RESEARCH ETHICS Building upon the principles of the Nuremberg Code, the

World Medical Association adopted the Declaration of

Ethics - the study of proper action. Helsinki in 1964. This international set of ethical
guidelines specifically addressed medical research
Concerns the responsibility of a researcher to be honest involving human participants, and it remains a key
and respectful to all individuals who are affected by their document guiding ethical conduct in research. These
research or their reports of the studies' results. guidelines aimed to provide further clarity and global
uniformity on the treatment of research subjects.
In research, ethical issues must be considered at each
step in the research process. Ethical principles dictates: Despite the creation of the Nuremberg Code, unethical
1. What measurement techniques may be used for research continued to occur. One notable case came to
certain individuals and certain behaviors; light in 1963 when it was revealed that patients had
2. How researchers select individuals to participate in unknowingly been injected with live cancer cells,
studies; violating their right to informed consent and subjecting
3. Which research strategies may be used with certain them to unnecessary risk.
populations and behaviors;
4. Which research designs may be used with certain In another infamous case, the Tuskegee Syphilis Study
population and behaviors; was exposed in 1972, where nearly 400 African
5. How studies may be carried out with individuals; American men were deliberately left untreated for
6. How data are analyzed; and syphilis, even after penicillin was identified as an
7. How results are reported effective cure. This study had begun in 1932 as a
short-term investigation into untreated syphilis, but it
THE BASIC CATEGORIES OF ETHICAL continued for 40 years so that researchers could
RESPONSIBILITY observe the final stages of the disease.

1. Responsibility to ensure the welfare and dignity of the Cancer Cell Injection (1963) - patients were injected
individuals, both human and non-human, who participate with live cancer cells without their knowledge.
in their research studies; and
Tuskegee Syphilis Study (1972) - nearly 400 men were
2. Responsibility to ensure that public reports of their left untreated for syphilis for 40 years, despite a cure
research are accurate and honest. being available.

Institutional Review Board (IRB) reviews research Ethical violations were not limited to medical research.
involving human participants The field of behavioral research also had notable
instances of mistreatment, one of the most famous being
Institutional Animal Care and Use Committee the Milgram Obedience Study (1963).
(IACUC) reviews research with nonhuman subject
Milgram Obedience Study
HISTORICAL HIGHLIGHTS OF TREATMENT OF Participants were instructed to administer increasingly
HUMAN PARTICIPANTS intense electric shocks to another person whenever they
made an error during a learning task. While no actual
Before the end of World War II, researchers followed shocks were given, the participants believed they were
their own individual ethical standards when conducting inflicting real pain, and the emotional toll was significant.
experiments on human participants. There was no
formal system in place to protect participants, and it was Participants suffered shame and embarrassment for
assumed that researchers' personal moral judgments having followed orders to inflict what they believed was
would be sufficient to prevent harm. real harm on another individual.

However, this assumption proved faulty, as not all Though no physical harm occurred, the study raised
researchers prioritized the ethical treatment of human serious questions about the emotional and psychological
subjects, leading to instances of severe mistreatment. well-being of participants in behavioral research, as well
as the extent to which people could be manipulated into
Nazi Experiments During World War II: the atrocities unethical behavior.
committed in Nazi concentration camps revealed the
depths of unethical research practices. Prisoners were • These historical events underscore the importance of
subjected to horrific medical experiments without strict ethical standards in research.
consent, such as repeated bone breaking to study
healing limits, and exposure to extreme high altitudes Nuremberg Code and Declaration of Helsinki -
and freezing conditions to observe survival times. These provide the foundation for the ethical guidelines used
cruel experiments, conducted on unwilling individuals, today in both medical and psychological research,
served as a major catalyst for the establishment of ensuring that the safety, dignity, and rights of human
formal ethical guidelines in research. participants are protected at all times.

In 1947, following the uncovering of Nazi war crimes, THE PRINCIPLES OF THE NUREMBERG CODE
many responsible for these brutal experiments were tried 1. Voluntary consent of the human subject in the
at the Nuremberg Trials. These trials resulted in the experimentation is absolutely essential.
development of the Nuremberg Code.
2. The results of the study should yield meaningful
Nuremberg Code - a set of 10 ethical guidelines aimed results that benefit society, unprocurable by other
at ensuring the humane treatment of human research methods or means of study, and are not random or
participants.\ unnecessary in scope and nature.

• This code became the foundation for modern ethical 3. Any experimentation should be designed and based
standards, emphasizing informed consent and the on the results of animal experimentation, taking into
protection of participants from harm in both medical and consideration knowledge of the natural history of the
psychological research. issue under study that the results will justify the
completion of the experimentation.
4. The methods used in the study should be conducted 2. Privacy and Confidentiality (Sections 4.01-4.05)
so as to avoid any unnecessary physical or mental
suffering and injury to the subject or subjects taking part Psychologists have a primary obligation and take
in the study. reasonable precautions to protect confidential
information.
5. No experimentation should be conducted where there
is a prior reason to believe that disabling injury or death Psychologists discuss with persons the relevant limits of
will occur, with the exception being if the experimental confidentiality. Psychologists discuss confidential
scientists conducting the study also serve as subjects in information only for appropriate scientific or professional
the study. purposes, and only with persons clearly concerned with
such matters.
6. The degree of risk that subjects of the study
undertake should never exceed the risk determined by Psychologists may disclose confidential information with
the humanitarian importance of the issue under study. the appropriate consent of the individual or another
7. All proper preparations should be made and proper legally authorized person on behalf of the participant,
facilities provided to protect the subject or subjects of the unless prohibited by law.
study against any possibility of injury, disability, or death.
Confidentiality - practice of keeping strictly secret and
8. All experiments should be conducted by persons private information or measurements obtained from an
qualified to do so. Through all stages of the experiment, individual during a research study.
all possible efforts should be taken to ensure the highest
degree of skill and care are maintained. Anonymity - practice of ensuring that an individual's
name is not directly associated with the information or
9. At any point during the experiment, every human measurements obtained from that individual.
subject should be permitted to bring the experimentation
to an end should the subject deem that they have Two strategies:
reached the point where continuation of the experiment 1. No names or other identification appear on data
appears to the subject to no longer be possible. records.
2. Researchers use a coding system to keep track of
10. As the experiment progresses, the scientist in charge which participant names go with which sets of data.
must be in a state of mind that, should they deem that
the continuation of the experiment could result in injury, 3. Institutional Approval (Section 8.01)
disability, or death to the subject, the experiment will be When institutional approval is required, psychologists
terminated. provide accurate information about their research
proposals and obtain approval prior to conducting the
Because of the growing concern about research ethics: research. They conduct research in accordance with the
• 1974 Congress passed the National Research Act. approved research. protocol.

The act mandated regulations for the protection of 4. Competence (Sections 2.01 and 2.05)
human participants and had the Department of Health, Psychologists conduct research with populations and in
Education, and Welfare create the National Commission areas only within the boundaries of their competence.
for the Protection of Human Subjects of Biomedical and Psychologists planning to conduct research involving
Behavioral Research populations, areas, techniques, or technologies new to
them undertake relevant education, training, supervised
• In 1979 the National Commission published The experience, consultation, or study.
Belmont Report: Ethical Guidelines for the Protection of
Human Subjects of Research Psychologists who delegate work to research assistants
take reasonable steps to authorize only responsibilities
The Belmont Report: Ethical Guidelines for the that such persons can be expected to perform
Protection of Human Subjects of Research Three competently on the basis of their education, training, or
Basic Principles: experience, and see that such persons perform theses
services competently
1. The principle of respect for persons requires that
individuals should consent to participate in studies and 5. Record Keeping (Sections 6.01-6.02)
those who cannot give their consent, such as children, Psychologists create, and to the extent the records are
people with diminished abilities, and prisoners, need to under their control, maintain, disseminate, store, retain,
be protected; and dispose of records and data relating to their
scientific work in order to allow for replication of research
2. The principle of beneficence requires that the design and analyses and meet institutional
researcher not harm the participants, minimize risks, and requirements.
maximize possible benefits; and
6. Informed Consent to Research (Sections 3.10 and
3. The principle of justice requires fairness in procedures 8.02-8.04)
for selecting participants. When psychologists conduct research, they obtain
informed consent of the individual using language that is
American Psychological Association Guidelines - reasonably understandable to that person except when
ethical guidelines for the use and treatment of human conducting such activities without consent.
participants in research
For persons who are legally incapable of giving
10 ETHICAL STANDARD (APA ETHICS CODE) informed consent, psychologists nevertheless:

1. No Harm (Sections 3.04 and 8.08) (1) provide an appropriate explanation,

Psychologists take reasonable steps to avoid harming (2) seek the individual's assent,
their research participants, and to minimize harm where (3) consider such persons' preferences and best
it is foreseeable and unavoidable. When psychologists interests, and
become aware that research procedures have harmed a (4) obtain appropriate permission from a legally
participant, they take reasonable steps to minimize the authorized person, if such substitute consent is
harm. permitted or required by law.
When obtaining informed consent, psychologists or (2) where otherwise permitted by law or federal or
inform participants about institutional regulations.

a) the purpose of the research, expected duration, and 8. Offering Inducements for Research Participation
procedures. (Section 8.06)
b) their right to decline to participate and to withdraw Psychologists make reasonable efforts to avoid offering
from the research once participation has begun. excessive or inappropriate financial or other
c) the foreseeable consequences of declining or inducements for research participation when such
withdrawing inducements are likely to coerce participation.
d) reasonable foreseeable factors that may be expected
to influence their willingness to participate (such as 9. Deception in Research (Section 8.07)
potential risks, discomfort, or adverse effects). DECEPTION - occurs when a researcher purposely
e) any prospective research benefits. withholds information or misleads participants with
f) limits of confidentiality. regard to information about a study.
g) incentives for participation.
h) who to contact for questions about the research and Two forms of deception:
research participants' rights
PASSIVE DECEPTION (or OMISSION) - withholding or
They provide opportunities for the prospective omitting of information; the researcher intentionally does
participants to ask questions and receive answers. not tell participants some information about the study.

Psychologists conducting intervention research ACTIVE DECEPTION (or COMMISSION) - presenting

involving the use of experimental treatments clarify misinformation about the study to participants. The most
to participants at the onset of the research: common form of active deception is misleading
a. the experimental nature of the treatment. participants about the specific purpose of the study.
b. the services that will or will not be available to the
control groups) if appropriate. APA GUIDELINES identify three specific areas of
c. the means by which assignment to treatment and responsibility.
control groups will be made. d. available treatment
alternatives if an individual does not wish to participate in 1. The deception must be justified in terms of some
the research or wishes to withdraw once the study has significant benefit that outweighs the risk to the
begun. participants. The researcher must consider all
e. compensation for or monetary costs of participating. alternatives to deception and must justify the rejection of
any alternative procedures.
Psychologists obtain informed consent from
research participants prior to recording their voices 2. The researcher cannot conceal from the prospective
or images for data collection unless: participants information about research that is expected
to cause physical pain or severe emotional distress.
(1) the research consists solely of naturalistic
observations in public places, and it is not anticipated 3. The researcher must debrief the participants by
that the recording will be used in a manner that could providing a complete explanation as soon as possible
cause personal identification or harm; or after participation is completed
(2) the research design includes deception, and consent
for the use of the recording is obtained during the 10. Debriefing (Section 8.08)
debriefing (see also Standard 8.07, Deception in Psychologists provide a prompt opportunity for
Research). participants to obtain appropriate information about the
nature, results, and conclusions of the research, and
When psychologists conduct research with students or then take reasonable steps to correct any
subordinates as participants, psychologists take steps to misconceptions that participants may have of which the
protect the prospective participants from adverse psychologists are aware.
consequences of declining or withdrawing from
participation. If scientific or humane values justify delaying or
withholding this information, psychologists take
When research participation is a course requirement or reasonable measures to reduce the risk of harm.
an opportunity for extra credit, the prospective
participant is given the choice of equitable alternative DEBRIEFING - is a post-experimental explanation of the
activities purpose of a study that is given to a participant,
especially if deception was used.
7. Dispensing with Informed Consent (Section 8.05)
Psychologists may dispense with informed consent only
(1) where research would not reasonably be assumed to
create distress or harm, and involves: Debriefing serves many purposes:
● conveying what the study was really all about, if
a. the study of normal educational practices, curricula; or deception was used
classroom management methods conducted in ● counteracting or minimizing any negative effects
educational settings. of the study

b. only anonymous questionnaires, naturalistic ● conveying the educational objective of the

observations, or archival research for which disclosure of research (i.e., explaining the value of the
responses would not place participants at risk of criminal research and the contribution to science of
or civil liability or damage their reputation, and participation in the research)
confidentiality is protected.
● explaining the nature of and justification for any
c. the study of factors related to job or organization deception used
effectiveness conducted in organizational settings for
which there is no risk to participants' employ-ability, and ● answering any questions the participant has
confidentiality is protected.
 APA GENERAL PRINCIPLES HISTORICAL HIGHLIGHTS OF TREATMENT OF
NONHUMAN SUBJECTS
Principle A: Beneficence and Nonmaleficence
● Striving to benefit those with whom • 1866: Society for the Prevention of Cruelty to
psychologists work; taking care to do no harm. Animals (SPCA) - Established in the U.S. to protect the
welfare of nonhuman animals.
● Safeguarding the welfare of both human and
animal subjects. • 1962: Federal guidelines issued for research - The
federal government began regulating the use of
● Resolving conflicts in responsible ways - nonhumans in research.
avoiding or minimizing harm
• 1966: Animal Welfare Act enacted - This law set
Principle B: Fidelity and Responsibility general standards for animal care in research, later
● Establishing relationships of trust with those amended in 2008.
whom they work with.
• 1986: U.S. Government Principles integrated into
● Upholding professional standards of conduct, PHS Policy - These principles provided a framework for
clarifying professional roles and obligations, the ethical treatment and care of vertebrate animals in
accepting responsibility, and seeking to manage research, testing, and training.
conflicts of interest that could lead to exploitation
or harm. • Organizations for monitoring animal care
Groups like the American Association for Laboratory
● Consulting/coordinating with other professionals Animal Science (AALAS) and the American Association
and institutions. for Accreditation of Laboratory Animal Care (AAALAC)
encourage proper monitoring of animals used in
● Concern about their own and colleagues's laboratories.
ethical compliance.
• Federal regulations for researchers
Principle C: Integrity Researchers using nonhumans must follow multiple
● Promoting accuracy, honesty, and truthfulness in guidelines:
the science, teaching and practice of psychology
(guard against fraud, deceit or intentional • Local IACUC (Institutional Animal Care and Use
misrepresentation of fact) Committee) policies.

Principle D: Justice • U.S. Department of Agriculture (USDA) guidelines.

● Recognizing that fairness and justice entitle all
persons to access to and benefit from the • State agency requirements.
contributions of psychology and to equality in the
processes, procedures, and services being • Guidelines specific to their academic field (e.g., APA
conducted by psychologists. standards in psychology).

Principle E: Respect for People's Rights and Dignity • USDA guidelines: Guide for the Care and Use of
● Respecting the dignity and worth of all people, Laboratory Animals
and the rights of individuals to privacy, The USDA outlines research standards in this guide,
confidentiality, and self-determination (Especially which is also mandated by the Public Health Service
those whose vulnerabilities impair autonomous (PHS) for institutions working with animals.
decision making)
2002 APA ETHICAL PRINCIPLES FOR THE HUMANE
● Awareness of and respect cultural, individual, CARE AND USE OF ANIMALS IN RESEARCH
and role differences, including those based on 8.09 Humane Care and Use of Animals in Research
age, gender, gender identity, race, ethnicity,
culture, national origin, religion, sexual a) Psychologists acquire, care for, use, and dispose of
orientation, disability, language, and all animals in compliance with current federal, state, and
socioeconomic status, and consider these local laws and regulations, and with professional
factors when working with members of such standards.
groups.
b) Psychologists trained in research methods and
● Eliminating the effect on their work of biases experienced in the care of laboratory animals closely
based on those factors, and they do not supervise all procedures involving animals and are
knowingly participate in or condone activities of responsible for ensuring appropriate consideration of
others based upon such prejudices. their comfort, health, and humane treatment.

AMERICAN PSYCHOLOGICAL ASSOCIATION c) Psychologists ensure that all individuals under their
GUIDELINES supervision who are using animals have received
Ethical Guidelines for the Use and Treatment of instruction in research methods and in the care,
Nonhuman Participants in Research maintenance, and handling of the species being used, to
the extent appropriate for their role.
Ethical Guidelines for the Use and Treatment of
Non Human Participants in Research d) Psychologists make reasonable efforts to minimize
discomfort, infection, illness, and pain of animal subjects.
Researchers who use nonhumans as subjects do so
for a variety of reasons including: e) Psychologists use a procedure subjecting animals to
1. to understand animals for their own sake; pain, stress, or privation only when an alternative
2. to understand humans (many processes can be procedure is unavailable and the goal is justified by its
generalized from nonhumans to humans); and prospective scientific, educational, or applied value.
3. to conduct research that is impossible to conduct
using human participants
f) Psychologists perform surgical procedures under 4. Be careful about paraphrasing (restating someone
appropriate anesthesia and follow techniques to avoid else's words). It is greatly tempting to lift whole phrases
infection and minimize pain during and after surgery. or catchy words from another source. Use your own
words instead, or use direct quotes. Be sure to give
g) When it is appropriate that an animal's life be credit to your sources.
terminated, psychologists proceed rapidly, with an effort
to minimize pain, and in accordance with accepted 5. Include a complete list of references at the end of the
procedures. paper. References should include all the information
listed in Item 1.
Institutional Animal Care and Use Committee
(IACUC) - a committee that examines all proposed 6. If in doubt about whether a citation is necessary, cite
research with respect to its treatment of nonhuman the source. You will do no harm by being especially
subjects. IACUC approval must be obtained prior to cautious.
conducting any research with nonhuman subjects.
Examples of Plagiarism
ETHICAL ISSUES AND SCIENTIFIC INTEGRITY
Original text from Quirin, Kazén, and Kuhl (2009):
8.10 Reporting Research Results
(a) Psychologists do not fabricate data. (See also Are affective experiences like happiness, sadness, or
Standard 5.01a, Avoidance of False or Deceptive helplessness always amenable to self-report? Whereas
Statements .) many individuals may be able to describe their affective
(b) If psychologists discover significant errors in their states or traits relatively accurately, others may provide
published data, they take reasonable steps to correct self- reports that deviate from their automatic affective
such errors in a correction, retraction, erratum, or other reactions.
appropriate publication means.
1. Repeating large sections of text verbatim is
8.11 Plagiarism clearly plagiarism, even with a citation.
Psychologists do not present portions of another's work
or data as their own, even if the other work or data Are people really in touch with their emotional
source is cited occasionally. responses? For example, are feelings like happiness,
sadness, or helplessness always available for self
Fraud in Science report? Whereas many individuals may be able to
describe their feelings relatively accurately, others may
Error - an honest mistake that occurs in the research provide self- reports that deviate from their true reactions
process. (Quirin, Ka-zén, & Kuhl, 2009)

Fraud - explicit effort of a researcher to falsify or 2. Changing a few words is still plagiarism, even
misrepresent data. with a citation.

Why do researchers commit fraud? Are feelings like happiness, sadness, or helplessness
always available for self-report? Whereas many
Safeguarding Against Fraud individuals may be able to describe their feelings
relatively accurately, others may provide self reports that
Replication - a repetition of a research study using the deviate from their true reactions (Quirin, Kazén, & Kuhl,
same basic procedures used in the original. Either the 2009).
replication supports the original study by duplicating the
original results, or it casts doubt on the original study by 3. Changing most of the wording but keeping the
demonstrating that the original results are not easily same structure and order of ideas is a step toward
repeated. paraphrasing but is still plagiarism, even with a
citation.
Peer Review
- takes place when a researcher submits a research Is it easy for people to report their feelings? Although
article for publication. some people may be able to give accurate reports,
others fail to provide accurate descriptions of how they
- reviewers critically scrutinize every aspect of the feel (Quirin, Kazén, & Kuhl, 2009).
research (from justification to analysis of data)
4. Rephrasing in your own words, using your own
- primary purpose is to evaluate the quality of the structure, and a citation for the original source is an
research study and its contribution to scientific acceptable paraphrase (not plagiarism). 2009).
knowledge.
It is difficult for many people to accurately describe their
Plagiarism - ethical representation of someone else's emotional responses (Quirin, Kazén, & Kuhl, 2009)
idea or words as one's own.

Following guidelines can help prevent you from

plagiarizing:

1. Take complete notes, including complete citations of

the source. (For articles, include author's name, year of
publication, title of the article, journal name, volume
number, and page numbers. For books, also include the
publisher's name and city.)

2. Within your paper, identify the source of any ideas,

words, or information that are not your own.
3. Identify any direct quotes by quotation marks at the
beginning and end of the quotes, and indicate where you
got them.