Ethics in Research and Critical Approach

of Information data
Serge DAUCHY

Hanoi – Ho Chi Minh Ville

January 2019
 Ethics
Etymology

ἔθος (Ethos) : custom, habit, use

Derived meaning : moral principles
 Ethics
Ethics is commonly understood as rules for distinguishing
between right and wrong
 Ethical Philosophy
Aristotelian Ethics: Nicomachean Ethics

“We are not studying in order to know what virtue is, but to
become good, for otherwise there would be no profit in it” .
(NE II.2)
 Ethical Philosophy
Aristotelian Ethics

Aristotelian ethics is the attempt

to offer a rational response to the
question of how humans should
best live. Aristotle regarded ethics
and politics as two related but
seperate fields of study, since
ethics examines the good of the
individuals, while politics
examines the good of the
government (city or Polis)

Aristotle, 4th century BC

 Ethical Philosophy
The Ethics of Confucius

The Analects of Confusius

 Ethical Philosophy
The Ethics of Confucius

The superiority of
personal exemplification
over explicit rules of
behavior
 Ethics and laws
The Ten commandements:

Thou Shalt not kill

Rembrandt, 1659
 Ethics and laws
Most societies have legal rules that govern behavior. They often
use laws to enforce widely accepted moral standards and ethical
rules : human research, use of animals

Ethical norms tend to be broader and more informal than

laws.

Ethics and law are not the same. An action may be legal but
unethical or illegal but ethical.
 Ethics and laws
Legal but unethical Illegal but ethical

Gandhi: Peaceful civil

disobedience
 Ethics as Method

One may also define ethics as a method, procedure, or

perspective for deciding how to act and for analyzing
complex problems and issues.

For instance, in considering a complex issue like Global warming.

One may take an economic, ecological, political, or ethical
perspective on the problem. While an economist might examine
the cost and benefits of various policies related to global warming,
an environmental ethicist could examine the ethical values and
principles at stake
Ethics as Professional standards
Standards for behavior that suit particular aims
and goals. These standards help members of the
profession to coordinate their actions or
activities and to establish the public's trust of the
discipline.
 Ethics as Professional standard

Medecine

Hippocratic Oath
 Ethics as Professional standard
Legal professions
 Ethics as Professional standard
Finance
Ethics and research / Research Intergrity
Why it is important to adhere to ethical norms in research

1. Promote the aims of research, such as knowledge, truth

and avoidance of errors
2. Promote the values that are essential to collaborative work
3. Ensure that researchers can be held accountable to the public
4. Help to build public support for research

5. Promote a variety of other important moral and social values

 Research Intergrity
1. Promote the aims of research, such as knowledge, truth
and avoidance of errors

Prohibitions against fabricating, falsifying or misrepresenting

research data promote research and minimize errors
 Research Intergrity
2. Promote the values that are essential to collaborative work

Many ethical norms in research, such as

guidelines for authorship or copyright data
sharing policies, and confidentiality rules in
peer review, are designed to protect
intellectual property interests while
encouraging collaboration. Most researchers
want to receive credit for their contributions
and do not want to have their ideas stolen or
disclosed prematurely.
 Research Intergrity
3. Ensure that researchers can be held accountable to the public

For instance, federal policies on research misconduct,

conflicts of interest, the human conduct protections or
animal care and use are necessary in order to make sure
that researchers who are funded by public money can be
held accountable to the public.
 Research Integrity
4. Help to build public support for research

People are more likely to fund a research project if they

can trust the quality and integrity of research
 Research Intergity
5. Promote a variety of other important moral and social values

These values are social responsibility, human rights,

compliance with the law, and public health and
safety.
 Example
University of Tasmania's Responsible Conduct of
Research Framework

http://www.utas.edu.au/research-admin/research-integrity-and-
ethics-unit-rieu/research-integrity/university-of-tasmania-
responsible-conduct-of-research-framework
 University of Tasmania's Responsible Conduct of
Research Framework

1. Management of research data

♟ Retain research data and primary materials in accordance with ethical protocols,
professional standards, legal requirements and contractual standards.

♟ Keep clear and accurate records.

♟ Ensure research data and primary materials are retained for sufficient time to allow
reference to them by other researchers and interested parties.

♟ Make research data available for use by other researchers unless prevented by
ethical, privacy or confidentiality matters.
 University of Tasmania's Responsible Conduct of
Research Framework

2. Publication and dissimination of research

Researcher are expected to :

♟ Disseminate a full account of their research as broadly as possible.

♟ Ensure accuracy of publication and dissemination.
♟ Cite the work of other authors fully and accurately.
♟ Avoid making multiple submissions of research findings, except in particular and
clearly explained circumstances. Self-plagiarism is a practice of growing concern.
♟ Disclose research support accurately.
♟ Manage confidentiality requirements.
♟ Responsibly communicate research findings in the public arena.
 University of Tasmania's Responsible Conduct of
Research Framework

3. Authorship

Researcher are expected to :

♟ Agree on authorship of a publication at an early stage.

♟ Include all authors, including research trainees, who meet the criteria for
authorship.

♟ Acknowledge other contributions fairly.

♟ Extend the criteria for authorship to web-based publications.

 University of Tasmania's Responsible Conduct of
Research Framework

4. Peer Review and conflict of interest

♟ Recognise the importance of peer review and support researchers to participate in

the process

♟ Disclose any actual or apparent conflict of interest as soon as possible.

Conflict of interest is any a divergence between the individual interests of a person and
their professional responsibilities such that an independent observer might reasonably
conclude that the professional actions of that person are unduly influenced by their
own interests. 
 University of Tasmania's Responsible Conduct of
Research Framework
5. Supervision of Research

Supervisorsare expected to :

♟ Ensure training.

♟ Guide the professional development of research trainees by providing guidance in

all matters relating to research conduct and overseeing all stages of the research
process, including: identifying the research objectives and methods, conducting
the research, and reporting of research outcomes.

♟ Maintain oversight of the research outcomes.

♟ Ensure research trainees receive appropriate credit for their work.

 Ethics and research

STEP 1

Reliable data
A critical approach to information data
Some history
from ancient documents

until today’s
information sources
 Annales School

Marc BLOCH (1886-1944) Lucien FEBVRE (1878-1956)

and the use of social scientific methods
A critical Approach of Information Sources

3 stages

“External” “Internal”
Typology
Critical Approach Critical Approach
Stage 1
A general Typology of Information sources
From carved in stone
to electronic and digitalized mediums
Stage 1
A general Typology of Information sources
A traditional typology based on the historians’ work

History is based on written texts that

can be read and are understandable

Archaeologists are working with material (unwritten or incomprehensible) sources

Stage 1
A general Typology of Information sources
Unwritten sources

Oral sources

Material sources

Pictures
Stage 1
A general Typology of Information sources
Written sources

Narrative sources:
Give information

Diplomatic sources:
Prove
Stage 1
A general Typology of Information sources
A specific kind of sources : numbers

Accounting and
bookkeeping sources

Statistics

Opinion polls
Stage 1
A general Typology of Information sources
‘Mixed’ or ‘hybrid’ information sources

Text and image

Numbers and text
Stage 1
Changing Information mediums and records

Nowadays
Yesterday
Stage 2 : “External” critical Approach

✓ A formal analysis of our documentation, mainly (but not only)

grounded on “external” characteristics.

✓ An all-round verification of the origin, transmission, reasons and

purposes of the information source

✓ A verification of the authenticity and originality of our sources

Stage 2 : “External” critical Approach

3 steps to know our sources better

Identification of the information source

Authenticity

Originality
Stage 2 : “External” critical Approach
Identification of the information source

Anonymous denunciation during World War II in France

Stage 2 : “External” critical Approach
1 Identification of the information source
Author of the source
✔ Difference between ‘material’ and ‘intellectual’ author

✔ Problem of anonymous sources

✔ Several authors and contribution of each of them

Dating of the source

✔ Understand the dating and verify the date of the information and the
source
✔ Undated documents
✔ Ante and postdated documents

Origin, (Purpose) and Addressee

Stage 2 : “External” critical Approach
Authenticity

An example of Forgery or counterfeiting

Stage 2 : “External” critical Approach
2 Authenticity vs. Forgery

✓ Forgery : the creation of a false document or alteration of a genuine

one, with the intent to defraud
✓ Forgery consists of filling in blanks, or materially altering or erasing
an existing written document or image. An intend to defraud, based on
knowledge of the false nature must accompany the act.

Different forms of forgery and protection against forgery

Reasons of forgery
Stage 2 : “External” critical Approach
Forgery : some illustrations
Banknotes Official documents

Poststamps

Photographs
Stage 2 : “External” critical Approach
Originality

A recent case in Strip Cartoons

Stage 3 : “Internal” critical Approach
✓ An analysis of the credibility of the source (and its author)

✓ Correct understanding, interpretation and use of the information

Authority of the source (and its author) - Reliability of

the information medium - quality of the transmission

Interpretation of the information source

Accuracy of the information

Sincerity and honesty of the information

Stage 3 : “Internal” critical Approach
1 Authority of the author - Reliability of the
information medium - quality of the transmission
Stage 3 : “Internal” critical Approach
1 Authority of the author - Reliability of the information
medium - quality of the transmission
Direct or indirect (also called ‘roundabout’) information
to compare with “hearsay” evidence

Authority of the ‘author’

✔ Academic or professional competences
✔ Experience
✔ Particular skills or competences : analysis, synthesis, expression, scientific
popularization…

Reliability of the information medium

Quality of the transmission and/or Restitution of the

information
Stage 3 : “Internal” critical Approach
2 Interpretation of the information source

?
Stage 3 : “Internal” critical Approach
2 Interpretation of the information source
What does “interpretation” mean ?
✔ Difference between ‘interpretation’ and ‘opinion’

✔ Different levels of interpretation : literal and real

✔ Legal interpretation

Problem of translations and comprehension

✔ Translation of technical terms
✔ Different meanings of a same term according to each discipline

Interpretation of the silences of the source

Stage 3 : “Internal” critical Approach
3 Accuracy of the information

South China Morning Post

Stage 3 : “Internal” critical Approach
3 Accuracy of the information

Unintentional distortion of information : “Mistakes”

✔ Mistakes can occur at the conception, formulation, transmission or

reception of the information

✔ Lack of or excessive precision

Stage 3 : “Internal” critical Approach
4 Intentional distortions of information
Stage 3 : “Internal” critical Approach
4 Intentional distortions of information
Individual “lies”
✔ Motives
✔ Necessity to justify acts, decisions or theories
✔ self-censorship

Institutional “lies”
✔ Institutional Censorship: governments, multinationals, labor unions and
others
✔ Political, social, economical, financial justifications

Why, an interesting question to discover the truth

 Censorship
A specific kind of intentional distortion
Index : The Roman
Church and Censorship

Censorship in media
Censorship in Art and internet

Censorship by
multinational
To conclude
Some general recommendations
Always verify the origin and the nature of your sources/data
✔ What kind of information source : nature, direct or not?
✔ Who is (are) the author(s) : one ore more persons, an institution, a
governmental organization…? Is it a usual place to find that?
✔ Where did I find the information? Is it a usual information medium?

Always be critical with your sources and what the say

✔ First you have to understand the information
✔ Be critical with your information : avoid as well a lack of criticism as
excessive criticism
✔ A thesis (= defending a point of view) should be based on facts (a
confrontation of information) and on reasoning (starting from data)
Always quote your information sources (avoid plagiarism)
✔ Use italic or quotation marks or publish them at the end of your work
✔ Be always very precise in your footnotes and bibliography : name, title,
date, pages… also for references on the web.
 Ethics and research
STEP 2

Reliable Research Results in Social Sciences

Presenting my work according to ethical norms

Scientific Misconduct

"Intentional distortion of the research process

by fabrication of data, text, hypothesis, or
methods from another researcher's
manuscript form or publication; or distortion
of the research process in other ways."
 Forms of Scientific Misconduct

Main Forms
✓ Fabrication or drylabbing: making up results and recording or reporting
them.

✓ Falsification is manipulating research materials, equipment, or

processes or changing or omitting data or results

✓ Plagiarism is the appropriation of another person's ideas, processes,

results, or words without giving appropriate credit
1. Fabrication or Drylabbing
✓ Definition : “making up results and recording or reporting them”
2. Falsification

✓ Definition : “manipulating research materials, equipment, or

processes or changing or omitting data or results”
3. Plagiarism

✓ Plagiary (latin Plagiarius means kidnapper)

✓ Definition : “wrongful appropriation”, “close imitation”, or

“publication” of another author’s language, thoughts, ideas or
expressions, and the representation of them as one’s own original
work.
Originality vs Plagiarism

Le 10 mai 2011, le Tribunal de Grande Instance

de Lille a condamné N. de R., auteur d’une
thèse de droit public soutenue à l’Université
Lille 2 le 19 octobre 2007 : Droit d’auteur et
droits de l’homme. Le jugement du Tribunal
de Lille précise que la moitié de cette thèse est
un plagiat servile d’une thèse de droit privé
soutenue par Alexandre Zollinger en
novembre 2006 à l’Université de Poitiers, une
thèse déjà intitulée Droit d’auteur et droits de
l’homme. La condamnation du plagiaire vaut
« pour atteinte au droit patrimonial, atteinte
au droit moral au respect du nom et de la
qualité et atteinte au droit moral au titre du
respect de l’œuvre ». Le Tribunal a  ordonné la
publication du dispositif du jugement dans un
journal d’annonces légales.
How avoid to be suspected of Plagiarism

Identifying and citing your sources

✓ Mention precisely author(s), title, genre (books, Review, web page), date, page
✓ Where? In the body of your paper or in footnote

Quoting Material
✓ Always use “quotation” marks or italics
✓ Avoid too long quotations

List your sources and bibliography

 Forms of Scientific Misconduct

Other (secondary) Forms

✓ The violation of ethical and legal standards regarding data collection and
reproduction

✓ Ghost-writing: someone other than the named author(s) makes a major

contribution

✓ Conferring authorship on those that have not made substantial

contributions to the research.

✓ Suppression: the failure to publish significant findings due to the results

being adverse to the interests of the sponsor(s), Compagny or Government
 Ethics and research
Keywords
1. Honesty
Strive for honesty in all scientific communications. Honestly report data,
results, methods and publication status. Do not fabricate, falsify, or
misrepresent data.
2. Objectivity
Strive to avoid bias in data gathering, analysis and interpretation, in peer
review, personnel decisions, grant writing, expert testimony, and other
aspects of research where objectivity is expected or required. Disclose
personal or financial interests that may affect research.

3. Integrity
Keep your promises and agreements; act with sincerity; strive for consistency of
thought and action.

4. Legality
Know and obey relevant laws and institutional and governmental policies.
 Ethics and research
Keywords
5. Carefulness
Avoid careless errors and negligence; carefully and critically examine your own
work and the work of your peers. Keep good records of research activities,
such as data collection, research design, and correspondence with journals.
6. Openness
Share data, results, ideas, tools, resources. Be open to criticism and new ideas.

7. Respect for Intellectual Property

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 research. Never plagiarize.

8. Confidentiality
Protect confidential communications, such as papers or grants submitted for
publication, personnel records, trade or military secrets, and patient records.
 Ethics and research
Keywords
9. Competence
Maintain and improve your own professional competence and expertise
through lifelong education and learning.

10. Responsability

Responsible Publication
Publish in order to advance research and scholarship, not to advance just
your own career. Avoid wasteful and duplicative publication.
Responsible Mentoring
Help to mentor and advise students. Promote their welfare and allow
them to make their own decisions.
Social Responsibility
Strive to promote social good and prevent or mitigate social harms
through research and public education.
 Ethics and research

Essay to apply to research

Faculties and qualities which Confucius would
have one cultivate
Confucius’ principles applied to research

✓ Earnestness: "The superior man in everything puts forth his utmost

endeavours." (Great Learning, ii., 4.)

✓ Sincerity: "The superior man must make his thoughts sincere." (Great
Learning, vi., 4.)

✓ Truthfulness: "What the superior man requires is that in what he says

there may be nothing inaccurate." (Analects, bk. xiii., c. iii., v. 7.)

✓ Love of truth: "The object of the superior man is truth." (Analects, bk.
xv., c. xxxi.)
Confucius’ principles applied to research

✓ Rectitude: "The superior man thinks of virtue; the ordinary man thinks
of comfort." (Analects, bk. iv., c. xi.)

✓ Prudence: "The superior man wishes to be slow in his words and earnest
in his conduct." (Analects, bk. iv., c. xxiv.)

✓ Broadmindedness: "The superior man honours talent and virtue and

bears with all. He praises the good and pities the incompetent." (Analects,
bk. xix., c. iii.)
✓ Moderation: "The superior man conforms with the path of the mean."
(Doctrine of the Mean, c. xi., vi. 3.)