. If thegroup must read every word, use handouts for reading, either before

or after your presentation.

7. DON'T put yourself in the role of aiding your visuals: A presentation

is primarily an oral form of communication. If your only function is to

read the information on your overheads or slides, the target group will

become easily bored.

Page 9: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 9/28

8. DON'T use copies of your transparencies as handouts. They reinforce

what you are saying-- they don't say it for you. If you want your

target group to remember what you meant, you'll need to provide

written text in addition to any key point summaries or charts that you

need for your transparencies.9. DON'T use charts, graphs, or tables that contain more information

than you want to provide. The group will have difficulty focusing on

the point that you're tying to make.

CHOOSING APPROPRIATE MEDIA

You may wish to combine different types of media in a single presentation.

The media used most often are overhead projection transparencies, flip

charts, slides, blackboards, and handouts. You may occasionally use

videotapes and/or films.

Plan to practice using several different media in this course. You will find

that practicing will increase your comfort level, and therefore afford you

the flexibility of choosing the most appropriate medium. In the future, use

the following guidelines to help you choose the media best suited to your

presentation:

TYPES OF MEDIA AND THEIR USES

Overhead Transparencies

Used for displaying charts and graphs. High visibility for large groups.

Showing summaries, sequences, relationships, and process steps.

Flip Charts

Used for small groups (under 20). Ad lib charting and graphing. Showing

summaries and sequences. Listing, recording, outlining. Developing charts.

Instructions. Reinforcing group contributions.

Blackboards/WhiteboardsSpontaneous presentations. Listing/recording. When no other media is

available.

Slides

Displaying high quality artwork. Displaying a series of photos.

Demonstrating- a "hands-on" process. Creating a mood, or inspiring.

Page 10: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 10/28

Videotapes and Films

Demonstrating a process. Creating a mood, or inspiring. Presenting*

testimonials. Supplementing presentation ideas.

Written HandoutsProviding background information. "Sending home" your ideas. Reminder of

follow-up activities. Providing a record of presentation. Weighting a variety

of alternatives. Clarifying abstract or complex topics.

OVERHEAD TRANSPARENCIES

Overhead transparencies are inexpensive, easily prepared, and highly

effective visual aids for target groups of five or more people. With smaller

target groups, choose overhead transparencies as your primary A/V medium

if the target group prefers a somewhat formal mode of communication. Withsmall groups, overhead projection may tend to distance you from the target

group and limit personal interaction. If you are presenting to a relatively

informal group of less than five people, you may wish to use transparencies

only to display charts and graphs.

If costs very little to add color to your charts and graphs, using special

transparency markers and adhesive color film. If fact, some ordinary

markers will work perfectly we on transparency film.

You can use overhead projections in full light in any size room. There are

three simple guidelines for preparing effective transparencies: Visibility,

clarity, and simplicity

VISIBILITY 

Lettering should be neat and at least a quarter inch high. You should be able

to read the original at a distance of seven feet. Computers make very

effective, highly visible transparencies. If a computer is not available, use a

typewriter equipped with a special "Orator" typeface, or a special lettering

system designed for overhead transparencies, or "rub-off' lettering

(available at any art supply store) to provide readable lettering. If you must

hand-print, be sure that your printing is neat and even. Use all capital

letters, and write with a black, felt-tipped pen.

Page 11: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 11/28

CLARITY

Everything displayed on an overhead transparency should be instantly

recognized by the target group. Label all elements of your charts and

graphs. Use color or shading Ito emphasize and clarify key elements. Be sure

to title every transparency.

SIMPLICITY

Try to limit each original to one point or comparison. Use a maximum of six

or seven words per line. No more than six lines should be included in a single

transparency. Use a horizontal format whenever possible so that the

projected image will fit the shape of most standard screens.

FLIP CHARTS AND BOARDS 

Flip charts are often the ideal visual aid for small target groups. You can

prepare your chart pages in advance for maximum clarity and impact. Theflip chart can also be used to "ad lib," or give the appearance of spontaneity.

Prepared flip charts can be used to show pre-drawn charts, graphs, and

diagrams, or you can draw them "on the spot."

Chalkboards may be used in the same ways as flip charts. But the space they

provide is more limited and the medium is less permanent.

If possible, draw important charts on chalkboards before the presentation

and mask them with paper. Be sure to consider what information you will beable to erase during the presentation and what you will save for reference at

a later point.

The guidelines for preparing effective flip charts and boards include the

following:

1. Always title each page (or diagram).

2. Print clearly. For maximum visibility, letters should be at least one

inch high for each ten

feet of distance from viewers.

3. Use pictures, diagrams, and symbols whenever possible.

4. Skip a sheet between prepared flip pages to avoid "bleed through."

5. Leave room for "ad lib" flip pages (plan when you'll ad lib).

6. If you plan to ad lib, make sure you have at least two markers with

 you--one will always run out of ink.

Page 12: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 12/28

SLIDES, VIDEO, AND FILMS

Slides, videotapes, and films are included in the same category because! they

all require professional preparation. These media can have a very dramatic

effect if properly selected. However, unless you are using media that is

available through the company library or training center (or your publiclibrary), all three of these media types are expensive. Slides may

occasionally be in your budget, but very few people have the budget to

produce quality videotapes or, even more expensive, films to supplement a

presentation. If you can afford to use slides, video, or film in your

presentation, be sure the media you select reinforce and enhance what you

have to say, and that the media do not contradict your presentation points.

The guidelines for using slides, tapes, and films include the following:

1. Check the room layout and locate light switches and dimmers. Films

and slides must be shown in a darkened room.

2. Make sure the media are up to date, unless you intend to contrast old

and new.

3. Make sure that the images (and sound) are clear--free of static and

other interference.

4. Know how to use the equipment--or enlist the aid of a projection

assistant for your rehearsal and delivery.

5. Make sure that the media are compelling and interesting to the target

group.

6. If you are using slides, check to make sure that they are all in orderand facing in the right direction (not upside down).

7. Check your equipment. Make sure it can project the media you want to

use, in the manner that you want to use it. Verify that it is in good

working condition and that all cables, wires, plugs, etc., are in place

and ready to go.

8. Load and advance the tape or film to the starting point before the

meeting begins. Check sound levels and image clarity.

9. Plan what you will do if the equipment breaks down.

WRITTEN HANDOUTS

When providing written text, remember that you won't be there to explain

or remind the target group of what you mean. Written communications

should be as brief as possible, but they must also be meaningful to the

reader, whether they are read a week before your presentation or a year

after. They should always be:

Page 13: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 13/28

CLEAR

Written in language that the target group can easily understand and follow.

RELEVANT 

Do not simply provide data. Explain why the information should be read andwhat it means. Explanations should not repeat your entire presentation, but

should capsulate it.

SPECIFIC

Do not give your target group a mass of reading material that they do not need. Makesure that all documentation is absolutely necessary.

• AUDIOVISUAL AIDS Audiovisual aids are defined as any device used to aid in thecommunication of an idea. From this definition, virtually anything can be used as an aid,  providing it successfully com- municates the idea or information for which it is designed. In

this chapter, we not only use the term “Audiovisual Aids” but “Instructional Aids,”“Teaching Aids,” “Audio Aids,” and “Visual Aids” as well. An audiovisual product isany audiovisual (AV) item such as still   photography, motion picture, audio or video

tape, slide or filmstrip, that is prepared singly or  in combination to communicate information or to elicit a desired audience response. Even though early aids, such as maps and drawings,are still in use, advances in the audiovisual field have opened up new methods of presenting theseaids, such as videotapes and multimedia equip- ment which allow more professional andenter- taining presentations to be presented. Most of  the visual aids covered in this chapter 

can be grouped into the following categories—nonpro-   jected aids and projected aids. 

What is Ethics in Research & Why is It Important?

When most people think of ethics (or morals), they think of rules for 

distinguishing between right and wrong, such as the Golden Rule ("Do untoothers as you would have them do unto you"), a code of professionalconduct like the Hippocratic Oath ("First of all, do no harm"), a religiouscreed like the Ten Commandments ("Thou Shalt not kill..."), or a wiseaphorisms like the sayings of Confucius. This is the most common way of defining "ethics": ethics are norms for conduct that distinguish between or acceptable and unacceptable behavior.

Most people learn ethical norms at home, at school, in church, or in other social settings. Although most people acquire their sense of right and wrongduring childhood, moral development occurs throughout life and human

 beings pass through different stages of growth as they mature. Ethical normsare so ubiquitous that one might be tempted to regard them as simplecommonsense. On the other hand, if morality were nothing more thancommonsense, then why are there so many ethical disputes and issues in our society?

One plausible explanation of these disagreements is that all people recognizesome common ethical norms but different individuals interpret, apply, and

Page 14: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 14/28

 balance these norms in different ways in light of their own values and lifeexperiences.

Most societies also have legal rules that govern behavior, but ethical norms

tend to be broader and more informal than laws. Although most societies uselaws to enforce widely accepted moral standards and ethical and legal rulesuse similar concepts, it is important to remember that ethics and law are notthe same. An action may be legal but unethical or illegal but ethical. We canalso use ethical concepts and principles to criticize, evaluate, propose, or interpret laws. Indeed, in the last century, many social reformers urgedcitizens to disobey laws in order to protest what they regarded as immoral or unjust laws. Peaceful civil disobedience is an ethical way of expressing political viewpoints.

Another way of defining 'ethics' focuses on the disciplines that study

standards of conduct, such as philosophy, theology, law, psychology, or sociology. For example, a "medical ethicist" is someone who studies ethicalstandards in medicine. Finally, one may also define ethics as a method,

procedure, or perspective for deciding how to act and for analyzingcomplex problems and issues. For instance, in a complex issue like globalwarming, one may take an economic, ecological, political, or ethical perspective on the problem. While an economist might examine the cost and benefits of various policies related to global warming, an environmentalethicist could examine the ethical values and principles at stake in the issue.

Many different disciplines, institutions, and professions have norms for 

 behavior that suit their particular aims and goals. These norms also helpmembers of the discipline to coordinate their actions or activities and toestablish the public's trust of the discipline. For instance, ethical normsgovern conduct in medicine, law, engineering, and business. Ethical normsalso serve the aims or goals of research and apply to people who conductscientific research or other scholarly or creative activities, and there is aspecialized discipline, research ethics, which studies these norms.

There are several reasons why it is important to adhere to ethical norms inresearch. First, some of these norms promote the aims of research, such asknowledge, truth, and avoidance of error. For example, prohibitions againstfabricating, falsifying, or misrepresenting research data promote the truthand avoid error. Second, since research often involves a great deal of cooperation and coordination among many different people in differentdisciplines and institutions, many of these ethical standards promote thevalues that are essential to collaborative work , such as trust,accountability, mutual respect, and fairness. For example, many ethicalnorms in research, such as guidelines for authorship, copyright and patenting policies, data sharing policies, and confidentiality rules in peer review, are

Page 15: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 15/28

designed to protect intellectual property interests while encouragingcollaboration. Most researchers want to receive credit for their contributionsand do not want to have their ideas stolen or disclosed prematurely. Third,many of the ethical norms help to ensure that researchers can be held

accountable to the public. For instance, federal policies on researchmisconduct, on conflicts of interest, on the human subjects protections, andon animal care and use are necessary in order to make sure that researcherswho are funded by public money can be held accountable to the public.Fourth, ethical norms in research also help to build public support for research. People more likely to fund research project if they can trust thequality and integrity of research. Finally, many of the norms of research promote a variety of other important moral and social values, such associal responsibility, human rights, animal welfare, compliance with the law,and health and safety. Ethical lapses in research can significantly harm tohuman and animal subjects, students, and the public. For example, 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 guidelinesrelating to radiation or biological safety may jeopardize his health and safetyor the health and safety and staff and students.

Codes and Policies for Research Ethics

Given the importance of ethics for the conduct of research, it should come asno surprise that many different professional associations, governmentagencies, and universities have adopted specific codes, rules, and policiesrelating to research ethics. East Carolina University (ECU) has a variety of 

 policies pertaining to research, which you will review in this short course.Many government agencies, such as the National Institutes of Health (NIH),the National Science Foundation (NSF), the Food and Drug Administration(FDA), the Environmental Protection Agency (EPA), and the USDepartment of Agriculture (USDA) also have ethics rules for fundedresearchers, which we will also mention in this course. Other influentialresearch ethics policies include the Uniform Requirements (InternationalCommittee of Medical Journal Editors), the Chemist's Code of Conduct(American Chemical Society), Code of Ethics (American Society for Clinical Laboratory Science) Ethical Principles of Psychologists (AmericanPsychological Association), Statements on Ethics and Professional

Responsibility (American Anthropological Association), Statement onProfessional Ethics (American Association of University Professors), The Nuremberg Code and The Declaration of Helsinki (World MedicalAssociation). The following is a rough and general summary of some ethical principals that various codes address*:

Honesty

Page 16: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 16/28

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, granting agencies,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 thatmay 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 researchactivities, such as data collection, research design, and correspondence withagencies or journals.

Openness

Share data, results, ideas, tools, resources. Be open to criticism and newideas.

Respect for Intellectual Property

Honor patents, copyrights, and other forms of intellectual property. Do notuse unpublished data, methods, or results without permission. Give creditwhere credit is due. Give proper acknowledgement or credit for allcontributions 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.

Responsible Publication

Publish in order to advance research and scholarship, not to advance just

Page 17: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 17/28

your own career. Avoid wasteful and duplicative publication.

Responsible Mentoring

Help to educate, mentor, and advise students. Promote their welfare andallow 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 throughresearch, public education, and advocacy.

Non-Discrimination

Avoid discrimination against colleagues or students on the basis of sex, race,ethnicity, or other factors that are not related to their scientific competenceand integrity.

Competence

Maintain and improve your own professional competence and expertisethrough 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. Donot conduct unnecessary or poorly designed animal experiments.

Human Subjects Protection

When conducting research on human subjects, minimize harms and risksand maximize benefits; respect human dignity, privacy, and autonomy; takespecial precautions with vulnerable populations; and strive to distribute the benefits and burdens of research fairly.

* Adapted from Shamoo A and Resnik D. 2003. Responsible Conduct of 

Page 18: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 18/28

 Research (New York: Oxford University Press).

Ethical Decision Making in Research

Although codes, policies, and principals are very important and useful, likeany set of rules, they do not cover every situation that arises in research,they often conflict, and they require considerable interpretation. It istherefore important for researchers to learn how to interpret, assess, andapply various research rules and how to make decisions about how to act invarious situations. The vast majority of decisions that people must make inthe conduct of research involve the straightforward application of ethicalrules. For example, consider the following case,

Case 1:

The research protocol for a study of a drug on hypertension requires theadministration of the drug at different doses to 50 laboratory mice, withchemical and behavioral tests to determine toxic effects of the drug. Tomhas almost finished the experiment for Dr. Q. He has only 5 mice left to do.However, he really wants to finish his work in time to go to Florida onspring break with his friends, who are leaving tonight. He has injected thedrug in all 50 mice but has not completed all of the tests. He thereforedecides to extrapolate from the 45 completed results to produce the 5additional results.

Many different research ethics policies would hold that Tom has acted

unethically by fabricating data. If this study were sponsored by a federalagency, such as the NIH, his actions would constitute a form of research

misconduct, which the government defines as "fabrication, falsification, or  plagiarism" (or FFP). Actions that nearly all researchers classify as unethicalare viewed as misconduct. It is important to remember, however, thatmisconduct occurs only when researchers intend to deceive: honest errorsrelated to sloppiness, poor record keeping, miscalculations, bias, self-deception, and even negligence do not constitute misconduct. Also,reasonable disagreements about research methods, procedures, andinterpretations do not constitute research misconduct. Consider thefollowing case:

Case 2:

Dr. T has just discovered a mathematical error in a paper that has beenaccepted for publication in a journal. The error does not affect the overallresults of his research, but it is potentially misleading. The journal has justgone to press, so it is too late to catch the error before it appears in print. In

Page 19: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 19/28

order to avoid embarrassment, Dr. T decides to ignore the error.

Clearly, Dr. T's error is not a form of misconduct nor is his decision to takeno action to correct the error. Most researchers as well as many different

 policies and codes, including ECU's policies, would say that Dr. T shouldtell the journal about the error and consider publishing a correction or errata.Failing to publish a correction would be unethical because it would violatenorms relating to honesty and objectivity in research.

There are many other activities that the government does not define as"misconduct" but which are still regarded by most researchers as unethical.These are sometimes called "other deviations" from acceptable research practices. Some of these might 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 data from a paper that you arereviewing for a journal

• 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 adequateinformation to review your work 

• Conducting a review of the literature that fails to acknowledge thecontributions of other people in the field or relevant prior work 

• Stretching the truth on a grant application in order to convincereviewers that your project will make a significant contribution to thefield

• 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• Keeping original data at home or taking it with you when you move• Failing to maintain research data for a reasonable period of time• Making derogatory comments and personal attacks in your review of 

Page 20: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 20/28

author's submission• 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 thecommittee 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• Rejecting a manuscript for publication without even reading it• 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

Many of these actions would be regarded as highly unethical and somemight even be illegal. Most of these would also violate different professionalethics codes or institutional policies. However, they do not fall into thenarrow category of actions that the government classifies as researchmisconduct. Indeed, there has been considerable debate about the definitionof "research misconduct" and many researchers and policy makers are not

satisfied with the government's narrow definition that focuses on FFP.However, given the huge list of potential offenses that might fall into thecategory "other deviations," and the practical problems with defining and policing these other deviations, it is understandable why governmentofficials have chosen to limit their focus.

Finally, situations frequently arise in research in which different peopledisagree about the proper course of action and there is no broad consensusabout what should be done. In these situations, there may be good argumentson both sides of the issue and different ethical principles may conflict. Thesesituations create difficult decisions for research known as ethical dilemmas.Consider the following case:

Case 3:

Dr. S is a post-doctoral student in computer science working on some programs that eliminate computer viruses. Two other graduate students areworking with her on the project, which is directed by a senior researcher. Dr.S has just received an email from a research team that is working on a

Page 21: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 21/28

similar project at another university. The other team would like Dr. S toshare some preliminary data and designs related to the project. Dr. S has notapplied for a patent on this research, although she has discussed possible patents with her supervisor.

Dr. S faces a difficult choice. On the one hand, the ethical norm of opennessobliges her to share data and designs with the other team. If both teams work together, they may both benefit and help each other as well as the professionand society. On the other hand, if she shares data and designs with the other team, then they may not give her (or her team) proper credit and they maywin they may win the race to be the first team to be credited with thediscovery. By sharing information, Dr. S could jeopardize potential patentsand other intellectual property interests. It seems that there are goodarguments on both sides of this issue and Dr. S needs to take some time tothink about what she should do. What are some steps that researchers, such

as Dr. S, can take to "solve" ethical dilemmas in research? The following isa series of questions that can help people resolve ethical dilemmas:

What is the problem or issue?

It is always important to get a clear statement of the problem. In this case,the issue is whether to share information with the other research team.

What is the relevant information?

Many bad decisions are made as a result of poor information. To know what

to do, Dr. S needs to have more information concerning such matters asuniversity policies that may apply to this situation, the team's intellectual property interests, the possibility of negotiating some kind of agreementwith the other team, whether the other team also has some information it iswilling to share, etc.

What are the different options?

It is important to spell out the various options as well. People may fail to seedifferent options due a limited imagination, bias, ignorance, or fear. In thiscase, there may be another choice besides 'share' or 'don't share,' such as

'negotiation.'

How do ethical codes or policies as well as legal rules apply to these

different options?

The university may have its own policies on intellectual property or datamanagement that applies to this case. Broader ethical rules, such as opennessand respect for intellectual property, may also apply to this case. Relevant

Page 22: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 22/28

laws that would apply to this case might include laws relating to patents,such as laws on prior disclosure and preliminary patents.

Are there any people who can offer ethical advice?

It may be useful to seek advice from a colleague, a senior researcher, your department chair, or anyone else you can trust. In the case, Dr. S might wantto talk to her supervisor before making a decision.

After answering these questions, a person facing an ethical dilemma maydecide to ask more questions, gather more information, explore differentoptions, consider other ethical rules, and so on. However, at some point heor she will have to make a decision and then take action. Ideally, a personwho makes a decision in an ethical dilemma should be able to justify his or her decision to himself or herself, as well as colleagues, administrators, and

other people who might be affected by the decision. He or she should beable to articulate reasons for his or her conduct and should be able toexplain how he or she arrived at his or her decision. He or she shouldtherefore examine carefully the different options in light of the informationand problems raised. The following are some questions one might consider at arriving at a final decision.

• Which choice could stand up to further publicity and scrutiny?• Which choice could you not live with or be unable to defend?• Think of the wisest person you know. What would he or she do in

this situation?•

Which choice would be the most just, fair, or responsible?• Which choice will probably have the best overall consequences?

After considering all of these questions, one still might find it difficult todecide what to do. If this is the case, then it may be appropriate to consider others ways of making the decision, such as going with one's gut feeling,seeking guidance through prayer or meditation, or even flipping a coin.Endorsing these methods in this context need not imply that ethicaldecisions are irrational or that these other methods should be used only as alast resort. The main point is that human reasoning plays a pivotal role inethical decision-making but there are limits to its ability to solve all ethical

dilemmas in a finite amount of time.

Promoting Ethical Conduct in Science

Many of you may be wondering why you are being required to have trainingin research ethics. You may believe that you are highly ethical and know thedifference between right and wrong. You would never fabricate or falsifydata or plagiarize. Indeed, you also may believe that most of your colleagues

Page 23: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 23/28

are highly ethical and that there is no ethics problem in research.

If you feel this way, relax. No one is accusing you of acting unethically.Indeed, the best evidence we have shows that misconduct is a very rare

occurrence in research. There have been 200 confirmed cases of misconductin federally funded research in the last 200 years, which works out to a rateof 1in 10,000 (or 0.01%). Of course, this estimate may be extremely low dueto various biases related to under-reporting. Several studies have surveyedresearchers to ask them whether they have observed misconduct or knowabout a case of suspected misconduct. There is a great deal of variation inthese results, ranging from 3% to 12% who say they have observedmisconduct or know about a case of suspected misconduct. These results,though much higher than 0.01%, still do not support the hypothesis that iscommon in science, especially when you consider these results in relation tothe larger body of research. If 5-10% of drivers have witnessed a fatal traffic

accident, this does not prove that fatal traffic accidents are common, if youconsider this in light of total numbers of hours that people drive.

Clearly, it would be useful to have more data on this topic, but so far there isno evidence that science has become ethically corrupt. However, even if misconduct is rare, it can have a tremendous impact on research. Consider an analogy with crime: it does not take many murders or rapes in a town toerode the community's sense of trust and increase the community's fear and paranoia. The same thing is true with the most serious crimes in science, i.e.fabrication, falsification, and plagiarism. However, most of the crimescommitted in science probably are not tantamount to murder or rape. Most

of the crimes in science, like most of the crimes in society, are probably theless serious but ethically significant misdeeds that are classified by thegovernment as 'deviations.' Moreover, there are many situations in researchthat are genuine ethical dilemmas.

Will training and education in research ethics help reduce the rate of misconduct in science? It is too early to tell. The answer to this questiondepends on how one understands the causes of misconduct. There are twomain theories about why researchers commit misconduct. According to the"bad apple" theory, most scientists are highly ethical. Only researchers whoare morally corrupt, economically desperate, or psychologically disturbedcommit misconduct. Moreover, only a fool would commit misconduct because science's peer review system and self-correcting mechanisms willeventually catch those who try to cheat the system. In any case, a course inresearch ethics will have little impact on "bad apples," one might argue.According to the "stressful" or "imperfect" environment theory, misconductoccurs because various institutional pressures, incentives, and constraintsencourage people to commit misconduct. Often cited here pressures to publish or obtain grants or contracts, career ambitions, the pursuit of profit

Page 24: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 24/28

or fame, poor supervision of students and trainees, and poor oversight of researchers. Moreover, defenders of the stressful environment theory pointout that science's peer review system is far from perfect and that it isrelatively easy to cheat the system. Erroneous or fraudulent research often

enters the public record without being detected for years. To the extent thatresearch environment is an important factor in misconduct, a course inresearch ethics is likely to help people to get a better understanding of thesestresses, sensitize people to the various ethical concerns, and improve ethical judgment and decision making.

Misconduct probably results from environmental and individual causes, i.e.when people who are morally weak, ignorant, or insensitive are placed instressful or imperfect environments. In any case, a course in research ethicscould still be useful in helping to prevent deviations from norms even if itdoes not prevent misconduct. Many of the deviations that occur in research

may occur because researchers simple do not know or have never thoughtseriously about some of the ethical norms of research. For example, someunethical authorship practices probably reflect years of tradition in theresearch community that have not been questioned seriously until recently.If the director of a lab is named as an author on every paper that comes fromhis lab, even if he does not make a significant contribution, what could bewrong with that? That's just the way it's done, one might argue. If a drugcompany uses ghostwriters to write papers "authored" by its physician-employees, what's wrong about this practice? Ghost writers help write allsorts of books these days, so what's wrong with using ghostwriters inresearch?

Another example where there may be some ignorance or at least somemistaken traditions is the problem of conflicts of interest in research. Aresearcher may think that a "normal" or "traditional" financial relationship,such as accepting stock or a consulting fee from a drug company thatsponsors her research, raises no serious ethical issues. Or perhaps auniversity administrator sees no ethical problem in taking a large gift withstrings attached from a pharmaceutical company. Maybe a physician thinksthat it is perfectly appropriate to receive a $300 finders fee for referring patients into a clinical trial.

If "deviations" from ethical conduct occur in research as a result of ignorance or a failure to reflect critically on problematic traditions, then acourse in research ethics may help reduce the rate of serious deviations byimproving the researcher's understanding of ethics and by sensitizing him or her to the issues.

Finally, training in research ethics should be able to help researchers grapplewith ethical dilemmas in that it introduces researchers to some important

Page 25: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 25/28

concepts, tools, principles, and methods that can be useful in resolving thesedilemmas. In fact, the issues have become so important that the NIH hasdecided that all intramural researchers should receive training in researchethics. We will try to make the process as painless and interesting as

 possible.

Ethics in Research

We are going through a time of profound change in our understanding of the ethics of applied social research. From the time immediately after World War II until the early1990s, there was a gradually developing consensus about the key ethical principles thatshould underlie the research endeavor. Two marker events stand out (among manyothers) as symbolic of this consensus. The Nuremberg War Crimes Trial following WorldWar II brought to public view the ways German scientists had used captive human

subjects as subjects in oftentimes gruesome experiments. In the 1950s and 1960s, theTuskegee Syphilis Study involved the withholding of known effective treatment for syphilis from African-American participants who were infected. Events like these forcedthe reexamination of ethical standards and the gradual development of a consensus that potential human subjects needed to be protected from being used as 'guinea pigs' inscientific research.

By the 1990s, the dynamics of the situation changed. Cancer patients and persons withAIDS fought publicly with the medical research establishment about the long timeneeded to get approval for and complete research into potential cures for fatal diseases. Inmany cases, it is the ethical assumptions of the previous thirty years that drive this 'go-

slow' mentality. After all, we would rather risk denying treatment for a while until weachieve enough confidence in a treatment, rather than run the risk of harming innocent people (as in the Nuremberg and Tuskegee events). But now, those who were threatenedwith fatal illness were saying to the research establishment that they wanted to be testsubjects, even under experimental conditions of considerable risk. You had several veryvocal and articulate patient groups who wanted to be experimented on coming up againstan ethical review system that was designed to protect them from being experimented on.

Although the last few years in the ethics of research have been tumultuous ones, it is beginning to appear that a new consensus is evolving that involves the stakeholder groupsmost affected by a problem participating more actively in the formulation of guidelines

for research. While it's not entirely clear, at present, what the new consensus will be, it isalmost certain that it will not fall at either extreme: protecting against humanexperimentation at all costs vs. allowing anyone who is willing to be experimented on.

Ethical Issues

There are a number of key phrases that describe the system of ethical protections that thecontemporary social and medical research establishment have created to try to protect

Page 26: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 26/28

 better the rights of their research participants. The principle of voluntary participation

requires that people not be coerced into participating in research. This is especiallyrelevant where researchers had previously relied on 'captive audiences' for their subjects-- prisons, universities, and places like that. Closely related to the notion of voluntary participation is the requirement of informed consent . Essentially, this means that

 prospective research participants must be fully informed about the procedures and risksinvolved in research and must give their consent to participate. Ethical standards alsorequire that researchers not put participants in a situation where they might be at risk of 

harm as a result of their participation. Harm can be defined as both physical and psychological. There are two standards that are applied in order to help protect the privacy of research participants. Almost all research guarantees the participantsconfidentiality -- they are assured that identifying information will not be made availableto anyone who is not directly involved in the study. The stricter standard is the principleof anonymity which essentially means that the participant will remain anonymousthroughout the study -- even to the researchers themselves. Clearly, the anonymitystandard is a stronger guarantee of privacy, but it is sometimes difficult to accomplish,

especially in situations where participants have to be measured at multiple time points(e.g., a pre-post study). Increasingly, researchers have had to deal with the ethical issue of a person's right to service. Good research practice often requires the use of a no-treatmentcontrol group -- a group of participants who do not get the treatment or program that is being studied. But when that treatment or program may have beneficial effects, personsassigned to the no-treatment control may feel their rights to equal access to services are being curtailed.

Even when clear ethical standards and principles exist, there will be times when the needto do accurate research runs up against the rights of potential participants. No set of standards can possibly anticipate every ethical circumstance. Furthermore, there needs to

 be a procedure that assures that researchers will consider all relevant ethical issues informulating research plans. To address such needs most institutions and organizationshave formulated an Institutional Review Board (IRB), a panel of persons who reviewsgrant proposals with respect to ethical implications and decides whether additionalactions need to be taken to assure the safety and rights of participants. By reviewing proposals for research, IRBs also help to protect both the organization and the researcher against potential legal implications of neglecting to address important ethical issues of  participants.

Ethics in Research

We are going through a time of profound change in our understanding of the ethics of applied social research. From the time immediately after World War II until the early1990s, there was a gradually developing consensus about the key ethical principles thatshould underlie the research endeavor. Two marker events stand out (among manyothers) as symbolic of this consensus. The Nuremberg War Crimes Trial following WorldWar II brought to public view the ways German scientists had used captive humansubjects as subjects in oftentimes gruesome experiments. In the 1950s and 1960s, theTuskegee Syphilis Study involved the withholding of known effective treatment for 

Page 27: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 27/28

syphilis from African-American participants who were infected. Events like these forcedthe reexamination of ethical standards and the gradual development of a consensus that potential human subjects needed to be protected from being used as 'guinea pigs' inscientific research.

By the 1990s, the dynamics of the situation changed. Cancer patients and persons withAIDS fought publicly with the medical research establishment about the long timeneeded to get approval for and complete research into potential cures for fatal diseases. Inmany cases, it is the ethical assumptions of the previous thirty years that drive this 'go-slow' mentality. After all, we would rather risk denying treatment for a while until weachieve enough confidence in a treatment, rather than run the risk of harming innocent people (as in the Nuremberg and Tuskegee events). But now, those who were threatenedwith fatal illness were saying to the research establishment that they wanted to be testsubjects, even under experimental conditions of considerable risk. You had several veryvocal and articulate patient groups who wanted to be experimented on coming up againstan ethical review system that was designed to protect them from being experimented on.

Although the last few years in the ethics of research have been tumultuous ones, it is beginning to appear that a new consensus is evolving that involves the stakeholder groupsmost affected by a problem participating more actively in the formulation of guidelinesfor research. While it's not entirely clear, at present, what the new consensus will be, it isalmost certain that it will not fall at either extreme: protecting against humanexperimentation at all costs vs. allowing anyone who is willing to be experimented on.

Ethical Issues

There are a number of key phrases that describe the system of ethical protections that the

contemporary social and medical research establishment have created to try to protect better the rights of their research participants. The principle of voluntary participation

requires that people not be coerced into participating in research. This is especiallyrelevant where researchers had previously relied on 'captive audiences' for their subjects-- prisons, universities, and places like that. Closely related to the notion of voluntary participation is the requirement of informed consent . Essentially, this means that prospective research participants must be fully informed about the procedures and risksinvolved in research and must give their consent to participate. Ethical standards alsorequire that researchers not put participants in a situation where they might be at risk of 

harm as a result of their participation. Harm can be defined as both physical and psychological. There are two standards that are applied in order to help protect the

 privacy of research participants. Almost all research guarantees the participantsconfidentiality -- they are assured that identifying information will not be made availableto anyone who is not directly involved in the study. The stricter standard is the principleof anonymity which essentially means that the participant will remain anonymousthroughout the study -- even to the researchers themselves. Clearly, the anonymitystandard is a stronger guarantee of privacy, but it is sometimes difficult to accomplish,especially in situations where participants have to be measured at multiple time points(e.g., a pre-post study). Increasingly, researchers have had to deal with the ethical issue of 

Page 28: Recommended Reading(2)

8/8/2019 Recommended Reading(2)

http://slidepdf.com/reader/full/recommended-reading2 28/28

a person's right to service. Good research practice often requires the use of a no-treatmentcontrol group -- a group of participants who do not get the treatment or program that is being studied. But when that treatment or program may have beneficial effects, personsassigned to the no-treatment control may feel their rights to equal access to services are being curtailed.

Even when clear ethical standards and principles exist, there will be times when the needto do accurate research runs up against the rights of potential participants. No set of standards can possibly anticipate every ethical circumstance. Furthermore, there needs to be a procedure that assures that researchers will consider all relevant ethical issues informulating research plans. To address such needs most institutions and organizationshave formulated an Institutional Review Board (IRB), a panel of persons who reviewsgrant proposals with respect to ethical implications and decides whether additionalactions need to be taken to assure the safety and rights of participants. By reviewing proposals for research, IRBs also help to protect both the organization and the researcher against potential legal implications of neglecting to address important ethical issues of 

 participants.