Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
Definition of Philosophy
Branches of Philosophy
Approaches to research
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Why philosophy?
Philosophical school of thoughts
Definition of Philosophy
Quite literally, the term "philosophy" means, "love of
wisdom." In a broad sense, philosophy is an activity
people undertake when they seek to understand
fundamental truths about themselves, the world in which
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they live, and their relationships to the world and to each

other, (Florida State University). Philosophical questions
can’t be straightforwardly investigated through purely
empirical means.
 Branches
Metaphysics
Metaphysics is the study of the nature of reality, of
what exists in the world.
Ø Is there a God? VTU CDOE, Mysuru

Ø What is truth?
Ø What is a person? What makes a person the same through time?
Ø Is the world strictly composed of matter?
Ø Do people have minds? If so, how is the mind related to the body?
Ø Do people have free wills?
Ø What is it for one event to cause another?
Epistemology
Epistemology is the study of knowledge.
What is knowledge?
Do we know anything at all?
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How do we know what we know?

Can we be justified in claiming to know certain things?
Ethics
The study of ethics often concerns what we ought to
do and what it would be best to do. Questions about
what is good and right arise.
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What is good? What makes actions or people good?

What is right? What makes actions right?
Is morality objective or subjective?
How should I treat others?
Logic
The arguments or reasons given for people’s answers
to questions. Philosophers employ logic to study the
nature and structure of arguments. Logicians ask
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such questions as:

What constitutes "good" or "bad" reasoning?
How do we determine whether a given piece of
reasoning is good or bad?
Aesthetics
The word is Greek in origin, which refers to the perception
and experience of the senses. The study of aesthetics is the
study of something sensed, in a broad understanding of
that word, rather than something imagined or reasoned.
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The philosophical study of beauty and taste. It is closely

related to the philosophy of art, which is concerned with
the nature of art and the concepts in terms of which
individual works of art are interpreted and evaluated.
Aesthetics is a sub-branch of philosophy that
examines questions of the pleasantness of our
experiences concerning things in the world (where
pleasantness is taken in a broad sense to include, for
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example, the intellectual pleasure of being

challenged or confronted). It deals with development
and cultivation of appreciation and appropriate
response.
Axiology
The term axiology is derived from Greek and means
‘value’ or ‘worth’. Axiology is engaged with assessment
of the role of researcher’s own value on all stages of
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the research process. In simple terms, axiology focuses on

what do you value in your research. This is important
because your values affect how you conduct your research
and what do you value in your research findings.
Schools of Philosophy
Approaches to Research
There are three standard approaches :
ü Qualitative
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ü Quantitative
ü Mixed
Qualitative research is an approach for exploring and
understanding the meaning ascribed to a social or human problem.
Data is typically collected in the participant’s
setting, data analysis inductively building from particulars to
general themes, and the researcher making interpretations of the
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meaning of the data. Those who engage in this form of inquiry use
an inductive style building from data to themes and a focus on
individual meaning, and emphasize the importance of reporting
the complexity of a situation
Examples :
Does social media affect the way teenagers feel about their
body?
What factors lead to high attrition rate in companies?
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Are single children selfish compared to children who have

siblings?
Does competition in children cause them to be insensitive?
Quantitative research
Quantitative research is an approach for testing objective
theories by examining the relations between variables that
can be measured, typically using instruments and
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numbered data can be analyzed using statistical procedures.
Quantitative researchers test theories deductively, build
into the process to prevent bias, and seek to generalize and
replicate the findings.
Examples
1. How efficient are a hospitals operations?
2. Experimental study on effect of quantity of
drinking water on sleep patterns?
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3. Improving forecast of solar power generation.

4. Study of effect of pollution on lungs.
5. Improvement of efficiency of vehicles with
generative braking.
Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
Mixed methods
Mixed methods research is an approach to inquiry
involving collecting both quantitative and qualitative
data, using a specific procedure or design, combining
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(or integrating) the two forms of data within the

design, and drawing conclusions and inferences)
about the insight to emerge from the combined
databases.
Examples
1. How does the students perception of the school
(qualitative) relate to test scores(Quantitative)?
2. How does employee satisfaction (qualitative)
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affect the sales of the company (Quantitative)?

3. Will belief in democracy (qualitative) improve
voter turn out in elections(Quantitative)
Points of Philosophy ([Link] )
Academic philosophy doesn’t present a body of
consensus knowledge the way chemistry and
physics do. Do philosophical questions have correct
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answers? Does philosophical progress exist? Does

philosophy get closer to the truth over time?
So what’s the point of philosophy?
To discover truth, wherever and whatever it is.
To learn how to better live our lives.
To understand our own views, including their strengths and
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weaknesses.
To examine our own lives and be more conscious of our
choices and their implications.
To learn how to better think and reason.
What are different schools of philosophy?
There are four broad schools of thought that reflect
the key philosophies of education as we know today.
These schools of thought are:
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Ø Idealism
Ø Realism
Ø Pragmatism
Ø Existentialism.
I - Idealism :
Idealism is a school of philosophy that emphasizes that
“ideas or concepts are the essence of all that is worth
knowing”. It believes that true reality exists only in idea.
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Ø Plato is a leading personality of this school of thought.

This school encourages conscious reasoning in the
mind of different ideas. Idealists look for absolute or
universal truths and
believe that ideas do not change. Plato believed that
knowledge was not created but only discovered. He
was of the opinion that there was too much focus on
the physical world and believed that it was essential
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to develop the body and the mind to its full potential.

To u n d e r s t a n d t r u t h w e h a v e t o u n d e r s t a n d
knowledge .
To understand Plato’s concept of reality lets watch this video

[Link]
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Ø Socrates : The other great philosopher of this school is
Socrates. His style involves deep questioning to arrive
at the knowledge. When followed in research this can
lead to higher-order thinking.
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Ø Immanuel Kant (1724-1804) German Philosopher, who

said that it was only reasoning that helped us gain
knowledge of the world and understand it.
Ø Swami Vivekananda, Rabindranath Tagore
This school of thought can be useful in research as
reasoning definitely helps us to arrive at a solution to a
problem. Some questions of this school that can help in
research are,
ü What’s the relevance of VTU
myCDOE,
question?
Mysuru

ü How does this idea relate to my problem?

ü What assumptions can be made?
ü What are the implications of these assumptions?
ü What are similar examples?
ü Is there an alternative way to look at it?
II – Realism
This school of philosophy emphasizes that “reality,
knowledge, and value exist independent of the human
mind”. Realists use the senses and scientific investigation
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in order to discover truth. The application of the scientific
method also allows individuals to classify things into
different groups based on their essential differences. Key
philosophers of this school of thought are
v Aristotle : (384-322 BC)
Called father of realism . Believed that everything has a
function and purpose. He was first to teach logic as a
discipline in order to be able to reason about physical
events and aspects”
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v John Locke (1632-1704)

Believed that when born a child’s mind is like a blank
white paper. The paper is then filled with impressios
created by experience.
This video explains the philosophy of Locke.

[Link]
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In this school everything is based on scientific
enquires and nothing on speculations.
Researchers following this school use
Ø Determinism VTU CDOE, Mysuru

Ø Experimentation
Ø Critical thinking
Ø Observation
III – Pragmatism
Philosophers of this school of thought believe that
reality is constantly changing and our experience
helps us to evolve. The learner constantly changes by
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interacting with the environment. They believe there

is no absolute truth but truth is what works. Key
philosophers are
Ø Charles Sanders Pierce(1839-1914) : He
introduced a method where learners are provided
with a procedure to construct and clarify meanings.
Ø John Dewey (1859-1952) : He believed humans
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have to evolve constantly in their environments.

Ø He introduced a systematic procedure to arrive at
solutions.
1. Recognize that the problem exists.
2. Clearly define the problem.
3. Suggest possible solutions.
4. Consider the potential consequences of the
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possible solutions.
5. Carry out further observation and experiment
leading to the solution’s acceptance or rejection.
This school teaches the researcher to think critically rather
than what to think. Its more exploratory than explanatory.
The researcher is actively involved in learning process and
challenged to take on problems. It involves
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ü Hands on problem solving

ü Cooperative learning
ü Projects
ü Experimenting
IV – Existentialism
It focuses on importance of individual rather than the
external standards.
Existentialists believe reality is just our experiences.
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As such, the physical world has no real meaning

outside our human experience and there is no
objective, authoritative truth about metaphysics,
epistemology, and ethics.
Key philosophers are
q Kierkegaard (1813-1855): Founder
q Nietzsche (1844-1900): He evolved a strategy to liberate
people from the oppression of feeling inferior within
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themselves, and a teaching of how not to judge what one is in
relation to what one should be”. The subject matter takes
second place to understanding and appreciating themselves
for who they are as individuals. The learners accept individual
responsibility for their personal thoughts, feelings, and actions.
Existentialists strongly oppose standardized
assessments which measure or track learning.
Instead, they want the educational experience of
the learner to focus on creating opportunities for
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self-direction and self-actualization of the whole

person, not just the mind.
 Need for philosophical approach to research
Most people plan their research in relation to a question
that needs to be answered or a problem that needs to be
solved. Then we think about what data is needed
and the techniques we need to collect them. Ultimately, we
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need to explain the choices made, so that others take our

research seriously. We can say, research philosophy is
belief about the ways in which data about a phenomenon
should be collected, analyzed and used.
VTU CDOE, Mysuru
Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
Research philosophy is the set of beliefs,
assumptions and principles that underlie the way
you approach to solve your problem. What are some
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standard philosophies in research?

I – Positivism (Scientific) . Positivism is rooted in the belief
that knowledge can be obtained through objective
observations and measurements. In other words, the positivist
philosophy assumes that answers can be found by carefully
measuring and analyzing data, particularly numerical data.
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Very useful for science and engineering. As a research

paradigm, positivism results in methodologies that make use
of quantitative data, and often adopt experimental or quasi-
experimental research designs.
The research looks for causal relationships – in other
words, understanding which variables affect other
variables, in what way and to what extent. As a result,
studies with a positivist research philosophy
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typically aim for objectivity, generalizability and

replicability of findings. Lets look at an example.
Example of Positivism
Suppose we want to study the effect of a herbal
supplement on weight loss. A positivist would divide the
group into a control group (who do not get the
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supplement) and a test group (who receive the

supplement.) The participants weight can then be
measured over a period, detailed statistical analysis done
to see if the supplement has any effect on weight loss.
The underlying assumptions and beliefs revolve
around the viewpoint that knowledge and insight can
be obtained through carefully controlling the
environment, manipulating variables and analyzing
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the resulting numerical data. Very useful for hard

sciences and often adopted in technological research
also.
II – Interpretivism(Constructivism) Essentially,
interpretivism takes the position that reality is socially
constructed. In other words, that reality is subjective, and
is constructed by the observer through their experience of
it, rather than being independent of the observer.
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Essentially, interpretivism takes the position that reality is

socially constructed so that reality is subjective, and is
constructed by the observer through their experience of it,
rather than being independent of the observer
An interpretivist philosophy manifests in the
adoption of a qualitative methodology, relying on
data collection methods such as interviews,
observations, and textual analysis. These types of
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studies commonly explore complex social

phenomena and individual perspectives, which are
naturally more subjective and nuanced.
Example of Interpretivism
Consider studying the effect of care-giving of a
terminally ill person . To study this we would
conduct interviews with care-givers, analyze their
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responses, study the effect on their health, mind,

social activities etc and draw inferences from this
data. The research involves subjective exploration
of individual experiences.
Scientific/Positivist Interpretivist/Anti-positivist
Laboratory Experiments Subjective/Argumentative
Field Experiments Reviews
Surveys Action Research ¸
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Case Studies Case Studies ¸

Theorem Proof Descriptive/Interpretive
Simulation Role/Game Playing
This video very clearly presents different aspects of
positivism and interpretivism.
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[Link]
III – Pragmatism
With a pragmatic research paradigm, both quantitative and
qualitative methods can play a part, depending on the
research questions and the context of the study. This often
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manifests in studies that adopt a mixed-method approach,
utilizing a combination of different data types and analysis
methods. Ultimately, the pragmatist adopts a problem-
solving mindset, seeking practical ways to achieve diverse
research aims.
What are strategies of inquiry for research?
Once we choose the approach, we choose the design or
strategy for inquiry.
Quantitative design
Ø Experimental and quasi-experimental
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Ø Single subject – where experiment is administered to a

single individual or small group of individuals.
Ø Correlation design – Researcher uses correlated
statistics to investigate the relationship between two
Or more variables.
Ø Survey - provides a quantitative or numeric
description of a population’s trends, attitudes, or
opinions by studying a sample of that population.
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It includes studies using questionnaires or

structured interviews for data collection to
generalize from a sample to a population
Ø Experimental research - seeks to determine if a
specific treatment influences an outcome. The
researcher assesses this by providing a specific
treatment to one group, withholding it from
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another, and then determining how both groups

scored on an outcome
Qualitative design
Descriptive method -an approach to analysis where the researcher
stays close to the data, uses limited frameworks and interpretation
for explaining the data, and catalogues the information into
themes. VTU CDOE, Mysuru

Narrative research - inquiry from the humanities in which the

researcher studies the lives of individuals and asks one or more
participants to provide stories about their lives. , in the end, the
narrative combines views from the participant’s life with those of
the researcher’s life in a collaborative narrative
Phenomenological research - is a design of inquiry
coming from philosophy and psychology in which
the researcher describes the lived experiences of
individuals about a phenomenon as described by
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participants. It culminates in the essence of several

individuals who have all experienced the
phenomenon.
Grounded theory – It is from sociology in which the
researcher derives a general, abstract theory of a
process, action, or interaction grounded in the views
of participants. It involves using multiple stages of
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data collection and the refinement and

interrelationship of categories of information to
form a theory
Case studies - They are a design of inquiry found
in many fields, in which the researcher develops an
in-depth analysis of a case, which could be a
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program, event, activity, process, or one or more

individuals.
Mixed design
Ø Convergent mixed methods design – Here the researcher
converges or merges quantitative and qualitative data to provide
a comprehensive analysis of the research problem. The
investigator typically collects both forms of data at roughly the
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same time and then integrates the information in the

interpretation of the overall results. Contradictions or
incongruent findings are explained or further probed in this
design
Ø Explanatory sequential mixed methods – A design
in which the researcher first conducts quantitative
research, analyzes the results, and then builds on
the results to explain them in more detail with
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qualitative research It has a sequential structure

because the initial quantitative phase is followed
by the qualitative phase.
Ø Exploratory sequential mixed methods - It is the
reverse sequence from the explanatory sequential
design. In the exploratory sequential design the
researcher first begins with a qualitative research
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phase and explores the views of participants. The

data are then analyzed and the information used to
build into a second, quantitative phase.
The next point is the specific research method to be used.

It involves how data is collected, interpreted and organized.

Data could be collected using instruments, measurements,
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observing people, gather information on behavior,

interviews, surveys etc.
Quantitative approach – Predetermined, experiment and
instrument based, attitude data, observational data, census
data, statistical analysis and interpretation.
Qualitative approach – Open ended questions, observation,
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interview data, document data, audio visual data, text and
image analysis, themes and interpretations.
Mixed method – Open ended and closed ended questions,
multiple forms of data collection, statistical and text
analysis
 Issues with Higher education and research
Ø Declining interest in admission into science
courses, science careers, and pursuit of science, as
indicated by flight of bright students to other
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branches of human knowledge and careers.

Research in science is viewed as a long drawn
process, expensive and strenuous.
Ø Research in science is often experiment intensive
and is very expensive.
Ø Declining standards of teaching Natural Science,
Social Science and Humanities, particularly of
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Biology at school, undergraduate and post-

graduate levels
Ø Advanced maths involving calculus, geometry
and trigonometry is no longer deemed necessary.
Ø The taking over of educational training, from main
stream schools and colleges, by coaching centers for
getting admission into professional courses.
Ø Conflict of interest between personal and professional
lives of students, practitioners and preachers of science.
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(India is 3rd largest exporter of beef)

Ø Increasing perception of science as an esoteric activity
unrelated to daily life experience as well as social,
economic and cultural problems.
Ø Unmanageable learning burden for students and
surprisingly for teachers
Ø The dichotomy in the level of joy between doing
science and probing science
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Ø Pursuing science without scientific method,

Ø Confused thinking and wrong perception of
science especially biology as an unethical activity
etc.
Poor Infrastructure in terms of accessible and
affordable facilities including library, Laboratory,
supportive administration etc. on one hand and
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uninspiring and incompetent Faculty on the other

hand are two major reasons for the sorry state of
affairs in HEIs of our country.
Unbearable pressure??
ü Jason Altom (6 October 1971 – 15 August 1998) was an
American PhD student working in the research group of Nobel
laureate Elias James Corey at Harvard University. He killed
himself by taking potassium cyanide in 1998, citing in his
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suicide note "abusive research supervisors" as one reason for

taking his life. Altom was studying a complex natural product
and felt enormous pressure to finish the molecule before
starting his academic career.
Ø Anik Paul was a PhD student at Purdue University, and he committed
suicide by jumping into a river
Ø The annual incidence of suicide among Chinese doctoral students
high.([Link]
901) The statistics for doctoral student suicides over the past 12 years was
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reviewed and administered a questionnaire survey and interviews to
relatives and friends of doctoral students who committed suicide. The
results indicated that suicide among doctoral students is closely related to
academic pressure, the teacher–student relationship, and the academic
environment, reflecting the current condition of China's doctoral tutorial
system
Ø Four in 10 UK PhD students ‘at high risk of suicide’,
([Link]
uk-phd-students-high-risk-suicide-says-study)
Loneliness and intellectual insecurity highlighted as
prime reasons for elevated suicide risk among doctoral
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researchers
Ø A 28-year-old PhD (Doctor of Philosophy) student on
Wednesday died by suicide inside her hostel room at
Rajasthan Central University, Ajmer, police said.
Ø A PhD student of the Indian Institute of
Technology, Madras, died by suicide in his
room in Tamil Nadu's Velachery, police said
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on Sunday.
So, what are other issues with PhD?
Ø It is a long journey. You need passion, patience
and commitment.
Ø In practice, it is not anywhere resembling an ideal
activity. There is no joy in its pursuit, in over
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90% of the cases. People find it too strenuous and

arduous.
Ø In most cases the system is moth eaten and is a
crumbling structure.
Ø There are very few real mentors who nurture
students, departments etc. Incompetence, lack of
scholarship and talent among faculty is appalling.
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Ø Most of people in academics are there for getting

career benefits and not to achieve anything
worthwhile. Most of them do not inspire anybody.
Ø Academia has become a Ponzi scheme and doing
a good PhD is not worth the torture and agony.
Ø There is highest unemployment/underemployment
among PhDs. VTU CDOE, Mysuru

Ø Funding is very restrictive and pattern less.

Leaders have no vision. Mafias hijack funding,
awards etc. 1% of people get all the funds, awards
and patronage.
So is doing PhD a dark world or is there something
more?
Ø A contribution to the field
Ø A sense of achievement
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Ø Experience in perseverance, commitment and

hard work.
Ø Development of creativity and innovation
Ø Progress in career, fame and name
VTU CDOE, Mysuru
VTU CDOE, Mysuru
Making a rigorous and relevant contribution to
knowledge in an area…

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Organized inquiry to provide solutions to a problem

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Understanding cause and effect of a phenomenon or
uncovering a new phenomenon

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A careful and systematic investigation in some field to
establish facts or principles

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Scientific and scholarly investigation and
communication of the results.

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VTU CDOE, Mysuru
We need reasoning to come to a conclusion about the
research work undertaken. To provide hypothesis, facts ,
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predictions etc. from the data collected and analyzed.

Reasoning
Reasoning is the process of using existing knowledge to draw
conclusions, make predictions, or construct explanations. Three
approaches are possible
I Deductive Reasoning
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Deductive reasoning starts with the assertion of a general rule and
proceeds from there to a guaranteed specific conclusion. Deductive
reasoning moves from the general rule to the specific application: In
deductive reasoning, if the original assertions are true, then the
conclusion must also be true.
Consider If x=5 and y = -3
Then 2x+y = 7
By logic, 2x+y must equal 7. It cannot be anything else.
We can write this generally as
If A (is true) and B (is true)
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Then
C (is true)
Consider this
Ø IF medical research helps treat people it must be funded.
IVF treatment helps treatment of infertility
So IVF research must be funded.
Ø All birds have feathers VTU CDOE, Mysuru
Crow is a bird
Crow has feathers.

Be careful!! Reverse need not be true. For example, if 2x+y=7, you

cant say anything about x or y.
If propositions are sound, the conclusion can be certain.
Deductive reasoning cannot really increase human knowledge
because the conclusions yielded by deductive reasoning are
tautologies-statements that are contained within the premises
and virtually self-evident. Therefore, while with deductive
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reasoning we can make observations and expand implications,

we cannot make predictions about future or otherwise non-
observed phenomena.
Try this :
All birds can fly
Penguin is a bird
So penguin can fly!!
What’s wrong here? (incorrect premise)
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Or Birds can fly
Moths can fly
So moths are birds!!
(unrelated premises)
Deductive reasoning is used in every day life. If it rains carry an
umbrella. It is cloudy and rain any time. So carry umbrella.
Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
II – Inductive Reasoning
Inductive reasoning starts with observations that are limited in
scope, and proceeds to a more generalized conclusion that may
be true. Confidence in the validity of a conclusion can vary
widely, depending on the quality and number of observations
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that support it. In inductive approach the premises are there to

support the result or conclusion but they do no ensure it.
Therefore the conclusion is known as hypothesis.
Example
v Consider the growth rate of population of a country
in the last 20 years.
v With inductive reasoning you can predict the
population increase the next 5 years.
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Note that this prediction may not come true. There may
be many factors. A war, a drought, a pandemic….
v The revenue goal of the company ABC in Q3, has exceeded
in the last 5 years.
So this year the revenue goal is likely to be exceeded in Q3.
(general inductive reasoning)
v 90% of the students of college XYZ have a salary package
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offer of 10L per annum in the last three years.

Shyam is a student of XYZ. So he is likely to get an
offer of 10L. (Statistical Inductive reasoning)
v Every time I visit Delhi I get an attack of asthma. This does not
happen when I visit other cities.
Therefore there is something in Delhi, that triggers my asthma.
(Casual inductive reasoning)
v Anybody who breaks into a building must have opportunity,
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motive and means.
Sunil, was near building “Brindavan Gardens “ when the owners were
away(Opportunity), he hated the owners( motive) and had lock picks
with him (means). So likely he broke open their house. (induction by
confirmation)
Deductive reasoning: Deductive reasoning uses theories
and beliefs to rationalize and prove a specific conclusion.
The goal is to prove a fact.
Inductive reasoning: Inductive thinking uses experience
and proven observations to guess the outcome. The goal
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is to predict a likely outcome.

III – Abductive Reasoning
Abductive research starts with incomplete observations and
continues to the closest possible explanation for it. While
abductive reasoning allows for more freedom than inductive or
deductive reasoning, it can also result in several incorrect
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conclusions before you uncover the true answer. Abduction is

believed to be a method of research in which the logic of
discovery is highlighted over the logic of justification. Very
commonly used in medical diagnosis.
Consider
The lawn is wet
If it rains the lawn gets wet
Therefore it rained.
The conclusion can be true. However, though both
VTU CDOE, Mysuru

premises are true, still the conclusion that it rained, may

or may not be true. The lawn could have been wet,
because a water pipe broke.
v Patient has low grade fever , cough and
breathlessness.
Covid is widespread in the area.
So the patient is likely to have covid. (However, the
premise and information is incomplete. So this
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conclusion needs further investigation and tests to prove

it correct. The patient may have a viral infection that is
not covid.)
v My car doesn’t start in the morning.
So my battery must be dead
(this may not be true. There could be other reasons why
the car is not starting) .
VTU CDOE, Mysuru
Now consider these reports
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VTU CDOE, Mysuru
VTU CDOE, Mysuru
VTU CDOE, Mysuru
Its all about ETHICS
VTU CDOE, Mysuru
 v ETHICS
v The discipline dealing with what is good or bad and
with moral duty and obligation
v A set of moral principles or values put in place for the
betterment of all
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v Conforming to professional standards of conduct

Ø “Ethics is the disciplined study or morality….and
morality asks the question…what should one’s
behavior be”. Jeff Cooper Albany Medical Center, Ethical Decision Making, 2001,
Ø “Greek ethos ‘character’ is the systematic study of
value concepts—good, bad, right, wrong and the
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general principles that justify applying these

concepts”. Joan E. Sieber Planning Ethically Responsible Research,
 Is ethics same as LAW?
Ethics is the responsibility of the INDIVIDUAL . It is
more than adherence to LAW. A person may indulge in
an unethical practice, but unless caught, law cannot
come into force !
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VTU CDOE, Mysuru
VTU CDOE, Mysuru
 So what does ethics have to do with research?
Research ethics
ü Ethics are the set of rules that govern our expectations of our own
and others’ behavior.
ü Research ethics are the setVTUof ethical
CDOE, Mysuru guidelines that guides us on
how scientific research should be conducted and disseminated.
ü Research ethics govern the standards of conduct for scientific
researchers as a guideline for responsibly conducting the research.
ü Research that involves human subjects or contributors rears
distinctive and multifaceted ethical concerns.
ü Research ethics is unambiguously concerned in the
examination of ethical issues that are upraised when
individuals are involved as participants in the study.
ü Ethics is about creating a mutually respectful relationship
with the research population VTU CDOE, Mysuru

ü Subjects are pleased to participate

ü Community regards the conclusions as constructive
(Joan E. Sieber “Planning Ethically Responsible Research)
Why is research ethics important?
v It is a reflection of respect for those who ‘take part’ in
research
v It ensures that no unreasonable, unsafe or thoughtless
demands are made by researchers
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v It ensures sufficient knowledge is shared by all

concerned
v It imposes a common standard in all the above
respect
v It has become the norm as an expectation for research
activity
v A professional requirement for practitioners in some
disciplines e.g. psychology
A requirement to comply with external agencies to
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v
obtain funding
v Ensure that researchers can be held accountable to the
public
An ethically insensitive researcher
Can leave the research setting in pandemonium
including
Ø the researcher
Ø the institution
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Ø the cause that he/she seeks to promote ( Joan E. Sieber Planning Ethically
Responsible Research)
 Three important objectives of research ethics
Ø To guard/protect human participants, their dignity, rights
and welfare .
Ø To make sure that research is directed in a manner that
assists welfares of persons, groups and/or civilization as a
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whole.
Ø To inspect particular research events and schemes for their
ethical reliability, considering issues such as the controlling
risk, protection of privacy and the progression of informed
consent.
What Compromises Ethics or makes people ignore it?
1. Power
2. Greed
3. Fear
Not-in-my-back-yard (NIMBY)
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4.
5. Everybody is doing it
6. It does not hurt anybody
Ethical principles of research

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1. Honesty
Being honest with the beneficiaries and
respondents, about the findings and methodology
of the research, honest with other direct and
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indirect stakeholders, honest with data.

Case study 1
Two researchers have made some measurements on a new material.
The data points are as shown. To prove their hypothesis the results
should lie on the curve shown. The two students considered omitting
the two data points which were off the theoretical curve.
VTU CDOE, Mysuru
ü It is not ethical as honest data has not been presented.
ü Should declare the outliers
ü Explain reason for outliers.
VTU CDOE, Mysuru
Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
2. Integrity
v Keep your promises and agreements
v Act with sincerity
v Strive for consistency of thought and action
v Transparency in conflicts of interest or potential conflicts of interest
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v Protection of human subjects in the conduct of research;

v Humane care of animals in the conduct of research
v Adherence to the mutual responsibilities between investigators and
their research teams.
A conflict of interest in research exists when the individual has
interests in the outcome of the research that may lead to a
personal advantage and that might therefore, in actuality or
appearance, compromise the integrity of the research. The
most compelling example is competition between financial
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reward and the integrity of the research process. Religious,

political, or social beliefs can also be undisclosed sources of
research bias.
Case study 2
A group of researchers gathered data from teenagers to
study impact of pregnancy age to fetal abnormalities,
with the agreement that it would be used for pure
research. They sold the data to a pharmaceutical
VTU CDOE, Mysuru

company that developed tests to detect fetal

abnormalities, as the company promised to fund their
lab. Discuss.
3. Objectivity
Avoid bias in experimental design, data analysis, data interpretation,
peer review, personnel decisions, grant writing, expert testimony, and
other aspects of research. Objectivity means being objective or
impartial and not being influenced by personal experiences, value
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judgments, or preconceived notions. It is the opposite of subjectivity,

which is an outlook governed by one's personally held beliefs,
opinions, or tastes. Objectivity is free from all bias. A bias is an unfair
tendency to prefer one outcome, thing, person, or group of people over
another.
What are the types of research bias one can have?
Ø Confirmation bias is the result of people seeking information that
supports their preconceptions. Deductive logic is used to support a
preconception as people look for and believe that which is in
agreement with their already existing beliefs and values. Evidence
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that challenges or refutes one's preconceptions is dismissed or

ignored altogether.
Ø Observer bias is when systematic disparities result from the data
collected by humans. This bias can occur because there is
variability between observations made by different people
Ø Selection bias is when a group in a research study somehow
differs from the larger population they represent.
Case study 3
A researcher is conducting a research on the impact of physical
disability on the social and economic status of the disabled
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person. The researcher herself is a physically disable person,

who has undergone experiences that made her believe, that
disabled people are at a disadvantage and are treated unfairly,
resulting in them having a low economic status. So , the sample
of participants of her study all
included disabled participants who were mostly
involved in jobs requiring manual labor, where they
were at a disadvantage even without any discrimination,
because of the very nature of the job. At the end of the
study, she concluded that the economic status of
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disabled people was always less than those not disabled.

•4. Informed consent
ü Informed consent means that a person knowingly,
voluntarily and intelligently gives consent to participate
in a research.
ü Informed consent is related to the autonomous right of
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the individual to participate in the research.

ü Informing the participant about the research objective,
their role, benefits/harms (if any) etc.
It is unethical to obtain responses/feedback/answers etc.
without telling the respondent the use of the information
collected. Very important in
ü Obtaining response through Q ue stionna ire s,
Schedules and interviews and Feedbacks
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ü Practical experiments (such as effect of a drug,

psychological response in a game etc.)
ü When an environment is created for a particular study
and participants would be observed in that
environment.
ü Consent should be without undue threat or inducement
and with enough information. Preferably written
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consent to be obtained.
ü In social research where people, their opinion,
behavior, life is involved, the researcher has to be extra
careful. Belmont Report – 1979
Case study 4
A group of students planned a research project on the
detection of fetal abnormalities in the second trimester,
by ultrasound scanning. They collected data from the
scan room without informing the mothers.
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Ø Unethical as informed consent was not taken

Ø Should have informed mothers of their intent even

though there is no particular advantage/disadvantage
to the mother in doing so
VTU CDOE, Mysuru
5 Respect for respondent/participant
Ø Includes autonomy, which requires that those who are
capable of deliberation about their personal goals
should be treated with respect for their capacity for
self-determination VTU CDOE, Mysuru

Ø protection of persons with impaired or diminished

autonomy, which requires that those who are
dependent or vulnerable be afforded security against
harm or abuse.
Ø The participant must be fully informed of the
research objectives, procedures, risks, and potential
benefits.
Ø The participation should be fully voluntary without
fear of repercussions.
VTU CDOE, Mysuru
Case study 5
A researcher undertakes research to study effect of oil-
pulling on Alzheimer patients. Since these patients are
compromised , consent has to be obtained from their
care-givers. Utmost respect for the participants and care
VTU CDOE, Mysuru

givers is necessary to see that their vulnerability is not

taken advantage of.
Case study 6
A researcher wanted to study the problem solving skills
of senior citizens that would enable them to get an A
grade in a college course and compare their performance
with regular younger college students. He goes to many
VTU CDOE, Mysuru

senior homes, and tells the elderly people that he would

teach them to play video games, when in actuality he
would study their problem solving skills while playing
the game.
6. Beneficence and minimizing harm
Maximize the benefits of the participants. Ethical
obligation to maximize possible benefits and to
minimize possible harms to the respondents.
What are the different types of harm that can affect a
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respondent?
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
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procedures.
Legal harm: Reporting sensitive data could lead to legal
risks or a breach of privacy.
Case study 7
A researcher wishes to study the effect of prolonged
vaping on the mental health of adolescents.

The questioning can bring shame, guilt and loss of

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dignity to the respondents. So the researcher should

assure the participants that their response is confidential
and also help them to seek counselling.
Case study 8
A child is suffering from a rare cancer. A team of doctors who know
that the child will not survive for more than a week, want to study if
antibodies can be produced by a healthy body if the cancer cells are
injected into the healthy person. They tell the mother, that if she
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consents to have the cancer cells injected, the probability of antibodies

to be produced is very high and this can be used to save her child. The
mother consents. The child dies after 5 days and the mother dies after
462 days because of the cancer she got infected with.
7. Confidentiality
Following information has to be given:
Introduction and objective of the research
Purpose and procedure of the research
Anticipated advantages, benefits/harm from the research (if
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any)
Use of research
Their role in research
Right to refuse or withdraw
Methods which will be used to protect anonymity and
confidentiality of the participant
Freedom to not answer any question/withdraw from the
research
Who to contact if the participant needs additional
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information about the research.

8. Protecting anonymity
The identity of the participants must be kept anonymous. This means
not revealing name, address, case, religion etc. of the respondent.
Case study 9
A researcher plans to compare alcohol abuse among college freshman
VTU CDOE, Mysuru

and seniors. Because she may want to reinterview some subjects later,
she plans to write their names and phone numbers on their data sheets.
She plans to promise confidentiality, so that subjects will trust her, and
to keep the data in her dorm room in a locked file.
Case study 9
A group of undergraduate students collected data from a
group of bank officers, with their consent, regarding
their working hours and salary with regards major health
issues of prevalence of diabetes and high blood pressure.
VTU CDOE, Mysuru

Subsequently the researchers gave the same data to

another group who were in need of same data variables
to study the impact of working hours and salary on
productivity.
Ø Unethical as violating principles of consent and
confidentiality
Ø Data can be used for a secondary purpose which was
not first considered as long as
- informed consent for sharing has been given
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- identities anonymized
- due consideration to access restrictions
9. Compensation for injury – responsibility for what happens to
the subject (federal law requires that subjects be informed about
compensation). When an injury occurs as a result of participation in a
research study it is called a “research related injury” and these are
sometimes inevitable. Such injuries may range from relatively minor
VTU CDOE, Mysuru

harms (such as bruises due to a study procedure or vomiting due to a

new drug) to major injuries (such as organ damage or temporary
physical disability) to catastrophic injuries (such as permanent
disability or death).
Injuries can be physical, psychological/emotional, social or economic
and may require only acute or emergency care, or long term medical
care. Compensation is defined as ‘the act or process of making amends
for something’ or ‘something, typically money, awarded to someone in
recognition of loss, suffering or injury’. ICMR guidelines specify that
VTU CDOE, Mysuru
this be an essential element of the Informed consent document (ICD).
Research participants who suffer physical injury as a result of their
participation are entitled to financial or other assistance to compensate
them equitably for any temporary or permanent impairment or
disability, according to the guidelines. In case of death, their
dependents are entitled to material compensation.
Case study 10
In March 2006, eight healthy volunteers in a phase I trial received a T
cell agonist at Parexel's clinical pharmacology research unit at
Northwick Park Hospital, London. This was the first human trial of
TeGenero's TGN1412, a new humanised monoclonal superagonist of
VTU CDOE, Mysuru
the CD28 T cell surface receptor, designed to mitigate autoimmune
and immunodeficiency disease. The six men who received the active
component rapidly developed catastrophic multisystem failure; the
remaining two, who received a placebo, were unharmed. ( So the
failure was clearly due to the active component)
The participants who had developed serious complications received
very little compensation for their injuries because Parexel, who
conducted the trial for TeGenero, maintained that it had carried out all
procedures correctly and hence was not responsible for the unforeseen
reactions caused by the drug and the insurance cover (£ 2 million) that
VTU CDOE, Mysuru
TeGenero (the sponsor) had, was not enough to cover the long-term
health consequences of this disaster, as the volunteers are at risk of
developing life-threatening conditions such as autoimmune diseases or
cancer later in life.
[Link]: Authors of any research
report/paper/publication should be only the people who are
involved in the research. Data collectors, technicians need not
be authors.
Case study 11 VTU CDOE, Mysuru

Four friends decide to work together on a research project

during the vacation. One of them went abroad during the
vacation and did not contribute to the research. The friends
include all 4 names in a presentation made at a scientific
congress
Ø Unethical as only those who contributed intellectually
should be cited as authors

Ø Those who contribute in other ways may be

acknowledged
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11. Respect IPRs
Honor patents, copyrights, and other forms of
intellectual property. Do not use unpublished data,
methods, or results without permission. Give proper
acknowledgement or credit for all contributions to
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research. Use of copyrighted images without

acknowledgemen , in publication is unethical.
Case study 12 :
This case has arisen over a dispute where Cipla has filed a patent application for a generic
drug ‘Erlopic’ which was manufactured using a polymorphic compound of Erlotinib
Hydrochloride. While patent for Erlotinib Hydrochloride was already been given to another
company Roche. Therefore, Roche has filed an infringement application against Cipla. But
Cipla claimed that it had not used Erlotinib Hydrochloride in its medicine ‘Erlopic’ but had
only used a polymorphic compound of Erlotinib Hydrochloride.
VTU CDOE, Mysuru

It was finally held that Cipla has infringed the patent of Erlotinib Hydrochloride granted to
Roche as any preparation of a polymorphic compound of Erlonitibactually first does involve
the manufacturing of Erlotinib Hydrochloride. The patent application of Erlotinib
Hydrochloride also has stated that its compound form can exist in different polymorphic forms
and any such forms will be covered by its patent.([Link]
intellectual-property-rights/)
Case study 13
In this case, the defendant who is a YouTuber and a social media influencer has
made objectionable and disparaging comments on ‘Parachute hair oil’ in one of
his videos and has used the parachute hair oil bottle in his video. The plaintiff
Marico Ltd. who is the owner of Parachute Oil Brand has applied for the
removal of the video on the grounds that the YouTuber through his video has
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harmed the goodwill of the company and has also violated its trademark
‘Parachute’. The court while interpreting Section 29 of The Trademarks Act,
1999 held that defendant has violated the exclusive trademark rights of the
plaintiff by not seeking prior permission or consent of the plaintiff, and thus, the
court ordered the removal of video .([Link]
intellectual-property-rights/)
12. Responsible Publication
Publish in order to advance research and scholarship, not to
advance just your own career. Avoid wasteful and duplicative
publication. Plagiarism means using someone else’s work
without giving them proper credit. In academic writing,
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plagiarizing involves using words, ideas, or information from

a source without citing it correctly. In practice, this can mean a
few different things.
Different ways plagiarism is done
Ø Copying parts of a text word for word, without
quotation marks -It makes it seem like these are your
own words.
Ø Paraphrasing a text by changing a few words or
VTU CDOE, Mysuru

altering the sentence structure, without citing the

source - It makes it seem like you came up with the
idea, when in fact you just rephrased someone else’s
idea.
Ø Paper contains significant portion from another, word
for word.
Ø Mix content from different sources – Mashup
Ø Include citations of non-existent sources or
misquoted sources.
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Ø Self plagiarism – take content from your own

published work, without citation.
Case study 14
Chemistry Professor Accused of Plagiarizing More Than 70 Articles
University Executive Council of the Sri Venkateswara University
banned their chemistry professor accused of plagiarizing not just one
or two research papers, but almost seventy of them. Almost all these
VTU CDOE, Mysuru

research papers were published between the years 2004 to 2007. The
institution banned the professor from taking any research guidance
along with the upcoming examination works.
(Source: [Link]
to-have-plagiarized-and-falsified-articles/)
Case study 15 - In the year 2002, in October, Late President APJ Abdul
Kalam received a letter from Stanford University. The letter claimed that
physicist; Prof. B S Rajput has blatantly copied from other sources. One of
the signatories of this letter was Renata Kallosh.
She claimed that an entire research paper of hers has been used without her
acknowledgment. Stanford was shocked by the fact the person who
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committed the heinous act was not punished. During this time, Prof. Rajput
was the Vice-Chancellor of Kumaon University. However, after the
investigation and after the completion of the investigation, Prof. Rajput has
to resign from his post. (Source: [Link]
can-plagiarize-and-flourish)
13 : Justice
The researcher has an obligation to distribute benefits
and burdens fairly, to treat equals equally, and to give
reasons for differential treatment based on widely
accepted criteria for just ways to distribute benefits and
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burdens. This conception of justice embodied in the

Belmont Report is essentially that of distributive justice,
a notion pertinent to situations that call for the fair
allocation of society's benefits and burdens.
In the context of clinical studies, fair allocation is best
characterized as equity. That is, because research carries
both benefits and burdens, fairness requires that no one
group—gender, racial, ethnic, or socioeconomic
group—receive disproportionate benefits or bear
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disproportionate burdens of research. It is not readily

apparent, however, what is to count as "proportionate"
or "disproportionate" benefits and burdens.
One aspect of justice in research is thus the requirement of a "fitting"
match: the population from which research subjects are drawn should
reflect the population to be served by the actual or projected results of
the research. The selection of research subjects needs to be scrutinized
in order to determine whether some classes (e.g., welfare patients,
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particular racial and ethnic minorities, or persons confined to

institutions) are being systematically selected simply because of their
easy availability, their compromised position, or their manipulability,
rather than for reasons directly related to the problem being studied.
Case study 16: The Tuskegee Experiment, also known as the
Tuskegee Syphilis Experiment, was a deeply racist and unethical
clinical research study that took place between 1932 and 1972 in
Tuskegee, Alabama, under the auspices of the United States Public
Health Service (USPHS). The so-called Tuskegee Experiment
involved a group of 399 African American men diagnosed with
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syphilis as well as 201 uninfected men, who served as the control

group. The study participants were told that they were being treated
for “bad blood,” a term that was commonly used in the South to
describe a variety of illnesses, including syphilis, anemia, and general
fatigue.
However, the men were never informed either that they had syphilis or
that they were part of a clinical study. The study was designed to be
observational in nature. This meant that the researchers would not
provide any treatment to the participants despite the fact that penicillin,
the first effective treatment for syphilis, was already being widely used
VTU CDOE, Mysuru
in the 1940s. The study participants were periodically examined, had
blood samples taken, and were given sham or placebo “treatments,”
but were never actually treated for syphilis. In fact, involved
physicians actually contacted other doctors in the area to prevent them
from treating the study’s participants.
The study was initially intended to last for only six months, but it was
extended several times, eventually lasting for 40 years. During this
period, the study participants suffered grievously from the debilitating
effects of untreated syphilis. These included blindness, deafness,
neurological damage, other severe health problems, and death.
VTU CDOE, Mysuru
([Link]
Disclaimer:

©This PowerPoint presentation and the video contents

transmitted solely belongs to VTU e-Learning Centre and is
copyright protected.
VTU CDOE, Mysuru

Dr. K. Uma Rao

Professor (Retd) , Department of EEE
RV College of Engineering®
Mysore Road
Bengaluru - 560059
14. Animal Care : Show proper respect and care for animals when
using them in research. Do not conduct unnecessary or poorly
designed animal experiments. Although animal research remains a
necessary part of modern research, current methods are far from
perfect. At the moment, researchers often need to cull and perform
VTU CDOE, Mysuru

autopsies on animals to see how diseases develop on a molecular level.

This means that an animal needs to be killed for every data point
recorded, so some studies might use dozens of mice to get reliable data
o n d i s e a s e p r o g r e s s i o n . ( h t t p s : / / w w w. u c l . a c . u k / a n i m a l -
research/animal-research-case-studies)
Each year around four million animals are experimented
on inside British laboratories. Dogs, cats, horses,
monkeys, rats, rabbits and other animals are used, as
well as hundreds of thousands of genetically modified
mice. The most common types of experiment either
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attempt to test how safe a substance is (toxicity testing)

or attempt to investigate human diseases and how they
could be treated (disease research).
Case study 17
1. Monkeys being brain-damaged with a toxic chemical and given the
street drug ecstasy.
2. Pregnant sheep and their unborn lambs being surgically mutilated,
partially suffocated and then killed.
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3. Rats and mice being poisoned with an industrial chemical for

around six months to induce cancer.
3 Genetically modified mice being bred to suffer limb paralysis,
anxiety and motor dysfunction, then suspended by their tails to assess
abnormal behavior.
15 Competence of researcher
The researcher should be capable to carry out the procedures. A
researcher who lacks competence should not undertake the research,
since it would imply that the work will be done by someone else. This
should not be confused withVTUhiring associates, assistants, students,
CDOE, Mysuru

public to help in the research.

Ø Consider the case of a researcher who is in Electronics engineering,
being the co-author of a paper on marketing strategy for adult
diapers!!
 Research Misconduct- The Big three
Research misconduct means fabrication, falsification, or plagiarism in proposing,
performing, or reviewing research, or in reporting research results.
(1) Fabrication is making up data or results and recording or reporting them.
(2) Falsification is manipulating research materials, equipment, or processes, or
changing or omitting data or results such that the research is not accurately
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represented in the research record.

(3) Plagiarism is the appropriation of another person's ideas, processes, results,
or words without giving appropriate credit.
Research misconduct does not include honest error or differences of opinion.
Other types of misconduct
Ø Piracy : infringement of a copyright
Ø Submitting/Publishing the same paper to different journals
Ø Not informing a collaborator of your intent to file a patent
in order to make sure that you are the sole inventor
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Ø 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
Ø Trimming outliers from a data set without discussing your
reasons in paper
Ø Using an inappropriate statistical technique in order to
enhance the significance of your research
Ø Bypassing the peer review process and announcing your
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results through a press conference without giving peers

adequate information to review your work
Ø Conducting a review of the literature that fails to
acknowledge contributions of others

Ø Stretching the truth on a grant application in order to

convince reviewers that your project will make a significant
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contribution to the field

Ø Giving the same research project to two graduate students

in order to see who can do it the fastest
Ø Overworking, neglecting, or exploiting research
students
Ø Making derogatory comments and personal attacks in
your review of author's submission
Making significant deviations from the research
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Ø
protocol approved by the Review Board without
informing the committee
Ø Not reporting an adverse event in a human research
experiment
Ø Wasting animals in research
Ø Exposing students and staff to biological risks
Rejecting a manuscript for publication without even
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Ø
reading it
Ø Sabotaging someone's work

Ø Rigging an experiment so you know how it will turn

out VTU CDOE, Mysuru

Ø Deliberately overestimating the clinical significance

of a new drug in order to obtain economic benefits
(Prof. Deepti Edussuritya, Professor of medical education. University of Peradeniya)
 Advantages of research ethics
v Research ethics promote the aims of research.
v It increases trust among the researcher and the respondent.
v It is important to adhere to ethical principles in order to
protect the dignity, rights and welfare of research
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participants.
v Researchers can be held accountable and answerable for
their actions.
v Ethics promote social and moral values.
v Promotes the ambitions of research and motivates people to
strive for benefit of mankind
v Ethical standards uphold the values that are vital to
cooperative work, such as belief, answerability, mutual
respect, and impartiality.
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v Ethical norms in research also aid to construct public

upkeep for research. People are more likely to trust a
research project if they can trust the worth and reliability of
research.
Discussions
Case 1 : The research protocol for a study of a drug on hypertension requires the
administration of the drug at different doses to 50 laboratory mice, with
chemical and behavioral tests to determine toxic effects. Tom has almost
finished the experiment for Dr. Q. He has only 5 mice left to test. However, he
really wants to finish his work inVTU
time to go to Florida on spring break with his
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friends, who are leaving tonight. He has injected the drug in all 50 mice but has
not completed all of the tests. He therefore decides to extrapolate from the 45
completed results to produce the 5 additional results. His actions would
constitute a form of research misconduct. But note that misconduct is only when
researcher intends to manipulate. In this case that intention was not there. So is
t h i s
misconduct?([Link]
[Link])
Case 2 : Dr. T has just discovered a mathematical error in his paper
that has been accepted for publication in a journal. The error does not
affect the overall results of his research, but it is potentially misleading.
The journal has just gone to press, so it is too late to catch the error
before it appears in print. In order to avoid embarrassment, Dr. T
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decides to ignore the error.

This may not be considered as misconduct. However, Dr. T should
inform the editors and publish an errata.
([Link]
cfm)
Case 3 : A group of medical students conducted a research on the
awareness of diabetic diet in medical clinic participants. Their research
was recognized as the best undergraduate research and later they
submitted the same research paper to two different journals to see
which journal publishes it first.
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ü Unethical as it would result in "inadvertent double-counting or

inappropriate weighting of the results of a single study, which
distorts the available evidence
ü It would give a false idea of the number of publications in a given
area -wasting of resources on the review and publication process
Case 4 Students are required to prepare a research proposal
during their undergraduate program. Prem developed the idea
for his project and discussed with a friend. Several months
later, he found that his idea had been submitted as a research
proposal by his friend without his knowledge.
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Ø Unethical – Plagiarism
Ø Should be made co-author
 Clinical Research vs Social Science Research
v The broad field of clinical research includes research
in field of medicine, related sciences, bio medical
engineering, etc. It is a research study intended to
test safety, quality, effectiveness of new and/or
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existing or old medicines, medical devices and/or

treatment options, using human participants .
The research activities involve invasive and non-
i n v a s i v e p r o c e d u r e s t h a t m a y i n c l u d e s u rg i c a l
intervention, removal of body tissues/ fluids,
administration of chemical substances, observation,
administration of questions etc. It normally has 4 phases
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in research.
PHASE I: A new drug, vaccine or medical device is tested in a small
group of healthy persons for the very first time. The aim is to determine
the general safety, the correct dosage and negative effects.
PHASE II: Clinical trials of the new drug, vaccine or medical device is
carried out in a larger group (several hundred people)
PHASE III : Testing is taken to several thousand people.
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PHASE IV: Clinical trials done to several thousand people after the
new drug, vaccine or medical drug has been registered and licensed for
sale by the Medical Control Council of the respective country.
Social Science research is a systematic recording and
analysis of data that may lead to generalization of
principles and theories resulting in prediction and
possibly management of behavior and events in
individuals and society. The research activities review of
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literature, review of data, interviews, focus groups,

observations, administration of survey instruments, or
tests etc. It normally has 8 phases of research.
 VTU CDOE, Mysuru

PHASE 4: Hypothesis formulation or literature review

Evolution Of Research Ethics, Codes And Regulations: International
Landscape

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Nuremberg Trials : From 1945 to 1946, Nazi Germany leaders stood
trial for crimes against peace, war crimes, crimes against humanity,
and conspiracy to commit any of the foregoing crimes. 23 people were
tried (20 doctors and 3 administrators). Seven were sentenced to death
by hanging; nine were given prison terms and seven were found not
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guilty. ([Link]
 Key principles in the Nuremberg Code:
Ø Voluntary consent of the human subject – capacity to
consent, freedom from coercion and an understanding
of risks and benefits involved; and freedom to bring
the experiment to an end.
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Ø Minimization of risk and harm.

Ø The science and design of the study must yield
fruitful outcomes.
 The central point
1964 Ten out of the in DoH is the
Adopted by 12 ethics principle that the
the World research well-being of the
Medical markers from participant should
Association the Nuremberg take precedence
Codes were over the interests
adopted. of science
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Photo credit: [Link]

Belmont report : This is a major outcome of the Tuskegee case. As
a result of the Tuskedee case the National Commission for the
Protection of Human Subjects of Biomedical and Behavioural
Research was established The report sets forth the principles
underlying ethically acceptable conduct of research involving human
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participants. Report is also the basis for the US Federal Regulations

governing research The Belmont report emphasizes on the principles
of respect, justice, and beneficence.
 Council for International Organizations of Medical science (CIOMS)
Guidelines (1982)
The Council for International Organizations of Medical Sciences
(CIOMS) is an international non-governmental organization of 40
international, national, and associate member groups representing the
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biomedical science community. It was jointly established by the World
Health Organization (WHO) and United Nations Educational,
Scientific and Cultural Organization (UNESCO) in 1949.
The topics in CIOMS Guidelines include:
ü Ethical justification and scientific validity of
biomedical research including human subjects
ü Informed consent
ü Standards for external review
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ü Research in communities with limited resources

VTU CDOE, Mysuru
 Ethics Committee
This institution is responsible for establishing an EC to ensure an
appropriate and sustainable system for quality ethical review and
monitoring. The EC is responsible for scientific and ethical review of
research proposals. ECs are entrusted with the initial review of
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research proposals prior to their initiation, and also have a continuing

responsibility to regularly monitor the approved research to ensure
ethical compliance during the conduct of research. The EC should be
competent and independent in its functioning.
[Link] .
Ø ECs should be multi-disciplinary and multi-sectoral.
Ø There should be adequate representation of age and gender.
Ø Preferably 50% of the members should be non-affiliated or from
outside the institution.
Ø The number of members in an EC should preferably be between
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seven and 15 and a minimum of five members should be present to
meet the quorum requirements.
Ø The EC should have a balance between medical and non-medical
members/technical and non-technical members, depending upon the
needs of the institution.
 Functions of EC
ü EC has to ensure protection of the dignity, rights, safety and well-being of the
research participants
ü EC must ensure ethical conduct of research by the investigator team
ü EC is responsible for declaration of conflicts of interest to the Chairperson
ü EC should perform its function through competent initial and continuing
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review of all scientific, ethical, medical and social aspects of research

proposals received by it in an objective, timely and independent manner
ü EC should assist in the development and education of the research
community in the given institute
ü EC should ensure that privacy of the individual and confidentiality of data
including the documents of EC meetings is protected
Ø EC reviews progress reports, final reports and AE/SAE and gives
needful suggestions
Ø Regarding care of the participants and risk minimization procedures,
if applicable
Ø EC should recommend appropriate compensation for research
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related injury, wherever required
Ø EC should carry out monitoring visits at study sites as and when
needed
 Lets now see a number of case studies
1. A pharmaceutical company was researching on a new
drug for cancer treatment. The company had observed
that a few of the workers were afflicted with cancer.
However, since the number was insignificant, the
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company did not disclose this fact to the workers they

employed.
2. When the famous drug Thalidomide was invented for preventing
nausea in pregnant women, it was observed to have excellent results.
Women who used it were very happy as the drug allowed them to have
a normal life. However, after a few months of the product being in the
market, a few reports of children without limbs being born was
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reported from Africa. The company attributed it to malnutrition of the

mother. Slowly other similar cases trickled. The company brushed it
aside, saying that people Who benefitted far outweighed compared to
those where children were affected. Finally, the drug was withdrawn.
3. One of your research scholars said that at the university
where he had done his graduate work, he had been allowed to
keep the laboratory notebook in which he recorded his
observations. However, he said that because under the policies
of your university, he was not allowed to keep his notebook,
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he did not bother to write things up in detail in his lab

notebook, but in the evening made notes for himself at
[Link] does the data collected belong to ?
4. A researcher working on models for wind power prediction,
finds that the new model gives very good prediction during
certain seasons, and a high error during others. On
investigation it is found that the erratic wind speed during
some seasons, contribute to this error. The researcher finds that
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deleting a few erratic data points, improves the results

drastically. The researcher publishes the new model, with a
claim of improved accurate.
5. Prototype of an IC chip for voltage regulation, is
produced with a cost about 1/10th of what is currently
available. During the quality tests, the company notices
that the reliability of the product is around 80%.Since,
some of the applications could be critical, the CTO
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objects to the launch of the product until further

improvement. The Chairman, refuses and says that since
the cost is very low, the customer will not mind if the
failure rate is high.
6. In the early 1960’s, Stanley Milgram used deception
to recruit subjects for a psychology experiment. Subjects
were told that the research concerned the effect of
punishment on learning, when in fact it studied
obedience to authority. Is it OK? What ethical conduct
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does it violate?
7. You are the principal investigator for a study of the most effective formof
respite or short term day care services for caregivers of persons with Alzheimer's
Disease (AD). The study involves use of three groups – two treatment and one
control. One treatment group will consist of 4 hours of "day care" for the AD
person, five days per week. The second treatment group consists of three 8-hour
"day care" sessions per week forVTUthe AD person, plus a support group for the
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caregiver. The control group will not have access to either respite service, but
will simply be interviewed every month for the 3 month period to measure stress
and coping. Part of the data collection also involves some baseline assessment of
the AD person, using mental status tests and obtaining information from medical
records
The AD patients themselves are part of the research group, since they are
receiving an intervention and data is being collected from them. What concern is
there, if any, about using AD patients as subjects when they may receive no
benefit and may even be harmed (although minimally) by the "treatment"? What
are the potential problems with allowing the caregiver of the AD person to give
permission for the involvement VTU of CDOE,
the AD
Mysuruperson, since the caregiver may be
motivated by the hope of gaining personal benefit (relief from burdens of
caregiving for the duration of the study)? What could you do to eliminate those
problems? Given the special vulnerabilities of the AD population, are there any
additional restrictions or concerns about offering incentives to participate? What
additional protections, if any, should be put in place for studies like this that
involve subjects unable to protect themselves?
8. Dr. Gomez receives the following gel images from Dr. Brown
showing changes in excitin(Protein) expression with different drug
treatments.

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Dr. Gomez saw the same pattern of reduced excitin in lanes 1 and 3
shown in panel A in two experiments, but not in a third repeat (panel
B). Can she present just the results shown in panel A?
1. [Link]
2.[Link]
ng/researchethics/research-ethics-case-studies
3. [Link]
applicants/researchethics/ethics-case-studies
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VTU CDOE, Mysuru