Characteristics,

Processes and
Ethics of Research
OBJECTIVES
⮚ DESCRIBE THE CHARACTERISTICS OF
RESEARCH;
⮚ ILLUSTRATE THE PROCESSES OF RESEARCH;
AND
⮚ DEFINE ETHICS IN RESEARCH.
 What I Know

Read and analyze the following statements carefully. Write FACT if you think the statement is correct,
and BLUFF if incorrect.

__________ 1. Research should be empirical.

__________ 2. Research should be subjective.

__________ 3. Research follows a system in formulating its components.

__________ 4. Any unusual phenomenon may happen and can turn into a
potential problem.

__________ 5. The first step in writing a research is identifying any problem.

 __________ 6.
Research can be done in just one sitting.
__________ 7. The research process entails a careful investigation
leading to the discovery of new ideas, methods, or
improvements.

__________ 8. Conducting a research may be done individually or

collaboratively.

__________ 9. A researcher must always adhere to the ethical codes and

policies of research.

__________ 10. Proper acknowledgment should only be given to chosen

authors cited and sources used in research.
 Lesson

1 Characteristics of Research

Arrange the following jumbled letters to form the different characteristics of research. Place the correct
letter in each box.
Characteristics of Research (Cristobal & Cristobal, 2017)

1. Research should be systematic.

- The researcher needs to carry out a series of interrelated steps in conducting the study. Such
procedure must follow a well-planned, sequential and organized structure from beginning
to end.

- The research paper is divided into macrosystem and microsystem.

The former refers to different chapters labeled with main headings, while the latter consists of
various elements detailing the contents of each part.

2. Research should be objective.

- The researcher needs to present information that are purely based on truths. It should always be
anchored on the factual basis in which the research work is founded, thus being free from any
bias or personal opinion.
3. Research should be feasible.
- The researcher needs to consider the possibility and practicality of conducting the proposed study.
All significant factors like time, budget and access to resources must be analyzed to determine if
the research can actually be done.

4. Research should be empirical.

- The researcher needs to employ appropriate methods, either
quantitatively or qualitatively, to produce evidence-based
information. They can be drawn from concrete experimentation,
direct or indirect observation, and verifiable experience.

5. Research should be clear.

- The researcher needs to use comprehensible language to present
information and convey explanation throughout the research process. The factors to be
manipulated, measured or described in the study, also known as variables, must be clarified using
literature from published and unpublished materials. They should be explained well from the
introductory part of the research paper to ensure a deeper understanding of the study to be
conducted.
 What’s More
Think of any symbol that represents each characteristic of research. Draw them
inside the circles of the given concept map. Write your answers on your notebook.

Research
 What are the five basic characteristics of research? Write your answers on your notebook.
1. ____________________
2. ____________________
3. ____________________
4. ____________________
5. ____________________

What I Can Do

Examine the following research scenarios and identify what characteristic of research is disregarded. Then,
suggest how can the researcher improve his/her work.
1. The researcher lacks explanation on the identified variables being studied.
Characteristic disregarded: ____________________________________________
Suggestion: ______________________________________________________________________________
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2. The researcher does not follow the standard format in writing the research
paper.

Characteristic disregarded: ____________________________________________

Suggestion: ___________________________________________________________
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3. The researcher relies on the opinion of other researchers.

Characteristic disregarded: ____________________________________________

Suggestion: ___________________________________________________________
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4. The researcher thinks of an implausible problem to solve.

Characteristic disregarded: ____________________________________________

Suggestion: ___________________________________________________________
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5. The researcher uses information from a fabricated experimentation.

Characteristic disregarded: ____________________________________________

Suggestion: ___________________________________________________________
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 Assessment
Identify whether the following scenarios show different characteristics of a good research. Write
ACCEPT if it does, and REJECT if it does not.

__________ 1. Organizing the study in a logical manner

__________ 2. Disregarding the basis on which the work is founded
__________ 3. Validating the results of the study
__________ 4. Basing on biases
__________ 5. Analyzing phenomena of importance
__________ 6. Providing fabricated information
__________ 7. Presenting opinions
__________ 8. Considering the extraordinary nature of things
__________ 9. Evaluating sources of information
__________ 10. Counterchecking different evidence
Choose one among the five characteristics of research and explain how you can apply it in
writing your own research. Express your answer in at least five sentences.

systematic objective feasible

empirical clear

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Lesson
The Research Process
2
Can you help the researcher get out of the maze to achieve his goal?
 The Research Process
Research process is a systematic manner in which the researcher approaches his/her area of study to produce
knowledge that the community will consider to be worthwhile within the field (Rao, 2017). Understanding
such process is an important step towards executing any study. The following table shows the five phases of
the research process along with their definition (Whittemore & Melkus, 2008).

Research Phase Definition

Conceptual Phase Identifying the problem, reviewing the literature,
formulating the hypothesis, developing the research framework, and determining
the research purpose and objective
Design and Selecting a research design, developing study procedures,
Planning Phase and determining the sampling and data collection plan
Empirical Phase Collecting data, and preparing data for analysis
Analytic Phase Analyzing data, interpreting the results, and making conclusions
Dissemination Communicating results to appropriate audience, and utilizing the findings
Phase
Now, here’s the simplified flow of the significant steps you need to take in conducting a study as presented
by Rao (2017):

1. Define the research problem.

To begin your research, you must look at a significant real-life problem. Factors like area of
interest, availability of fund, socio-economic significance of the study, and the safety measures to be
undertaken should be considered in finding and defining the research problem.
The researcher identifies English language proficiency as a problem of aspiring maritime students
in qualifying for admission to prestigious maritime institutions.

2. Review the literature.

Read various publications or surf the internet to become aware of the previous works already done
about the chosen topic. You may utilize different resources like science books, magazines, journals,
newspapers, or even in the internet.
The researcher reviews previous studies conducted about English language proficiency and
the experienced difficulties of aspiring maritime students.
3. Formulate hypothesis.
A hypothesis is a theoretical statement in solving a logical relationship
between variables. It should be based on the problem being solved.
The researcher hypothesizes that the implementation of English-Only Policy (EOP) in the
classroom can improve the English language proficiency of Pre-Baccalaureate Maritime
students.

4. Prepare the research design.

Identify what is the best means to collect and analyze data in the study
to clarify and improve the research problem, purpose, and questions.
The researcher uses an experimental design on exploring the experiences
of the students in implementing EOP.

5. Collect data.
Use an appropriate data collection method to elicit the needed
information.
The researcher collects data through interview and focus group
discussion.
6. Analyze data.
Utilize strategies and methods that make sense of the data to answer the research
problem.
The researcher analyzes the data by drawing patterns and themes from the
generated data.

7. Interpret and report the findings.

Put the information in perspective and present the solution to the proposed
problem based on the findings of the investigation.
The researcher interprets and reports the findings based on the collected and
analyzed data to solve the research problem .
For a clearer understanding of the process, study the following schematic diagram:

Define the Prepare Interpret

Review the Formulate the Collect Analyze and report
research
literature hypothesis research data data the
problem
design findings
Arrange the following steps to illustrate the research process. Use one to seven (1-7) to indicate the
correct chronological order.
1. Prepare the research design 4. Analyze data
2. Interpret and report the 5. Review the literature
findings 6. Collect data
3. Define the research 7. Formulate hypothesis
problem

What I Have Learned

1. What are the five phases of the research process?

___________________________________________________________________________
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2. Will you enumerate the seven significant steps in conducting a study?
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 What I Can Do

Think of a topic that you’d like to research about. Then, compose a short narrative essay describing the
chronological steps you will take in conducting your study. Be guided with the given rubric below. Write
your essay on your notebook.
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 Rubric for Assessing an Essay
VGE GE SE LE N
(5) (4) (3) (2) (1)

CRITERIA
1. The essay demonstrates an understanding
of the research process.
2. The essay descriptively narrates the
chronological steps in conducting a study based on the chosen
topic.
3. The essay follows the correct format.
4. The essay is written coherently and cohesively.
5. The word choice is appropriate.
6. The essay is free from grammatical errors.
Legend: TOTAL
OVERALL
VGE – To aSCORE
very great extent GE – To/30
a great extent
SE – To some extent LE – To a little extent
N – Not at all
 Assessment
Categorize the following steps in which phase of the research process they belong to. Use the legend
below, and write your answers on your notebook.

A – Conceptual Phase D – Analytic Phase

B – Design and Planning Phase C – E – Dissemination Phase
Empirical Phase

__________ 1. Making conclusions

__________ 2. Developing study procedures
__________ 3. Identifying the problem
__________ 4. Selecting a research design
__________ 5. Developing the research framework
__________ 6. Collecting data
__________ 7. Interpreting results
__________ 8. Analyzing data
__________ 9. Reviewing the literature
__________ 10. Determining the sampling and data collection plan
Which do you think among the five phases of the research process can be done easily?
Choose one from the box and justify your answer in at least five sentences.

Conceptualizing Phase Design and Planning Phase

Empirical Phase Analytic Phase Dissemination Phase

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 Lesson
Ethics in Research
3
What’s In
Search for the terms in the word puzzle below by using the given clues.
1. Adhering to the facts 6. Expressing high regard
2. Being free from biases 7. Keeping privacy
3. Exhibiting morality 8. Taking accountability
4. Showing concern 9. Having adequate capabilities
5. Accepting differences 10. Observing lawfulness
 Thousands of Indians Die in Unethical Clinical Trials
(Subramanian, 2018)

Thousands of Indians have died in unethical clinical trials over the past decade, even as a
lawsuit to improve regulation of these trials has dragged unresolved through the Supreme
Court for six years.

Between January 2005 and November 2017, 4,967 people died during the course of drug
trials and research, according to government data obtained by a non-profit called Swasthya
Adhikar Manch (SAM). Another 20,000 odd people have suffered adverse reactions in such
trials.

Pharmaceutical companies have offered compensation to the families of the deceased only in
187 of these cases, said Amulya Nidhi, who founded SAM. At least 475 drugs have been
tested in trials during this time, according to Sanjay Parikh, the lawyer representing SAM in
the lawsuit it filed against the government in 2012.
The trials take advantage of loopholes in rules, loose oversight, and India’s large
population of poor people who are often unaware of their rights as trial subjects, Mr.
Nidhi said. “We need a strong regulatory system, and we need action on violators.”

The number of clinical trials in India rose after 2005, when India relaxed its testing
laws. Drug companies began to recruit clinical research outsourcing firms to conduct
trials in India, where costs are drastically lower.

The annual revenue of these outsourcing firms has grown from $485 million in 2010-
11 to over $1 billion today, according to research from Frost & Sullivan, a market
consultancy.
India’s regulators have been unable to keep up with this explosion of testing. For instance, Mr.
Nidhi said, an ethics committee is supposed to oversee every trial. “At one point, in
Chandigarh, there were 257 trials going on, but only one ethics committee overseeing them,”
he said. “How is that even possible?”

Trials take place under the radar as well, Mr. Parikh said, sometimes by simply paying poor
subjects around 500 rupees a day and enlisting them. The details of the trials and the data
harvested remain with the companies. “There’s no way to find this stuff out.”

In 2013, following an interim order from the Supreme Court, the government made it
mandatory for companies to seek written informed consent from each subject before a trial, and
for the process of seeking this consent to be recorded on video.

In reality, however, this rarely happens. What is more commonplace, Mr. Nidhi said, is the kind
of experience Pradeep Gehlot had. His story, as narrated to SAM, forms part of the non-profit’s
case in court.
Mr. Gehlot drives an auto rickshaw in the city of Indore, and when his father Srikrishna, a
tailor, fell ill with breathlessness and chest pain, he admitted him to a government hospital.

In the hospital, Mr. Gehlot was given a sheaf of papers to sign. They were in English, which
he couldn’t read very well, but the doctors told him that his father would be treated, free of
charge, with imported drugs, so Mr. Gehlot went ahead and signed.

“Without his consent, Srikrishna was in a clinical trial for nearly two years,” Mr. Nidhi
said. “His health started deteriorating, and he died in 2012.”

When SAM heard about the case and sent a team to talk to Mr. Gehlot, they confirmed from
the documents that a trial had been conducted.
After Mr. Gehlot complained, the doctor’s medical license was suspended for three
months. SAM uncovered other cases of ethical violations in a different Indore
hospital and filed further complaints.

The state government, after investigating the hospital, found that 81 “serious
adverse events”—including 32 deaths—occurred during clinical trials on more than
3,000 people. These adverse events had not previously been reported to regulators.
A third Indore hospital enlisted 1,833 children and 233 mentally ill individuals in
trials without their consent, the investigators’ report found.

The report also suggested that doctors and clinicians running these trials had
frequently been sent on trips overseas, or had been paid out of process, by
pharmaceutical companies.
Punitive measures are weak, however. After its inquiry, the government imposed fines of
$100 apiece on 12 doctors for not cooperating with its investigations. Two doctors were
barred from conducting further trials for a period of six months.

But Chirag Trivedi, the president of the Indian Society for Clinical Research, a professional
body representing pharmaceutical researchers, argued that the country’s rules are actually
over-stringent, and that they have shrunk the number of ongoing trials.

One regulation, for example, calls for companies to also pay for management of all medical
problems during trials, which is unfair, he said.

“There was a cardiovascular drug trial, which is for a heart ailment, where the company
had to pay for tuberculosis treatment for nine months,” Mr. Trivedi said. “We all know
that tuberculosis is caused by bacteria, not by any drug, and not by a clinical trial for a
heart ailment.”
In every case that has warranted compensation, companies have paid out, he said. Mr. Trivedi
admitted that, “as in any industry,” there were companies that indulged in unethical trials as well.
“We cannot condone any irregularities,” he said. “Whatever protects the rights and safety of
individuals, we will support such that. Every life is precious. We can’t treat Indians as guinea
pigs.”

He also pointed out that clinical trials are vital to drug development. “The medicines that help
you and me—they wouldn’t be available without trials.”

The next hearing of SAM’s lawsuit in the Supreme Court has been scheduled for December 4,
but all parties to the suit have been asked to file their suggestions for an amended law next
month, Mr. Nidhi said.

But the regulations before 2005 were both sufficient and comprehensive, Mr. Nidhi said. “Bring
back the law that existed before 2005. That is what we are asking.”
Importance of Ethics in Research

Resnik (2015), in his article, “What is Ethics in Research & Why is it important?”,
as cited by Cristobal & Cristobal (2017), enumerates the following reasons why it is
important to follow ethical principles in writing and conducting a research:

1. It promotes the aims of research.

Ethics guides the researchers in obtaining knowledge, truth, and
avoidance of error by prohibiting fabrication, falsification and
misrepresentation of research data.

2. It upholds values that are essential to collaborative work.

Many researchers who are working in different disciplines and institutions
cooperate and coordinate to accomplish a particular research. With ethics in mind, they
also maintain trust, accountability, mutual respect, and fairness.
3. It ensures that researchers can be held accountable to the public.
Ethical norms guarantee the public that researchers are deemed responsible
for committing any form of research misconduct.

4. It builds public support for research.

People express and lend their support by all means if they can trust the quality
and integrity of research.

5. It promotes a variety of moral and social values.

Ethical principles help the researcher avoid practices that can adversely harm the
research subjects and the community. Thus, it encourages social responsibility,
human rights, animal welfare, compliance with the law, and public health and safety.
 Ethical Codes and Policies for Research
Cristobal & Cristobal (2017), in their book, “Practical Research 1 for Senior High School”,
lists the following ethical codes and policies that the researcher needs to consider in conducting
a study:
1. Honesty
The researcher should strive to truthfully report data in whatever
form of communication all throughout the study.

2. Objectivity
The researcher should avoid being biased. The study should not be
influenced by his/her personal motives, beliefs and opinions.

3. Integrity
The researcher should establish credibility through the consistency of his/her
thought and action. He/she should act with sincerity especially on keeping agreements.
4. Care
The researcher should never neglect even the smallest detail of the study. All information
should be critically examined. Records of research activities should be properly and securely
kept.

5. Openness
The researcher should be willing to accept criticisms and new ideas for the betterment of
the study. Research results and findings should be shared to the public.

6. Respect for intellectual property

The researcher should not plagiarize. Credit should be given to who or where it is due. All
authors cited and sources used in the study should be properly acknowledged.
- Plagiarism refers to the act of illegally using another person’s ideas, works, processes,
and results. Thus, it constitutes claiming an intellectual property as one’s own that
can be penalized through Republic Act 8293 known as the Intellectual Property Code of
the Philippines.
7. Confidentiality
The researcher should take steps to protect all confidential
communications or documents from being discovered by others.

8. Responsible publication
The researcher should ensure that his/her work is clear, honest, complete,
accurate, and balanced, thus avoiding wasteful and duplicate publication. It
should likewise refrain from selective, misleading, or ambiguous reporting.

9. Responsible mentoring
The researcher should teach responsible conduct of research and share
professional knowledge and skills especially to new or less- experienced
researchers.
10. Respect for colleagues
The researcher should show courtesy to his/her colleagues by
treating them equally and fairly.

11. Social responsibility

The researcher should promote social good by working for the best
interests and benefits of the environment and society as a whole.

12. Non-discrimination
The researcher should not discriminate based on sex, race, ethnicity,
or any factor relating to scientific competence and integrity. Thus,
research should be open to all people or entities who will participate in
research.
13. Competence
The researcher should possess necessary knowledge and skills in conducting a
study. He/she should be equipped with a sense of professionalism and expertise
to ensure competent results.

14. Legality
The researcher should know and abide by relevant laws, institutional and
government policies concerning the legal conduct of research.

15. Human Subject Protection

The researcher should protect human lives by preventing and minimizing
harms and risks. He/she should always uphold the human dignity, privacy, and
autonomy of human subjects to be used in the study.
Rights of Research Participants
In every aspect of life, rights and responsibilities are inseparably linked to one another. This means that
both the researcher and the participant have necessary obligations to perform as a prerequisite of
their privileges in conducting research. According to Trochim (2006), Smith (2003) and Polit (2006),
the following are some of the rights of research participants, as cited by Cristobal & Cristobal (2017):

1. Voluntary participation
The research participants must be given the privilege to exercise their free will whether to
participate or not. They have the right to refuse involvement in the study. Thus, any person
should not be forced to take part in any research undertaking.
2. Informed consent
The research participants must be provided with sufficient information about the procedures
and risks involved in the research. It serves as an initial guide on why and how the study will be
conducted. Hence, the researcher must ensure that they fully understood and agreed upon the study.
3. Risk of harm
The research participants must be protected from any type of harm whether it may be
physical, psychological, social, or economic. The researcher must avoid, prevent, or
minimize threats especially when they are exposed and engaged in invasive and risky
procedures.

4. Confidentiality
The research participants must be assured of their privacy particularly on personal
information. The researcher must secure that all information disclosed by them will not be
used without authorized access.

5. Anonymity
The research participants must remain anonymous or unidentified throughout the
study even to the researchers themselves. They have the right to keep their identities
secret as they participate especially in case- sensitive studies.
 Suggest appropriate ethical actions that must be undertaken in order to correct the unethical
practices presented below. Consider the ethical principles that must be followed in conducting a
research.

Unethical Practices Ethical Actions

1. Bella, a graduating student, claimed the research work of her classmate. She
erased the name of the original researcher and placed her own.
2. Joseph, the class president, forced
his classmates to participate in his study.
3. A group of research students secretly chose their adviser as the subject of their
research.
4. Sheila, an honor student, ranked last in the honor roll because of non- participation
in extra-curricular activities. A qualitative research
about her is conducted without informing her.
5. Delbert, a senior high school student, is planning to carry out his first research on
the misbehavior of fellow students during examinations. However, he has no idea
on the
ethical guidelines in conducting such research.
 What I Have Learned

At this point, you already learned a lot about ethics in research. Now, can you recall the
importance of ethical codes and policies?
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What should you consider most among the different ethical codes and policies when conducting a
study? Why do you think so?
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Complete the following phrases by referring to the ethical principles for research.

1. When I conduct research, I will ______________________________________

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2. The participants of my study will be __________________________________

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3. To finally arrive at the best findings, I will _______________________________

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 Assessment
Identify whether the following actions follow the ethical codes and policies for research. Write GO
if you think it is ethical, and STOP if it is unethical.

__________ 1. Securing the safety of research participants

__________ 2. Rejecting criticisms from others
__________ 3. Exposing personal identity of respondents
__________ 4. Carrying out inconsistent actions
__________ 5. Treating all peers equally
__________ 6. Duplicating other publications
__________ 7. Obeying relevant laws
__________ 8. Keeping agreements
__________ 9. Searching from credible online sources of information
__________ 10. Falsifying reported data and results
Pick one from the rights of research participants inside the box. Then, explain how you can
personally apply it in conducting your own research in the future. Express your ideas in at
least five sentences. Write your explanation on your notebook.

Voluntary Participation Confidentiality Anonymity

Informed Consent Risk of Harm

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