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Basic Ethical Principles

  1. Regulations and Policy Regarding Basic Ethical Principles
    1. Federal: Federal regulations require that UCSB provide written assurance to OPRR that it will comply with requirements for the protection of human subjects. Included in that assurance must be a statement of principles governing this institution in the discharge of its responsibilities for protecting the rights and welfare of human subjects of research.
    2. UC Systemwide: The University Policy on the Protection of Human Subjects in Research states: "The University of California is committed to the ethical principles for the protection of human subjects in research set forth in the Belmont Report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. The University recognizes and accepts responsibility, which it shares with its investigators and other researchers, for determining that research involving human subjects fulfills these ethical principles."
    3. UCSB: Researchers at UCSB shall be guided by the ethical principles set forth in the Belmont Report.
  2. The Belmont Report (a summary)
    • Three basic principles, among those generally accepted in our cultural tradition, are particularly relevant to the ethics of research involving human subjects: the principles of respect for persons, beneficence, and justice.
    1. Respect for Persons incorporates at least two ethical convictions:
      1. Individuals should be treated as autonomous agents.
        An autonomous person is an individual capable of deliberation about personal goals and of acting under the direction of such deliberation. To respect autonomy is to give weight to autonomous persons' considered opinions and choices while refraining from obstructing their actions unless they are clearly detrimental to others.
      2. Persons with diminished autonomy are entitled to protection.
        The capacity for self-determination matures during the life of an individual and may be lost, wholly or in part, because of illness, mental disability, or circumstances that severely restrict liberty. Some persons are in need of extensive protection; for others, it is only necessary to ensure that they undertake activities freely and with awareness of possible adverse consequences. The extent of protection afforded should depend upon the risk of harm and the likelihood of benefit.
    2. Beneficence, in this Report, is understood as an obligation and incorporates these rules:
      1. Do not harm.
        However, even avoiding harm requires learning what is harmful, which may expose individuals to risk, as may the process of learning what will benefit. The problem is to decide when it is justifiable to seek certain benefits despite the risks involve.
      2. Maximize possible benefits and minimize possible harms.
    3. C. Justice
      • The burdens and benefits of research should be justly distributed. The selection of research subjects needs to be scrutinized to determine whether some classes are being systematically selected simply because of their easy availability, their compromised position, or their manipulability, rather than for reasons directly related to the problem being studied.
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Updated: January 25, 2011.