Unit II: Ethics, Legal and Moral Frameworks

2.1 Introduction: Approaches to Ethical Decision Making

This page is written by Koraljka Kuzman Šlogar. The page is designed by Felix Bui.

Introduction

Researchers working in Digital Humanities are becoming increasingly aware of a panoply of ethical considerations involved in their research. These include issues relating to data privacy, cultural sensitivity, accessibility, transparency, and representation. These questions are in addition to more traditional ethical considerations within the humanities such as providing due consideration to previous scholarship. But as humanities researchers have moved from being consumers of scholarship as well as the infrastructures in which that scholarship exists (eg databases, metadata, knowledge systems) to developers of infrastructure, from remediation of the physical to the digital, the development and use of standards such as the Text Encoding Initiative, the creation of databases, and the expansion of existing metadata schema, new ethical, moral, and legal considerations emerge. 

Digital Humanists regularly navigate complex ethical considerations related to translation and representation, including issues of cultural sensitivity, accuracy, and the potential for misrepresentation. These issues are particularly important in the context of DH research, which often involves the use of digital tools and methods that may impact the representation of individuals and communities. Moreover, DH scholarship must be mindful of the intersection between ethics and the law, particularly with respect to issues such as data privacy, intellectual property, and informed consent. DH scholars must ensure that their research practices not only comply with local, national, or international law and regulation, but it is incumbent upon researchers to engage in critical reflection on the ethical implications of their work.

Questions that guide such research might include how can we ethically collect and use data in our projects. What steps can be taken to ensure that our scholarship respects diverse cultures and perspectives? Additionally, it is important to consider the potential biases that can emerge in DH projects and how best to mitigate them. Researchers need to balance between the requirements of the open science movement and considerations for the privacy and cultural sensitivity of the data they work with (Lawson 2019). Moreover, adhering to FAIR principles (Findable, Accessible, Interoperable, and Reusable) becomes paramount in ensuring that digital data and resources are not only open but also usable and sustainable in the long term. And lastly, one should be aware of the power dynamics involved in data collection, algorithmic decision-making, and digital representation. By recognizing these challenges, it is possible to create projects that are fair, inclusive, and respectful, as well as understand how ethical issues were dealt with when utilising the projects created by others. 

By adopting ethical principles in their research practice, digital humanists can contribute to a more ethical and just digital landscape. As the case studies in this section demonstrate, ethical considerations are not a set of rigid rules, nor a fixed set of methods, but rather an ongoing process of critical thinking and reflection guided by a commitment to integrity, social responsibility, and the well-being of all stakeholders involved. As such, ethical research revolves around three key concepts: ethics, morality, and legal frameworks. 

Please click on the question marks to see the content.


For many researchers, especially those who receive grant funding, it is increasingly necessary to apply for institutional ethics approval before beginning one’s research. Nicholas Proferes (2020) describes this adherence to ethical standards as
compliance. Compliance within an ethical framework is about mitigating institutional risk and liability, particularly concerning human subjects, while complying with the legal framework(s) in the jurisdiction in which the research takes place. But as the case studies in this section demonstrate, ethical considerations in digital scholarship increasingly go beyond these institutional reviews. This is particularly true due to rapid changes in technology, as well as moral considerations that are in flux responding to changes in society, and within one’s research community. 

For example, in taking a compliance approach, researchers need to obtain informed consent from research participants, while ensuring that their research practices respect the privacy and confidentiality of individuals and communities. But Proferes also describes an alternative or additional approach -- that of ethics as contemplation:

Ethics, in one (ideal) sense, is about using our capacities for reason and judgment to achieve ‘the good life’ vis-à-vis moral action and/or personal character. . . . Ethics as contemplation suggests an ongoing practice of inward reflection about our own actions about what is right and just. 


Ethics as contemplation goes beyond institutional requirements to ‘the ideal we should continuously aspire towards’ (Proferes 2020). 


Ethical principles and values in Digital Humanities

Digital humanists find themselves in a unique position, at the intersection of their foundational scientific disciplines and the technological solutions offered to facilitate their research efforts or advance their studies. In this convergence of disciplines, a comprehensive understanding of ethical considerations is required that extend beyond traditional academic boundaries. During the implementation of digital humanities research projects, it is crucial to adhere to the fundamental ethical codes of the relevant fields and disciplines while simultaneously respecting ethical principles arising from the digital processing, storage, and utilisation of research results.

On the one hand, respecting the rights of individuals and communities that are the subjects of research, as well as promoting responsible and ethical behaviour, has long been imperative in the humanities. Ethical research principles, encompassing respect for research participants, transparency in data collection and analysis, and ethical standards in interpreting results, are fundamental guidelines for any humanities project. They significantly influence the shaping of the entire research process. On the other hand, the development, implementation, and use of digital technologies have also long been recognized as involving different ethical issues. Bernd Carsten Stahl predicts that these ethical considerations will continue to evolve, fostering future discussions that go beyond current debates on computer ethics and artificial intelligence ethics, based on new technologies and their applications (Stahl, 2022: 65). The integration of advanced technologies into the research and advancement of humanities requires thoughtful exploration of potential biases embedded in algorithms, privacy concerns, and power dynamics that may arise, and digital humanists must be particularly cautious in this regard. They have the task not only of pushing the boundaries of knowledge but also pioneering ethically sound practices in the intricate intersection of technology and the humanities. 

Social justice and ethical considerations are crucial issues in the field of digital humanities. While, on the one hand, digital humanities projects can be powerful tools for social change, on the other hand, there is a risk of reinforcing existing power structures: algorithms and technologies are not neutral. Rather, they result from a design that incorporates human values and assumptions. If “our society exhibits biases or unethical behaviour, these biases will be reflected in the data that are collected and the choices self-learning algorithms make for us and for others” (Klockmann at al., 2022). Algorithms used in research, encompassing techniques such as the analysis of large datasets, classification, filtering, natural language processing (NLP), or data visualisation, enable digital humanists to expedite research processes and gain new insights into their respective fields. However, the fundamental assumption for their proper functioning lies in the quality of the available data. If the data is biassed or incomplete, the results of analyses or decisions made can reflect these biases (Leurs, K., & Shepherd, 2017) Since ‘algorithms do not have a conscience, personal preferences, or moral agency’ (Gilli et al., 2020), the responsibility lies on experts to be aware of inherent biases and actively work towards recognizing and rectifying them. Through systematic analysis and improvement of data quality, they can reduce the likelihood of reproducing biases in research outcomes or algorithm-based decisions. Such reflexivity and engagement in working with data can be pivotal in creating digital environments that foster objectivity and fairness (for more information on this topic, see the Data Feminism case study in this unit. Data Feminism, as part of the broader movement for social justice in digital humanities, recognizes that data and algorithms are not neutral).

The development of digital initiatives conceals another situation that has the potential to deepen social injustice. Namely, numerous individuals and even groups worldwide lack access to the internet, placing them in a position of disadvantage. On one hand, their limited representation in existing digital sources and projects can be observed, as well as their inability to participate in innovations. In other words, the unjust distribution of access to technology can result in further marginalisation of certain groups in the digital environment.

It is important to be aware of this power dynamic in digital initiatives and work towards ensuring accountability and transparency, constantly questioning and exploring ‘the dark side of DH (Smithies 2022). The Case Study Lights and Shadows: The PhilPeriodicals Collaboration Between the Philippines and Belgium in DH Digitization and Training provides an example of this. 

There is also the issue of privacy and data security collected within the scope of research. It is crucial to ensure that data is collected and stored in ways that respect individuals' privacy and that appropriate protective measures are in place to prevent data breaches. It is thus crucial to respect and adhere to legal frameworks as there are formal sanctions for their violation. Legal frameworks encompass laws, regulations, and policies that govern the use and management of data, privacy, and intellectual property. Navigating the legal and ethical issues involved in research and the publication of research results can be challenging for a researcher. Additionally, caution should be exercised when using copyrighted materials, seeking permission when necessary. For assistance in navigating these regulations, please refer to the Toolkit Section of this course.

The digitization of cultural heritage objects raises important ethical questions about ownership, consent, and representation, and digital humanists, along with the archives and museums that house this heritage, must grapple with these challenges in their efforts to make their collections more accessible to researchers and the public. By working closely with communities and engaging in open and transparent dialogue, it is possible to take steps to address these ethical considerations and ensure that making these objects publicly available is done in an ethical and responsible manner. 

Additionally, our scholarship needs to be mindful of cultural diversity and sensitivity and of the audiences who may view and/or interact with our scholarship. This is an example of Proferes’ ‘contemplative ethics’ in which researchers need to continually engage in critical reflection on the assumptions and values that underpin their research practices and avoid perpetuating universalizing or homogenising narratives.

While the field of digital humanities offers us remarkable opportunities for research and collaboration, an understanding of history, as well as contemporary life and cultural heritage, these opportunities come with responsibilities. As DH scholars and practitioners, we must navigate complex ethical landscapes to ensure that our work and our projects contribute positively to society and safeguard the rights and interests of individuals and communities. 

A good place to start in working towards more ethical scholarship is through The Makkula Center for Applied Ethics at Santa Clara UniversityThe centre provides a number of resources for researchers wishing to apply ethical practices to their research. These include a framework for ethical decision-making, including a short video and a poster that provides a summary of the framework. 


Other principles that can help govern the decision-making process when working with specific communities are The CARE Principles for Indigenous Data Governance. The foundation of The CARE Principles acknowledges that ‘the current movement toward open data and open science does not fully engage with Indigenous Peoples’ rights and interests (for more information on the FAIR principles, see the case study in this section). The Principles acknowledge that as researchers working with indigenous communities and/or their cultural patrimony, we are confronted with conflicting ethical and moral demands: 

Existing principles within the open data movement (e.g. FAIR: findable, accessible, interoperable, reusable) primarily focus on characteristics of data that will facilitate increased data sharing among entities while ignoring power differentials and historical contexts. The emphasis on greater data sharing alone creates tension for Indigenous Peoples who are also asserting greater control over the application and use of Indigenous data and Indigenous knowledge for collective benefit.

For further information on The CARE Principles, see the Case Study in this unit. For an example of The CARE Principles in practice, see the Case Study Indigenous Data Sovereignty and the Researcher’s Responsibilities

Balancing openness with considerations of power dynamics, historical contexts, and respect for human rights is integral to fostering a just and ethical landscape in digital humanities research. 


Conclusion 

The Case Studies in this unit are divided into two parts. The first part consists of principles, frameworks, and concepts that guide ethical practices in digital scholarship. These include Data Feminism, The FAIR Principles, The CARE Principles, and A Framework for Ethical Decision Making. The rest of the Case Studies provide examples of digital scholarship that foreground ethical practices. This unit should also be read in conjunction with The Toolkit which provides many examples of tools, software, methods, and frameworks from which to conduct ethical scholarship. 




Author Bio*:

Koraljka Kuzman Šlogar is a researcher with expertise in ethnology, cultural anthropology, and digital humanities. She heads the Research Archive at the Institute of Ethnology and Folklore Research, focusing on digitizing and promoting cultural heritage. Actively engaged in international collaborations, she represents Croatia in the DARIAH consortium and co-chairs the ELDAH working group, emphasizing ethical considerations in the digital realm. Passionate about building e-infrastructures, she strives to create collaborative virtual networks for the arts, humanities, and heritage communities.

Designer Bio*:

Felix Bui is currently a junior lecturer at the Faculty of Arts & Social Sciences at Maastricht University. She teaches courses about the history and development of AI, the philosophy of technology, and research skills. She holds a master’s degree in Media Studies: Digital Cultures and a background in Marketing & Communication. Her research interest involves AI and creativity, mediatization and media representation of queer communities, data and media ethics with a focus on diversity and inclusivity.

*Bios and affiliations are accurate at the time of writing. 


References
  • Britannica, T. Editors of Encyclopaedia. “law.” Encyclopedia Britannica, December 9, 2023. https://www.britannica.com/topic/law.
  • Gert, Bernard and Joshua Gert, “The Definition of Morality”, The Stanford Encyclopedia of Philosophy (Fall 2020 Edition), Edward N. Zalta (ed.), URL: https://plato.stanford.edu/archives/fall2020/entries/morality-definition.
  • Gilli, Andrea, Mauro Gilli, Ann-Sophie Leonard, and Zoe Stanley-Lockman. “‘NATO-Mation’: Strategies for Leading in the Age of Artificial Intelligence.” NATO Defense College, 2020. http://www.jstor.org/stable/resrep27711.
  • Kim, Dorothy. “Embodying the Database: Race, Gender, and Social Justice.” In Alternative Historiographies of the Digital Humanities, edited by Dorothy Kim and Adeline Koh, 145–202. Punctum Books, 2021. http://www.jstor.org/stable/j.ctv1r7878x.8.
  • Klockmann, Victor, Alicia von Schenk, Marie Claire Villeval. Artificial intelligence, ethics, and intergenerational responsibility, Journal of Economic Behavior & Organization, Volume 203, 2022, 284-317, ISSN 0167-2681, https://doi.org/10.1016/j.jebo.2022.09.010.
  • Lawson, Stuart Andrew. Open Access Policy in the UK: from neoliberalism to the commons. [Thesis] (Unpublished), 2019. https://eprints.bbk.ac.uk/id/eprint/40377/1/Publicversion-2019LawsonSAphdBBK.pdf
  • Leurs, Koen, and Tamara Shepherd. “Datafication & Discrimination.” In The Datafied Society: Studying Culture through Data, edited by Mirko Tobias Schäfer and Karin van Es, 211–32. Amsterdam University Press, 2017. http://www.jstor.org/stable/j.ctt1v2xsqn.20.
  • Mkhize, Nhlanhla, Sibonsile Bonnie Mathe, and Nontobeko Buthelezi. “Ethical decision-making in cultural context: Implications for professional practice.” Mediterranean Journal of Social Sciences 5, no. 23 (2014): 2413. https://www.richtmann.org/journal/index.php/mjss/article/view/4800.
  • Proferes, Nicholas. “What ethics can offer the digital humanities and what the digital humanities can offer ethics.” In Routledge International Handbook of Research Methods in Digital Humanities,  416-427. Routledge, 2020.
  • Ruddy, Evie and Laura Horak. “Orienting Toward Social Justice: Trans, Anti-Racist, Anti-Colonial, Feminist, Queer, and Crip Approaches to Ethical Practices in the Digital Humanities,” Canadian Society for Digital Humanities (CSDH/SCHN) Conference, online, 30 May-3 June, 2021.
  • Severson, Pernilla. “Applying Critical Digital Method: Ethics, Sampling Strategies and Analysis Methods”. In: Joacim Hansson and Jonas Svensson (ed.), Doing Digital Humanities: Concepts, Approaches, Cases, pp. 81-98. Växjö: Linnaeus University Press, 2020.
  • Singer, P.. “ethics.” Encyclopedia Britannica, December 26, 2023. https://www.britannica.com/topic/ethics-philosophy
  • Smithies, James. “The Dark Side of DH”. In J. O'Sullivan (Ed.), Bloomsbury Handbook to the Digital Humanities, 109-119. Bloomsbury Publishing, 2022.
  • Stahl, Bernd Carsten. “From computer ethics and the ethics of AI towards an ethics of digital ecosystems”. AI Ethics 2, 65–77 (2022). https://doi.org/10.1007/s43681-021-00080-1