The Rationale

Research Ethics the application of moral rules and professional codes of conduct to the collection,
analysis, reporting, and publication of information about research subjects, in particular active
acceptance of subjects’ right to privacy, confidentiality, and informed consent. Until recently sociologists
(and social scientists generally) often displayed arrogance in their treatment of research subjects,
justifying their actions by search for truth. This trend is now being redressed, especially in industrial
societies, with the adoption of formal codes of conduct, and greater emphasis on ethical research
procedures.

Research ethics are important for a number of reasons.

 They promote the aims of research, such as expanding knowledge.

 They support the values required for collaborative work, such as mutual respect and fairness.
This is essential because scientific research depends on collaboration between researchers and
groups.
 They mean that researchers can be held accountable for their actions. Many researchers are
supported by public money, and regulations of conflicts on interest, misconduct, and research
involving humans or animals are necessary to ensure that money Is spent appropriately.
 They ensure that the public can trust research. For people to support and fund research, they
have to be confident in it.
 They support important social and moral values, such as the principle of doing no harm to
others.

Likewise, ethical codes cover the following areas:

 Honesty and Integrity

This means that you need to report your research honestly, and that this applies to your
methods (what you did), your data, your results, and whether you have previously published any
of it. You should not make up any data, including extrapolating unreasonably from some of your
results, or do anything which could be construed as trying to mislead anyone. It is better to
undersell than over-exaggerate your findings.

When working with others, you should always keep to any agreements and act sincerely.
 Objectivity
You should aim to avoid bias in any aspect of your research, including design, data analysis,
interpretation and peer review.

 Carefulness
Take care in carrying out your research to avoid careless mistakes. You should also review your
work carefully and critically to ensure that your results are credible. It is also important to keep
full records of your research. If you are asked to act as a peer reviewer you should take time to
do the job effectively and fully.
 Openness
You should always be prepared to share your data and results, along with new tools that you
have developed, when you publish your finding, as this helps to further and advance science.
You should also be open to criticism and new ideas.

 Respect for Intellectual Property

You should never plagiarize, or copy, or other people’s work and try to pass it off as your own.
You should always ask for permission before using other people’s tools or methods, unpublished
data or results. Not doing so is plagiarism. Obviously, you need to respect copyrights and
patents, together with other forms of intellectual property, and always acknowledge
contributions to your research. If in doubt, acknowledge to avoid any risk of plagiarism.

 Responsible Publication
You should publish to advance state if research and knowledge, and not just to advance your
career. This means, in essence, that you should not publish anything that is not new, or that
duplicates someone else’s work.

 Legality
You should always be aware of laws and regulations that govern your work, and be sure that you
conform to them.

 Animal Care
If you are using animals in your research, you should always be sure that your experiments are
both necessary and well-designed. You should also show respect for the animals you are using,
and make sure that they are properly cared for.

 Human Subjects Protection

If your research involves people, you should make sure that you reduce any possible harm to the
minimum, and maximize the benefits both to participants and other people. This means, for
example, that you should not expose people to more tests than are strictly necessary to fulfil
your research aims. You should always respect human rights, including the right to privacy and
autonomy. You may need to take particular care with vulnerable groups, which include, but are
not limited to, children, older people, and those with learning difficulties.
The University Research Ethics Review Committee

1. Preliminary
The URERC is the body tasked to govern the ethics of research across the University. Cognizant of
the institution’s pursuit of its research functions, the Committee ensures that researches of
faculty and students both in the undergraduate and graduate levels are of the highest standards
of humanistic and scientific integrity and ethical accountability.

2. Focus Tasks
1.1.Identify and assess the risks and potential benefits of research.
2.1. Provide guidance for the strict adherence to the University Primer for the Responsible
Conduct of Research, international, national and disciplinal guides and research ethics.

“Ethics is the missing step between addressing the

infiniteness of the universe and reconciling it with the
existence of life on earth.”
(Boone, 2017, p. 10)

The Composition of the Ethics Committee

1. Chair – Dr. Jaime Gutierrez – Ang

Director, Research and Publications Office
2. Co – chairs – Deans of the Colleges and Graduate School (PCU)
3. Research Coordinators of All Colleges (without administrative position)
4. Prof. Erickson Amion (Behavioral Science Specialist)
De La Salle University – Manila
5. Dr. Kathleen Tiglao (Social Scientist)
6. Dr. Teresita C. Fortuna, CESO III
University of the Philippines, Los Baños
and Department of Science and Technology
7. Corazon Bernardo (lay member)
REX Bookstore and Publications
8. Dr. Margie DG. Dela Cruz
Director for External Affairs
9. Dr. Russwell G. Gariando
Head, Human Resource Management Office, PCU
10. Dr. Vida D. Jimenez
Director for Online Education and
Professional Advancement for Continuing Education, PCU

11. Dr. Adonis A. Andilab

 Department Head, GSBM – Post Doctoral and Ph.D. Programs
12. Assoc. Prof. Ariel Pineda
Internal Auditor, PCU

Code of Research Ethics and Guide to Responsible Conduct of Research

1. The Principle of Integrity and Honesty

1.1. Competence in the conduct of research

1.1.1. Conduct all research activities in accordance with the accepted standards of our
discipline.
1.1.2. Refrain from accepting or undertaking research assignments requiring competencies
that we do not have, unless collaborating with or being supervised by a more
knowledgeable scholar.
1.1.3. Avoid claiming or implying a degree of research competency that we do not possess
in proposals, job applications, resumes, or in the ordinary conduct of affairs.

1.2.Accuracy of research data and reports

1.2.1. Ensure the accuracy of all data that we and our collaborators have gathered
and/or used in our research.
1.2.2. Ensure that the only corrects data, information, and research results shall be
reported in journals, conferences, and reports to clients in case of commissioned
research.
1.2.3. Take reasonable steps to rectify significant errors that we or others have found
in our published data, via the issuance of erratum, retraction, or correction of
the data.
1.2.4. Avoid misleading statements or declarations and vague assertions that could be
subject to misinterpretation. If such misinterpretation is brought to out
attention, it is our obligation to immediately issue a clarification or rectification.
1.2.5. Avoid making exaggerated claims that are not warranted by the results of our
research inquiry.

1.3. Acknowledgement of sources of data/information or other contribution to the research

1.3.1. Not to plagiarize; that is, to present portions of another’s report or data as our own,
even if the other work or data source is cited occasionally.
1.3.2. Cite clearly all sources of information and data that we use which are not the results
of our own research.
1.3.3. Give proper acknowledge and credit to research/funding sources of our research.
1.3.4. Grant and limit authorship to those who made a significant contribution to the
research endeavor.

1.4. Openness and responsibility in the conduct and presentation of research

1.4.1. Keep detailed and complete records of our research undertaking.
1.4.2. Be transparent in the use and disbursement of resources for our research.
 1.4.3. Declare promptly any conflict of interest in our engagement in research and
presentation of research results.
1.4.4. Ensure that our research results are accessible to the public once the research is
concluded or as soon as is reasonable.
1.4.5. Respect the confidentiality of sources by not using or releasing data and
information revealed to us in confidence.

1.5.Openness and responsibility in the conduct and presentation of research

1.5.1. Report violations of any of the principles and rules found here (or in
supplementary guidelines) to the office or committee that has been duly
mandated to evaluate and act on possible violations of this ethical code.

2. The Principle of Justice and Fairness

2.1. Extension of due regard and collegiality towards fellow researchers

2.1.1. Render our peers, colleagues, students, and research participants the respect
that they deserve.
2.1.2. Provide assistance to other researchers, especially if we are uniquely qualified to
do so by our expertise.
2.1.3. Respect the confidentiality and proprietary rights of our peers, colleagues, and
students whose material we review for publication, presentation, or funding by
a grant.
2.1.4. Take diligent care of equipment, material resources, and results.

2.2. Credit of others’ contribution, resources, and materials utilized in research

2.2.1. Grant authorship in accordance with the significance of collaborators’
contribution in the research.
2.2.2. Appropriately attribute and credit to others their accomplishments and research
results which we may have utilized in our own research.
2.2.3. Acknowledge the material contribution of others in our research undertaking.
2.2.4. Utilize, distribute, or share material resources and equipment in accordance
with the conditions set by their source or benefactor.

2.3. Recognition of intellectual property rights (i.e., copyright, patents)

2.3.1. Discuss among stakeholders (i.e., the author or inventor, the University, the
funding source or benefactor) the fair distribution of legal ownership of the
research and/or its product.
2.3.2. Distribute fairly the legal ownership of the research and/or its products among
the stakeholders.

3. The Principle of Safety and Beneficence

3.1. Responsible dissemination of scientific knowledge to the public

 3.1.1. Call the attention of the public and the authorities to any hazard we observe
that threatens human and environmental safety.
3.1.2. Inform the community of scientific knowledge pertaining to human practices,
attitudes, events, and other phenomena that present unequivocal and
significant risk or benefit to human welfare.
3.1.3. Avoid making misleading or exaggerated statements, or publicizing equivocal
research findings as a fact.

3.2. Safe and responsible conduct of research

3.2.1. Observe safety practices in all our research activities.

3.2.2. Avoid deliberate violation or circumvention of regulations governing research.
3.2.3. Refrain from causing harm, stress or pain to any animal in any experiment that
does not contribute any substantial benefit to human society that has not been
discovered already. For experiments on animals which cannot be avoided, it is
our duty to treat them humanely, minimize the pain and to undertake curative
measures thereafter.
3.2.4. Ensure that laboratory wastes are properly disposed or treated, and our
research activities do not result in environmental degradation.
3.2.5. Point out to our client’s potential dangers or threat to their interest.

3.3.Promotion of the interests of the community

3.3.1. To the extent that is applicable or possible, conduct research that serves the
needs and promotes the best interests of the community or persons who will be
affected by the research.
3.3.2. To the extent that is applicable or possible, seek the involvement of the
community in the determination of their best interests and how to address them
in the research.

4. The Principle of Respect for Human Rights and Dignity

3.4. Extension of equal treatment and respect toward research participants and consumers
3.4.1. Respect cultural, individual, and role differences among research participants
and consumers, including those based on age, sex, gender identity, sexual
orientation, nationality, ethnicity, disability, language, or socio-economic status
3.4.2. Eliminate from our research practices and reports any biases that are based on
the aforementioned factors.

3.5. Humane and respectful treatment of human participants in research

3.5.1. Desist from subjecting persons to any experiment or research procedure that is
known beforehand to cause harm, stress, or pain with no overwhelming benefit.
3.5.2. Take immediate and appropriate streps to alleviate any physical or physiological
harm that may have been inflicted on a participant because of our research
procedures.
 3.5.3. Use deception only when justified by the study’s significant prospective
scientific, educational, or applied value and where effective nondeceptive
alternative procedures are not feasible. In these cases, the participant should be
informed of the true nature of the study as soon as is feasible and is permitted
to withdraw his or her data.
3.5.4. Provide participants with the opportunity to obtain information about the
design, procedures, results, and the conclusions of the research.

3.6.Guarding participants’ confidentiality and autonomy rights

3.6.1. Protect our participants’ right to privacy and confidentiality.
3.6.2. Ensure that informed consent is obtained from all human participants of our
experiments and studies. That is, participants are free to decide on their
involvement only after we have provided them with information that is relevant
to that decision.
3.6.3. Maintain the autonomy of participants, especially students and subordinates, by
refraining from offering inducements that may serve to coerce them into
participating.
3.6.4. Safeguard the rights and welfare of persons and communities whose status and
vulnerabilities may impair autonomous decision-making.

5. The Principle of Respect for Human Rights and Dignity

1.1. Collaboration in Research

Researchers must engage in research projects within the range of their competencies and
collaborate with others to complement their expertise. In collaborative researchers not only
take responsibility for the quality and integrity of their own contribution to the research
project, but must also demand the same standards from their collaborators.

1.2. Conflicts of Interest

Guided by the principles of honesty, integrity, professionalism, and accountability, the
conduct of research at Philippine Christian University proceed in atmosphere of trust.
Situations in which trust between participants in the research process is, could be, or
perceived to be compromised by personal, financial, professional, and/or institutional
considerations must be forthrightly disclosed and resolved in a transparent and fair manner.

1.3. Dealing with Research Participants and Communities

Good ethical practices in dealing with research participants involve voluntary participation,
and informed consent, ensuring the safety and security of the respondents, and keeping the
confidentiality of the respondents sacrosanct.

1.4. Dealing with Human Subjects

Subjecting human beings or samples taken from their body to tests and experiments must
only be done when there is a likely beneficial to society. Not only must voluntary
 participation and informed consent be enforced, researchers must also uphold the dignity,
protect the rights, guarantee the safety, and preserve the well-being of the human subjects.

1.5. Dealing with Animals and Research

Animals are only used in research when there is no other alternative. Whenever possible,
higher animals are replaced by lower of insentient animals, insects, cell cultures or non-
animal models. The research project must be design to require as few animals as possible,
and refined to decrease or minimize potential pain, suffering, or distress for the animals.

1.6. Ensuring Safety and Protecting the Environment

Researchers must be mindful not only of their own safety but also that of their fellow
workers, research subjects and participants, and the community at large and the
environment in the conduct of their research. They must take extra measures to ensure safe
handling and the proper disposal or storage of hazardous items, microorganisms and genetic
materials, to avoid the overcollection of wildlife specimens, and to avert the introduction of
non-native species in their research locale.

1.7. Research Dissemination, Publication and Authorship

In fulfilling their responsibility to the community, researchers must report research finding in
a full, open, non-selective, unbiased, and timely manner to the relevant community. They
must report the research activities as they were actually carries out, and describe accurately
and in adequate detail the research methods used to help ensure repeatability and
replicability of the research findings.

Researchers and research organizations present the best understanding of other scholarly
work in their reviews and syntheses, and when these are used or referred to in analyses.
They must not report the work of other in a manner that could misrepresent it as their own
work.

Authorship must be granted to all those whose intellectual contribution is substantial

enough for him/her to take public responsibility in the conception, design, analysis, and the
drafting of the research report. Under the principle of accountability, all authors must give
their final approval of the report before it is submitted for publication or presentation.

1.8. On Peer Review

Peer review refers to the thorough, fair, and objective evaluation of components of the
research process by experts in the area or discipline pertinent to the review subject, and is
an essential component of the conduct of research. Decisions on components of the
research process, particularly the funding of research proposals and the dissemination of
research results, must be based on peer review. Philippine Christian University recognizes
peer review as a critical factor in maintaining a culture of excellence and collegiality in the
responsible conduct of research.
1.8.1. To maintain ethical
standards and uphold the principle of excellence, peer review should be conducted on all
 research proposals, research reports, materials prepared or submitted for dissemination,
research protocols, and research programs performed by researchers. Peer review is also a
standard component in processes such as the arbitration of project financing, acceptance
of publication, screening and selection of applicants, and the evaluation of groups,
departments, and organizations.
1.8.1.1. The review process
is tailored to the level of review, to characteristics of the programs/project being
reviewed, and to the purpose and goals of the review. Research organizations are
responsible for customizing and managing the review process according to the needs
of the disciplines or areas within their purview.
1.8.1.2. All research
proposals are assessed against the same set of consistent and explicit standards, and
the process and procedures applied are open and transparent. The University and
pertinent research organizations ensure that review subjects are fully informed of the
review process and its outcomes.
1.8.1.3. Codes and policies
governing conflicts of interest apply to the peer review process. Transparency is
maintained through the process. Conflicts of interest are resolved or manages using
mechanisms established by the University and pertinent research organizations.
1.8.1.4. Research
organizations and academic units in the University create and enforce guidelines for
the writing of peer reviews to ensure that there are substantial, comprehensive, and
detailed.
1.8.1.5. Contact with peer
reviewers initiate by review subjects is prohibited. The identity of peer reviewers is
withheld from authors or review subjects whenever necessary.

6. Guidelines/Policies on Responsible conduct of Research

1.9. Research Teams and the Training of Researchers

A research team is a group of two or more researchers working together on a single research
project. A team is one of the indispensable cooperative forms for organizations in a
knowledge-based economy society (Ying, S., Xiangdong, D., 2009).

The members of the research team must be competent and possess the necessary integrity
for the research project. The research team must have the professional expertise to work on
a particular project and should undergo the necessary training to fill any gaps in skill and
ensure that these skills are up to date (Dench, S., 2004).
6.8.1. Members of the research team are treated in relation to the contribution they
make to a project, rather than on the basis of seniority or experience.

In general a research team is headed by a full-time faculty member as the

project’s Principal Investigation/Researcher and may be supported by faculty
 colleagues, students, or individuals hired based on the needs of and stated
qualifications for the project.
Prior to any activity included in the research project, a contract or terms of
reference must be presented to and signed by the hired members of the team.

6.8.2. The responsibilities of the Principal Investigator/Researcher include the

following:
6.8.2.1. Define personnel requirements of the project.

As team leader, the Principal Investigator/Researcher is primarily

responsible for the selection, hiring, and termination of members of the
research team.

The Principal Investigator/Researcher defines their duties and

responsibilities, as well as the corresponding remuneration, which is
embodied in a contract or terms of reference to be agreed upon by
those hired or selected, signified by the signatures of the latter.

6.8.2.2. Ensure training.

In coordination with the appropriate offices (e.g., Accounting,

Purchasing), the Principal Investigator/Researcher ensures the provision
of the required training for members of the research team prior to or at
the onset of the research project.

Training includes, but is not limited to, the information, methods, and
skills require by the research project. The training must familiarize the
team with research ethics, this Code, and the research policies of the
University in general and the center/institute in particular, e.g., policies
on work schedules, field expenses, liquidation procedures, submission
of reports, etc.

6.8.2.3. Mentor and provide support.

The Principal Investigator/Researcher should provide his/her team

members with guidance in all matters relating to research conduct and
overseeing all stages of the research process.

6.8.2.4. Supervise the conduct and implementation of research.

To guarantee that the research is conducted professionally and

rigorously, the Principal Investigator/Researcher ensures that the
methods and outcomes of the research project meet the standards set
by the project.
 6.8.2.5. Ensure appropriate attribution.

The Principal Investigator ensures that team members receive

appropriate credit for their contributions to the research project.

6.8.2.6. Provide a good example

The Principal Investigator/Researcher is a role model of excellence,

integrity, professionalism, and mutual respect for research team
members. The team members, in turn, fulfill the duties and
responsibilities in their contracts, comply with the research policies and
codes of ethics, and demonstrate a professional attitude toward the
research process.

6.8.3. To protect the integrity of the University, researchers must inform the University
of any issues related to the research project and/or arising out of the
implementation of the research project which may damage the University’s
interests and/or reputation.

In such cases, or ambivalent situations, that a project may compromise the good
name of the University, the research organization or researcher concerned
should elevate the project to the University Research Ethics Review Committee.

6.8.4. In general, the Principal Investigator/Researcher and/or the pertinent research

organization provides training and opportunities for the professional
development of researchers, and the necessary resources to enable them to
conduct research according to the required standards. They assist researchers in
identifying unmet need for training and development.

Researchers ensure that they have the necessary skills, training, and resources
to carry out research in the proposed research team or in collaboration with
specialists in relevant fields, and report and resolve any unmet needs identified.

In the same vein, members of a research team undergo and complete all the
training required for the conduct of research in the research project. Team
members demonstrate a cooperative and professional attitude towards the
research process and their colleagues.

Team members understand that in undertaking research, they join an endeavor

that requires decision and accountability.

6.10. Collaborative Research

Researchers must engage in research projects within the range of their competencies and
collaborate with others to complement their expertise. In collaborative research,
researchers not only take responsibility for the quality and integrity of their own
contribution to the research project, but must also demand the same standards from their
collaborators. Collaborations can be withing and between organizations, local and
international.

6.9.1. Research organizations involved in collaborative research should:

6.9.1.1. Establish agreements for each collaboration.

A.) Research organizations involved in a joint research project should

ensure that research partners arrive at a written agreement
governing the management and conduct of the research project.
Such an agreement and observe the general principles of this Code,
including integrity, honesty, and excellence.

B.) All contracts and memoranda of agreement that require

institutional support are executed in writing. They cover, but are not
limited to, the following: intellectual property, confidentiality, and
copyright issues; the sharing of commercial returns and
responsibility for ethics and safety clearances; and reporting to
appropriate agencies and other related legal matters. They address
the protocols to be followed by the partners when disseminating the
research outcomes, and the management of primary research
materials and research data.

C.) Each research organization must ensure that its researchers are
aware of an understand the policies for resolving conflicts of interest
that arise during collaborative research.

6.9.1.2. Resolve conflicts of interest.

Research organizations implement their own policies for resolving

conflicts of interest that arise during collaborative research.

6.9.1.3. Manage access to research materials.

The collaborating parties each identify a person to be involved in the

management of research data, primary materials, and other items to be
retained at the end of the project.

6.9.2. Researchers involved in collaborative research should:

 6.9.2.1. Comply with multi-institutional agreements.

A.) Researchers involved in joint research projects must be aware of

and comply with all policies and written agreements affecting such
projects, particularly those involving the dissemination of research
findings and the management of research data and primary
materials.

B.) Researchers must know and comply with the standards and
procedures for the conduct of research observed by any
organizations involved in any collaborative research projects they
undertake. They must know and comply with any contractual
requirements involving partner organizations, seeking guidance and
assistance when necessary and reporting any concerns and/or
irregularities to the appropriate person(s) as soon as they become
aware of these concerns and/or irregularities.

6.9.2.2. Declare conflicts of interest.

When engaging in collaborative research, researchers must disclose

immediately any actual, probable, or possible conflicts of interest
involving any aspect of the research project.

6.9.2.3. Make known plans for use of the project.

Collaborating members of a research team should seek permission at

the least from the project leader regarding plans to use the project
output/report or any part of the project (e.g., literature, framework,
data) for some specific purpose or audience such as competitions,
publications, conference, and the like.

7. On Management, Retention, and Storage of Data and Materials

Data management practices should consider four important issues: (1) ownership, (2) collection,
(3) storage, and (4) sharing. Data collection and ownership guidelines have been discussed in
earlier sections; hence, this section will focus on Data Storage and Data Sharing.

7.1.Data Storage
Data must be stored safely, in a way that permits a complete retrospective audit if necessary.
Retention of accurately recorded and retrievable results is essential for the responsible
conduct of research. This is necessary not only as a means of demonstrating good research
practice, but also in situations where questions are subsequently asked about either the
conduct of the researcher or about the results obtained.

7.1.1. Laboratory notebooks and/or journals should e stored in a safe, secure place.
 7.1.2. Computer files should be baked up and the backup data saved in a secure place
that is physically removed from the original data.
7.1.3. Research samples should be appropriately saved and/or preserved so that they
will not degrade over time
7.1.4. Laboratory-based data must be retained in indexed laboratory books and, where
appropriate, supervisors should regularly review and certify such laboratory
books to signify that research records are complete and accurate.
7.1.5. Precautions must be taken to reduce the risks to research data from fire, flood,
and other catastrophic events.

7.2.Data Sharing
Researchers and research organizations do not release preliminary data; i.e., data that has
not been carefully verified and validated. Provided to contradictory agreements have been
made, researcher and research organizations can withhold confirmed or validated data until
the relevant research output has been published.

7.2.1. Researchers and research organizations are expected to share with other
researchers and research organizations, at no more than incremental cost and
within a reasonable time, the primary data, samples, physical collections, and
other supporting materials gathered or inventions created in the conduct of
research. Researchers and research organizations are expected to encourage
and facilitate such sharing, subject to pertinent codes and guidelines, such as
those governing intellectual property, confidentiality, and privacy.

7.2.2. Data Confidentiality

The Principal Investigator/Researcher must ensure that the research team is

aware of any confidentiality provisions applying to specific projects and whether
there are any obligations pertinent to these provisions. Some data are collected
with the understanding that only authorized individuals will use them for
specific purposes.

Data that are subjected to privacy restrictions must be stored in a safe, secure
place that is accessible only to authorized personnel. Instead of using names,
the use of random codes to identify individual subjects is recommended. The
researcher who collects or uses the information has the primary responsibility
for its protection.

7.2.3. Data Retention

Data must retained intact in formats appropriate to the nature of the research
project. Data should be retained for a reasonable, appropriate period of time to
allow other researchers to check results or to use the data for other purposes.
Where funders of professional bodies have specific regulations governing period
 of data retention or the location of data retention (e.g., specific archives), these
regulations shall prevail.

7.2.3.1. Researchers who are leaving the University and who wish to retain
research data or copies of research data that are owned by the
University or are intellectual properties of the University for personal
use must obtain written permission, prior to leaving, from the research
organization and/or academic unit involved. Where personal data is
processed in connection with the research project in question, the
request must be refused unless it is clear that future use will be
consistent with the terms of the research participants’ original consent.

8. On Funding, Management and Accounting

Research funds in Philippine Christian University are sourced internally and externally. Research
organizations and researchers comply with university policies on the processing, use, and
management of funds related to research projects. They cooperate with any monitoring and
auditing, internal and external, of financed involved in research projects , and report any concerns or
irregularities to the appropriate person(s) as soon as they become aware of them. Research
organizations and researchers observe the rules on research funs contained in the Policies and
Guidelines published by the PCU Research and Publications Office (RPO).

8.1.Management of funds

All research funds coursed through the College or University are deposited with the
Accounting Office. Withdrawals are made through the standard disbursement process and
approved subject to the terms and conditions of the research funding agreement.

8.2.Accounting and liquidation of funds

8.2.1. The Principal Investigator/Researcher is responsible for monitoring the use and
liquidation of research funds. This process is governed by the University’s
policies on accounting and liquidation of funds. Prompt and correct liquidation
of funds prevents delays in further requests for funds. Regular reconciliation
with the records of the Accounting Office is recommended.
8.2.2. The Accounting Office is responsible for safe-keeping of all financial documents
and records. The Accounting Office, upon the request of the Principal
Investigator/Researcher, collates all the supporting documents, certifies the fund
balance, and submits all the required documents to the Principal
Investigator/Researcher, who submits the liquidation report to the funding
agency unless otherwise provided for in the funding agreement.
8.3.Researchers adhere to the University’s financial regulations regarding research and fully
disclose conflicts and conflicts of interest involving finances.
 8.4.Researchers disclose all sources of funding and other material support and acknowledge
these in the dissemination and/or publication of the research results.

9. Breaches in the Primer for the Responsible Conduct of Research

9.1.All members of the University are duty-bound to formally report misconduct in research to
the heads of the appropriate and/or pertinent units. Allegations made against a University
staff member or employee will be handled in accordance with University regulations.
Complaints that a researcher has not acted responsibly in the conduct of research requires
action that includes the following steps:

9.1.1. The complainant submits a written complaint to the appropriate and/or

pertinent unit head.

9.1.2. The unit head conducts a discreet investigation of the particulars of the
complaint.

9.1.3. The unit head and/or the unit’s ethics committee set a formal inquiry.

9.1.4. The unit head and/or the unit’s ethics committee impose a sanction or a penalty
after thorough investigation and deliberation.

9.1.5. The unit head and/or the unit’s ethics committee recommend action to remedy
the situation.

9.1.6. The unit head advises expert groups and make appropriate public statements
related to the case.

9.2.In some cases, such as when the complaint cannot be sustained or when the researcher
concerned concedes, the response may not require all of the above steps.

It is preferable that, in the first instance at least, complaints and allegations are dealt with at
the level of research organizations and/or academic units.

If the complaint cannot be settled to everyone’s satisfaction at this level, the formal
complaint or allegation may be elevated to a higher level mutually agreed upon by the
parties concerned.

9.3.Furthermore, individuals who deem themselves unable to raise their complaints with the
supervisors or heads of the research organizations and/or academic units must be able to
submit their concerns to an appropriate senior officer of the University.

A prompt and effective response is required in every case of allegation of deviation from this
Primer.
 All affected parties must be treated fairly, the situation remedied, and the appropriate steps
taken to maintain public confidence in the conduct of research in the University.

9.4.The term breach is use for less serious deviations from this Primer that are appropriately
remedied within the University (as defined by the Australian Code for the Responsible
Conduct of Research).

The term research misconduct is used for more serious, deliberate deviations (as defined by
the Australian Code for the Responsible Conduct of Research).

For the purposes of this Primer, misconduct in research includes any deviation of this Primer
that includes, but is not limited to, the following:

9.4.1. Fabrication of results

9.4.2. Falsification or misinterpretation of results;

9.4.3. Plagiarism;

9.4.4. Misleading ascription of authorship;

9.4.5. Unauthorized use of other person’s research data, materials or writing;

9.4.6. Unjustified destruction of research materials;

9.4.7. Deception/misinterpretation in relation to research proposals;

9.4.8. Financial fraud;

9.4.9. Misuse of research funds;

9.4.10. Failure to declare and/or manage serious conflicts of interest;

9.4.11. Falsification or misinterpretation to obtain funding;

9.4.12. Risking the safety, security, and/or well-being of research participants, whether
human or non-human, and/or the environment;

9.4.13. Deviations from this Primer that occur through gross or persistent negligence;
and/or

9.4.14. Willful concealment or facilitation of research misconduct by others.

9.5. The framework in this part of the Primer is designed to guide investigations into the veracity
of allegation about research misconduct. The need for a framework specifically for the
investigation of research misconduct arises (1) because the issues commonly associated with
research are complex and technical; (2) because third parties, such as collaborators,
publishers, and potential beneficiaries of the research, will usually be from outside the
University; and (3) because it is necessary to assure the public that researchers and their
organizations regard research misconduct as a serious matter.

9.6.The research misconduct framework contained in this Primer is designed to determine

findings of fact and what, if any, research misconduct has occurred. This research
misconduct framework does not address disciplinary issues.

9.7.The findings of fact and any determinations of research misconduct arrived at through
processes that comply with this Primer ten be used within the University’s separate policies
and procedures governing and regulating employment conditions.

9.8.Misconduct unrelated to the research process is not research misconduct and falls outside
the scope of this Primer.
The Research Ethics Review Process

Step I

Submission of Documents to the URERC

To begin the ethics review process, proponents are requested to submit soft copies of the following:

(1) Proposal

(2) Accomplished PCU-URERC General Research Ethics Checklist

(3) Accomplished SPECIFIC CHECKLIST

(4) Other pertinent attachments listed on the specific checklist (informed consent/assent forms,
data gathering instruments, procedures for chemical waste disposal, safety procedures, etc.).

(5) Accomplished application form for Research Ethics Review (only for proponents whose studies
will be submitted to external grant-giving agencies, for proponents using personal funds for their
research, and for student proposals endorsed by the student’s academic department).

Step II

Initial Review

(1) In the initial review, the Research and Publications Office will go over the documents submitted
to ensure completeness of the research protocol.

(2) The Research and Publications Office may request for modifications before the protocol can be
submitted to the URERC.

(3) When the proponent has submitted a complete research protocol, the Research and Publications
Office forwards the documents to the URERC.
There are Three (3) types of research ethics review:

1.) Exempted Review

Projects which involve the collection data from public available databases or public
documents are exempted from review

2.) Expedited Review

Projects posing minimal risk to research subjects go through expedited reviews.

the Chair of the URERC decide consensually on whether a research project would
qualify for expedite review are those that involve:

2.1.research involving minimal changes in previously approved research projects

2.2.research involving analysis of information without interaction with subjects.

2.3.research whose informed consent is needed from the subject and the informed
process will be correctly and appropriately applied and that the researchers will take
appropriate measures to protect the privacy of the subjects.

2.4.research which is a local portion of a multi-national research project has already

received a full review from another research ethics committee or institutional review
board

3.) Full Review

3.1.research projects which pose a more than minimal risk to research participants or
subjects are subjected to a full review by the URERC panel to be assigned by the
Chair.

3.2.risk is minimal when “the probability and magnitude of harm or discomfort

anticipated in the research is not greater in and of themselves than those ordinarily
encountered in daily life or during the performance of routine physical examinations
or tests:

3.2.1. research involving sensitive topics, such as substance use, sexual

behaviors, criminal or politically sensitive behaviors.

3.2.2. research with groups which necessitate permission to acquire

access to them such as research with indigenous communities.
3.3.Research which will require deception or which will be conducted without the
participants’ full and informed consent at the time data are to be connected.
3.4.Research that will require access to personal and confidential information of
identifiable individuals such as genetic or biological information, medical records, or
psychological assessment records.

3.5.Research that will cause physical and/or psychological harm or pain, or will cause
humiliation, stress and anxiety.

3.6.Research that will involve intrusive interventions, such as hypnotherapy, drug

administration, or vigorous exercise, which may cause participants to reveal
information about themselves they otherwise would not normally want revealed in
their everyday lives.

3.7.Research involving respondents through the internet.

3.8.Research involving deceased persons, body parts or other human elements.

 Signed by the members of the PCU Research Council and the URERC,
This 18th day of January 2021 at the Philippine Christian University, Manila
Campus.

Approved by

JUNIFEN F. GAUUAN, PhD

President
Appendices

Appendix “A” – Ethics Form No. 001: Application for Research Ethics Review

Appendix “B” – Ethics Form No. 002: General Research Ethics Checklist

Appendix “C” – Ethics Form No. 003: Research Ethics Checklist for Investigators involving Human
Participants

Appendix “D” – Ethics Form No. 004: Research Ethics Checklist for Investigators conducting Action
Research

Appendix “E” – Ethics Form No. 005: The PCU Researcher’s Guide for Ethics Review Service

Those who would like to avail for the hardcopy of these forms please see Ms. Paraluman J. Pajanustan
at Research and Publications Offices located at the New Building or email at
paraluman.pajanustan@pcu.edu.ph.
References
Ang, J.G. (2020) Ethics 101. Manila: Mindshapers Co., Inc.
Boone, B (2017). Ethics: From altruism and utilitarianism to bioethics and political ethics: New
York: Adams Media

Dench, S., et. al., (2004). An EU Code of ethics for socio-economic research. The Institute for
Employment Studies. European Commission’s Information Society Technologies (IST)
Programme.

Ying, S., Xiangdong, D., (2009) Research on principle and strategies in building high performance
project team based on synergetic. The 1st international Conference on Information Science and
Engineering.

Australian code for the responsible conduct of research.

Code of research ethics as adapted by the Alaska native science commission from the
kahnawake schools diabetes prevention project.

General guidelines for research ethics, De La Salle University-Manila, approved by the University
Research Council, 2007.

Policies on intellectual property. De La Salle University-Manila.

Research coded of conduct. The University of Warwick.

Working draft of code for the responsible conduct of research compiled by URCO, with
contributions from CENSER, CESDR, CBERD, LIDER, BNSCWC, MFCLOH on relevant sections.

http://xsite.dlsu.edu.ph/offices/reo

http://xsite.dlsu.edu.ph/offices/reo/forms.asp

https://www.ateneo.edu/code-ethics-research

http://www.socialresearchmethods.net/kb/ethics.php

http://www.aare.edu.au/ethics/ethcfull.htm
http://www.ukrio.ord/sites/ukrio2/the_programme_of_work/
live_document_code_of_practice_for_research/
3_0_standards_for_organisations_and_researchers/3_11_finance.cfm

http://www.nast.ph/index.php?option=com_content&view=article&id=18, “Ethical Principles

and Guideline for Filipino Scientists”
http://www.nast.ph/index.php?option=com_content&view=article&id=76:resolution-
onmentoring&catid=44:resolutions-and-recommendations, “Resolution on Mentoring of
Students and Young Scientists” http://aoir.org/reports/ethics.pdf

https://www.dlse.edu.ph/research/offices/reo/downloadable-forms/
 Contact Information
For further assistance or information please contact

Dr. Jaime Gutierrez – Ang

Director, Researcher and Publication Office

(PCU, 1648 Taft Avenue cor Pedro Gil Street,

Malate, Manila, Metro Manila, Philippines 1004)

0917-835-2493; jaime.ang@pcu.edu.ph

Ms. Paraluman R. Pajanustan

Research Clerk, Research and Publications Office

09951204282

paraluman.pajanustan@pcu.edu.ph