EthicalIssuesinSocialScienceResearchinDeveloping

Countries:UsefulorSymbolic

JuliusA.Mollet
FlindersUniversity

Introduction

Socialscienceresearchhaslongbeenconcernedwithethicalissues.
Socialscienceinvestigatescomplexissueswhichinvolvecultural,
legal,economic,andpoliticalphenomena(FreedTaylor,1994).This
complexitymeansthatsocialscienceresearchmustconcernitself
withmoralintegritytoensurethatresearchprocessandfindings
aretrustworthyandvalid(Biber,2005).Researchinvolvinghuman
subjects(orparticipants,inthecurrentterminology)isrequiredto
showrespectforethicalissuesbyobtainingapprovalfromthe
institutionsHumanResearchEthicsCommittee(HREC)priorto
commencement.

Universitypoliciesonresearchethicsstatethatallresearchinvolving
humansubjectsmustcomplywiththe2007NationalStatementon
EthicalConductinHumanResearch 1 .Thispolicyappliestoall
researchers,includinginternationalPhDstudentsenrolledat
universitiesindevelopedcountriesbutdoingresearchindeveloping
countries(oftentheirowncountryoforigin).Therehasbeen
concern,however,thattheethicalprinciplescreatedindeveloped
countriesmightnotbeuniversallyappropriatetointernationalPhD
studentsfromdevelopingcountries.

Indevelopingcountries,wheresocietiesareoftenpluralistic,cultural
backgroundandsecuritybecomeimportantissuesforsocial
researchersinconductingfieldwork.Thisstateofaffairscanleadto
theresearchersfindingitdifficulttogetlettersofpermissionfrom
thelocalauthorities,andmayleadtodelaysinconductingresearch.

http://www.nhmrc.gov.au/publications/synopses/e72syn.htm
1

ISBN9781740762250

http://www.austneth.net/transmission_proceedings

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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Inmanycases,itseemsthataninternationalPhDstudentmayhave
difficultyinapplyingfortherequiredethicalbehaviourapprovalto
collectdata(byintervieworquestionnaire)duetothefactthatthere
isaredifferencesintheenvironmentforconductingresearch
betweendevelopedanddevelopingcountries.Thisconcernarises
particularlyinrelationtoresearchtopicsrelatingtosensitiveissuesof
cultureorsecurityindevelopingcountries.Thisproblemmayaffect
thecompletionofresearchprojectsbyinternationalPhDstudents.
Thispaperwillexaminethecriticalissuesofethicalsocialresearchin
developingcountries,basedonaresearchersexperiencein
conductingfieldworkinWestPapua,Indonesia.

TheNatureofEthicsasFundamentalBasisforSocialSciences
Research

Ethicalissuesarebecomingacrucialelementinsocialresearch.Itis
compulsoryforasocialresearcherconductingresearchinvolving
humanstoapplyforethicalclearance.Theethicalprinciplessetout
intheNationalStatementstatethatallresearchinvolvinghuman
subjectsshouldbeconductedinaccordancewiththefollowing:
peoplemustberespected,benefitsmustbemaximisedandharms
minimised,harmshallnotbedone,andsubjectsinstudiesmustbe
treatedequally(SBRECFlindersUniversity,2007).Clearly,ethical
behaviourinsocialscienceresearchshouldberequiredofall
researchers,includinginternationalstudentsconductingresearchat
universitiesindevelopedcountriessuchasAustralia.

InAustralia,theimplementationofethicalstandardsshouldbebased
onthe2007NationalStatementonEthicalConductinHuman
ResearchTheprincipleofvoluntaryparticipationrequiresthatpeople
notbecoercedintoparticipatinginresearch.Theprocessof
gatheringinformationfromrespondentsrequiresinformedconsent,
whichmeansthatprospectiveresearchparticipantsmustbefully
informedabouttheproceduresandrisksinvolvedinresearchand
mustgivetheirconsenttoparticipate.Furthermore,ethical
standardsalsorequirethatresearchersnotputparticipantsina
potentiallyharmfulsituation.Harmcanbeeitherphysicalor
psychologicalandmayrefertoharmcausedbytheactualconductof

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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research(suchasmentaldistress)orharmarisingfromthe
publicationofresearchoutcomes.Forthosereasons,Australias
ethicalstandardsputconsiderableemphasisonprotectingthe
privacyofresearchparticipants.Almostallresearchguaranteesthe
participantsconfidentiality.Thismeanstheyareassuredidentifying
informationwillnotbemadeavailabletoanyonewhoisnotdirectly
involvedinthestudy.

Theeffectiveadministrationoftheseethicalrulesmeansthatthere
needstobeaprocedurewhichensuresresearcherswillconsiderall
relevantethicalissues,includingguaranteeingrespondentsprivacy,
whenformulatingresearchplan.Toaddresssuchneeds,most
institutionsandorganisationshaveestablishedoneormoreHuman
ResearchEthicsCommittees(HREC),apanelthatreviewsresearch
proposalswithrespecttoethicalimplications,anddecideswhether
additionalactionsneedtobetakentoensurethesafetyandrightsof
participants.Inpractice,theEthicsCommitteeatanumberof
universitieshasseenitstaskasincludinghelpingtoprotectboththe
organisationandtheresearcheragainstpotentiallitigationwith
respecttofailuretoaddressimportantethicalconsiderationson
behalfofparticipants.TheEthicsCommitteeconsistsofmembers
fromseveraldifferentdisciplinarybackgroundsandisformally
independentofuniversityandgovernmentinfluence.Ethics
Committeemembersshouldbeautonomousandmusthaveno
possibleconflictofinterestconcerningtheproposalstheyare
judging.Toensureprobity,thecommitteeisregularlymonitoredand
isaccountableforitsdecisions.

DebateofEthicalIssuesinSocialResearch

Severaldifficultissueshavearisenintheapplicationofethical
principlestosocialresearch.Thefirstissueisassociatedwithcovert
research.Itisstillquestionablewhetherornotitisethicalforsocial
scienceresearchscholarstocovertresearch.AccordingtoBiber
(2005,p.91),covertresearchisappropriatewhereitisnecessaryto
achieveabetterunderstandingofcertainsocialphenomena.An
exampleofthiskindofresearchistheinvestigationofthesociallife
ofdrugdealersanddrugusers.AspointedoutbyWilliams(1996),it

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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isimpossibletoaskforinformedconsentfrommembersofsuch
communities,becausetheydonotwanttobeinvestigated.Ithasalso
beenarguedthattheveryactofseekinginformedconsentfromsome
researchparticipantcanleadtoachangeintheattitudeofthe
researchparticipanttowardsgivinginformationtotheresearchers.
Otherauthorities,however,havearguedagainstthecovertresearch,
statingthatitisunnecessaryinsocialresearch.Homan(1991)argues,
moreover,thatcovertresearchmayhaveanegativeimpactforthe
researchers.Hebelievesthataslongastherespondentstrustthe
researcher,thereisnoneedtoconductcovertresearch.Homan
claimsthatcovertresearchislikelytoinvadetheprivacyofthe
respondenttoanunacceptabledegreeandhearguesthatusing
covertresearchmakessocialscienceresearchnodifferentfrom
journalism.

Asecondissuerelatestotheroleofresearcherasparticipant
observer.Themainconcernhereisthattheresearchershouldbe
neutralinordertomaintaintheiraimofobjectivityintheirresearch
project(Gans,1982).Inresearchexperiencewheretheresearcheralso
actsasaparticipant,heorshemustnormallydevelopandmaintain
closerelationshipswithothercommunitymembers.Some
ethnographershavearguedthatacloserrelationshipbetweenthe
researchersandparticipantsofthiskindcanleadtoconflictand
deception(Biber2005,p.93).Researchersmayfinditdifficulttomake
objectivejudgmentsintheirresearchiftheyarepersonallyconnected
withtheirrespondents.

Athirdissueconcernsthenatureofethicalregulation.With
universitiessettingupEthicsCommitteestoreviewresearch
proposalsthroughaprocessofethicalreview,andwithacademics
underpressuretoobtainforresearchgrants(Biber,2005),researchers
haveraisedconcernsthatincreasedethicalreviewiscircumscribing
theirabilitytomaketheirowndecisionsaboutethicalissuesrelating
totheirspecificprojects.Ethicalregulationhasproducedaformulaic
approachtoresearchethics,inwhichresearchersmayfeel
constrainedtoticktherightboxes,ratherthantothinkthrough
ethicalprinciplesthemselves.Thereisalsoaproblemthatbasic
ethicalprinciplesmayleadtodifferentandconflictingprescriptions.
(SocialResearchAssociation,2003,p.12).Haggerty(2004)expresses

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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herpointbyusingtermethicscreeptocharacterizethechangein
socialscienceresearchthathastakenplaceinthenameofethics.

Afurtherissuerelatestovulnerablegroups.Inmostethical
clearanceprocesses,thesocialscienceresearchcategoryvulnerable
groupreferstochildrenandyoungpeople,peoplewithmental
healthproblemsandpeoplewithlearningdisabilities.Inconsidering
applicationsforethicsclearance,EthicsCommitteesaskforspecial
considerationtobegiventovulnerablegroups,becausetheyhave
difficultiesinprovidinginitialandcontinuedinformedconsentto
conductresearch.Thisconcernhasledtoaninsistenceonmore
complicatedprocedurestoprotecttheinterestsofsuchgroups.
Moreover,Somesocialresearchers,however,havearguedstrongly
againstdefiningsuchgroupsasvulnerableandincompetentonthe
groundsthatitmakesresearchersmorelikelytoexcludefrom
researchandthustodeprivethemofthebenefitsofresearch.These
researchersinsistthatitisunethicaltoexcludepeoplefromresearch
onthisbasis.Researchershaveargued,particularlyintheareaof
childresearch,thatinterpretinggroupsasvulnerablehashada
negativeimpactonthefocusofresearchandthewaysinwhichitis
conducted.Ithasbeenarguedthattheonusisonresearcherstofind
waysofobtainingconsentfromindividualsthatismeaningfulto
them,regardlessoftheirabilities.

Thefinalissuerelatestoinformedconsent.Increased
bureaucratisationofsocialscienceresearchresultingfromthebroad
changestakingplaceinresearchgovernanceandregulationmeans
thatsocialresearchersincreasinglyhavetohavetheirresearch
projectsassessedbyEthicsCommittees.Oneoftheresultsofthis
increasedbureaucratisationhasbeentheexpectationthatresearchers
willprovedthattheyhaveobtainedinformedconsentbyproviding
formssignedbyresearchparticipants.ThemainreasonsthatEthics
Committeesinsistoninformedconsentarei)toensurethat
participantsunderstandwhatparticipationwillinvolveandthatthey
knowtheirrightsinrelationtoparticipationandissuesof
confidentialityandanonymity,ii)toprotectresearchersfromlater
accusationsbystudyparticipants.Somesocialresearchersarguethat
theuseofinformedconsentisnotappropriateinalltypesofresearch
(forinstanceinresearchinvolvingpublicfigures).Thisconcernis

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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thatrespectforconfidentialityandanonymitymaycontributeto
secrecyinmattersofpublicinterest.Theobjectionstosigned
consentformshavebeenraisedparticularlybyresearchersworkingin
theareaofcriminology.

SpecialAspectsofInternationalPhDStudentfromDeveloping
CountriesDealingwithEthicalIssues

Anincreasingnumberofinternationalstudentsfromdeveloping
countriesnowundertakepostgraduateprogramsinsocialsciences
(i.e.Masterbyresearchordoctoralprogram)inAustralia.Aspartof
theformalprocedureforsocialscienceresearch,international
studentsusinghumansubjectsintheirresearchareobliged,like
otherresearchers,toapplyforethicalclearancefromtheiruniversity
priortodatacollectionsuchasinterviewsoradministering
questionnaires.Thereareseveralissuesassociatedwithinternational
studentassociatedwithethicalissuesintheirresearch.

First,inmanydevelopingcountriessuchasIndonesia,thereareno
comparableEthicCommitteesasareestablishedindeveloped
countries.Therefore,formanyinternationalstudentsthisformal
managementprocessforethicalissuescomesasanunexpected
challenge.Atthesametime,EthicsCommitteesareoftenunfamiliar
withthesocialandpoliticalcircumstancesindevelopingcountries.
Together,thesefactorsmaycontributetointernationalPhDstudents
difficultyinobtainingclearancefromtheEthicsCommittee.Thiscan
leadtodelaysintheirresearchprogram.Therehavebeencasesin
whichEthicsCommitteeswerereluctanttopermitinternational
studentstoconductfieldworkintheconflictareassuchasWest
Papua(Indonesia),evenifthestudenthadpreviouslyconducted
researchtherewillaffiliatedtoalocaluniversity.Insuchcases,the
EthicsCommitteesometimesnotonlypaysattentiontoethicalissues
andtothelitigationrisktotheuniversity,butalsoconsidersthatits
dutyofcaretothestudentmaypreventitfromgivingethical
clearance.

Second,researchindevelopingcountriesneedstobeculturally
sensitive.Thisissueisnormallyconsideredtobelessimportantin

ETHICALISSUESINSOCIALSCIENCERESEARCHINDEVELOPINGCOUNTRIES:
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developedcountries,exceptindealingswithindigenouspeoples.The
researchprocedureappliedindevelopedcountriesmaynot
appropriateonethicalgroundindevelopingcountries.Cultural
sensitivelyneedtobetakenintoconsiderationissuchinstances.Itis
notnecessarilyamatterofaddinglayersofregulationtoachievethe
necessarysensitivity.Forexample,inWestPapuasomelocalpeople
arereluctanttosignconsentformsbecauseintheirculturesigninga
formalpaperisimpoliteisalegalactwhichrunscountertothe
normsofpolitenessthattheyexpectinresearchencounters.Third,
securityhasbecomeacrucialissueforinternationalstudents
collectingdatainconflictareasindevelopingcountries.Asnoted
earlier,ethicalstandardsrequirethataparticipantbeabletoanswer
questionsfreelyduringtheinterview.Particularlyinconflictareas,
duetosecurityconcerns,itislikelythattheresearcherwillbe
companiedbypoliceorthearmywhenheorshetravelstoobtain
data.InthecaseofWestPapua,beingaccompaniedisunavoidable:
theresearcherhastogetaletterofpermissionfromthelocal
authoritysuchaslocalgovernment,policedepartmentandmilitary
priortoconductinginterviewinconflictareasandthoseauthorities
willcommonlyinsistonsendingapoliceormilitaryescort,partlyto
provideprotection,partlytomonitorbehaviour.Thisrequirement
presentsadilemmaforresearchersconductingfieldworkinsuch
conflictareas.Ontheonehand,theresearcherhastobe
accompaniedbyrepresentativesofthesecurityforcestoobtainan
interview.Ontheotherhand,theresearcherhasreasontofearthat
participantswillnotspeakopenlyinthepresenceofpoliceormilitary
personnel.ThestandardformulaeusedbyAustralianEthics
Committeesdonotofferaclearsolutiontothisproblem.Inaddition,
asmentionedabove,itiscompulsoryforthesocialresearcherto
conductfieldworkindevelopingcountriestoobtainaformalletterof
approvalfromthelocalauthority.InWestPapua,theprocessof
obtainingwrittenlettersfromthelocalgovernmentisoftenlengthy
andfrustrating,duetounprofessionaladministrationpracticesbythe
localauthorityinWestPapua.

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Conclusion

Thisarticleprovidesaninsightintothedebateconcerningethical
issuesinsocialscienceresearch.Althoughtheofficialrequirementsat
Australianuniversitiesareclear,itisstilldebatablewhetherethical
proceduresshouldbeapplieduniversally.Debatewithinsocial
sciencerelatingtoissuessuchascovertresearch,regulation,
vulnerablegroup,letterofconsenthasbecomeimportant.Thereare
numerousconcernsforsocialscienceresearcherswhenconducting
fieldworkindevelopingcountries.Theseincludethelackof
experienceindealingwithbureaucratizedethicsprocedures,the
needforculturalsensitivity,securityconcernsandtheconsequences
ofadministrativeandpoliticalpracticesindevelopingcountries.
Therefore,carefulconsiderationisneededintheapplicationof
ethicalapprovalwhichoftencannotbeapplieduniversallyin
developingcountries.Complexethicalissuesinsuchcountriesneed
carefuljustificationbysocialscienceresearchers.

References

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FreedTaylor,M.(1994),EthicalconsiderationsinEuropeancross
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Haggerty,K.D.(Winter2004),EthicsCreep:GoverningSocial
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Homan,R.(1991)TheEthicsofSocialResearch,London,Longman.

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