APA Guidelines for APA Guidelines for Human/Animal Human/Animal Research Research

Why Ethics? What are Why Ethics? What are they?they?

Working with humans requires that we Working with humans requires that we consider their welfare as part of our consider their welfare as part of our research planning process. Ethical research planning process. Ethical guidelines such as those developed by the guidelines such as those developed by the American Psychological Association (APA) American Psychological Association (APA) and the federal policy outlined in the and the federal policy outlined in the Federal Register (1991) emphasize Federal Register (1991) emphasize sensitive and humane treatment that sensitive and humane treatment that minimizes risks to research participants. minimizes risks to research participants.

What should be What should be considered?considered?When we begin our ethical decision-making process, we When we begin our ethical decision-making process, we

should consider each of the following issues.should consider each of the following issues. Benefits of the Research Benefits of the Research Responsibility Responsibility Physical and Psychological Risks Physical and Psychological Risks Deception Deception Reducing Risk and/or Minimizing Harm Reducing Risk and/or Minimizing Harm Informed Consent Informed Consent Privacy Privacy Summary of Results Summary of Results

Why Is This Important?Why Is This Important?

We do research because we want to make We do research because we want to make contributions to our profession and to society. contributions to our profession and to society. Those who agree to be a part of our studies join Those who agree to be a part of our studies join with us to meet these larger goals. They with us to meet these larger goals. They become partners in research and, as such, become partners in research and, as such, deserve to be treated well. Our ethical deserve to be treated well. Our ethical guidelines help us to think through how we can guidelines help us to think through how we can do high-quality research at the same time that do high-quality research at the same time that we treat our research participants with respect.we treat our research participants with respect.

Benefits of the Benefits of the ResearchResearchWhen we conduct research, we make an implicit contract When we conduct research, we make an implicit contract

with our participants that our study has the potential with our participants that our study has the potential to yield some larger benefit beyond our own personal to yield some larger benefit beyond our own personal interests. We ask questions that are grounded in interests. We ask questions that are grounded in theory and previous psychological research. We also theory and previous psychological research. We also make sure that our studies are sufficiently well make sure that our studies are sufficiently well designed to provide meaningful information. Anything designed to provide meaningful information. Anything other than our most careful work would be a waste of other than our most careful work would be a waste of participants' time and effort.participants' time and effort.

What are some of the ways students can insure that What are some of the ways students can insure that their research has some larger benefit?their research has some larger benefit?

ResponsibilityResponsibility

As researchers, we must take full As researchers, we must take full responsibility for our studies. Even if we are responsibility for our studies. Even if we are in a class or working on a thesis where in a class or working on a thesis where others are helping us with our research, we others are helping us with our research, we must take full responsibility for how we must take full responsibility for how we conduct the study. This responsibility conduct the study. This responsibility extends to research assistants. If we have extends to research assistants. If we have students helping us to collect or compile students helping us to collect or compile data, we also must make sure that they data, we also must make sure that they know about and follow ethical principles.know about and follow ethical principles.

Physical and Physical and Psychological RisksPsychological RisksPsychological research can cause physical and/or psychological Psychological research can cause physical and/or psychological

discomfort. discomfort. For example, imaging studies are increasingly popular in research For example, imaging studies are increasingly popular in research

on cognitive processing. Participants may feel physical on cognitive processing. Participants may feel physical discomfort from the heat generated by the imaging machines or discomfort from the heat generated by the imaging machines or anxious and claustrophobic from the noise and enclosed space.anxious and claustrophobic from the noise and enclosed space.

- As researchers, we are obligated to accurately estimate the degree - As researchers, we are obligated to accurately estimate the degree of risk in our research. We typically do this by reading the of risk in our research. We typically do this by reading the literature and consulting with colleagues. Institutional Review literature and consulting with colleagues. Institutional Review Boards (IRBs) also will help researchers estimate the degree of Boards (IRBs) also will help researchers estimate the degree of risk involved in their studies. risk involved in their studies.

- Every institution that receives federal funding is required to - Every institution that receives federal funding is required to submit all proposals for research with human participants to the submit all proposals for research with human participants to the IRB. IRB.

Physical and Physical and Psychological RisksPsychological Risks

Let's try a risk assessment .Let's try a risk assessment .

A group of students wants to study how college undergraduates A group of students wants to study how college undergraduates cope with stress. They plan to survey their peers about cope with stress. They plan to survey their peers about circumstances that cause stress and the strategies used to reduce circumstances that cause stress and the strategies used to reduce stress. They want to administer a questionnaire that asks stress. They want to administer a questionnaire that asks undergraduates to identify on a list of 51 events those that undergraduates to identify on a list of 51 events those that occurred in the past year and to rate the stressfulness (1 - not at occurred in the past year and to rate the stressfulness (1 - not at all stressful; 7 - extremely stressful) of each event experienced. all stressful; 7 - extremely stressful) of each event experienced. Events ranged from very low stress (e.g., falling asleep in class) to Events ranged from very low stress (e.g., falling asleep in class) to very high stress (e.g., being raped, death of a close friend). very high stress (e.g., being raped, death of a close friend). Following this scale, they want to ask the research participants to Following this scale, they want to ask the research participants to complete a questionnaire about different coping strategies for complete a questionnaire about different coping strategies for reducing stress.reducing stress.

What is the level of risk in this study (none, minimal/low, moderate, What is the level of risk in this study (none, minimal/low, moderate, high, very high)? How did you arrive at your decision?high, very high)? How did you arrive at your decision?

DeceptionDeception

Many experiments require that participants have no knowledge about Many experiments require that participants have no knowledge about the study hypothesis; this translates into deceiving research the study hypothesis; this translates into deceiving research participants about the true purpose of the research. participants about the true purpose of the research.

Ethical standards, however, acknowledge that not revealing the true Ethical standards, however, acknowledge that not revealing the true nature of the research at the outset incurs special ethical obligations. nature of the research at the outset incurs special ethical obligations. The APA ethics code requires that we use deception only when study The APA ethics code requires that we use deception only when study risks are mild and there are no feasible alternatives to the deception. risks are mild and there are no feasible alternatives to the deception. In addition, we must provide an explanation of the deception In addition, we must provide an explanation of the deception immediately following the conclusion of the experiment.immediately following the conclusion of the experiment.

Finally, we may not deceive participants about aspects of the research Finally, we may not deceive participants about aspects of the research that might influence their willingness to participate, such as physical that might influence their willingness to participate, such as physical or emotional discomforts or time commitment involved. Deceptions or emotional discomforts or time commitment involved. Deceptions in psychological research can range from setting up false expectations in psychological research can range from setting up false expectations about the purpose of the study to giving incorrect feedback about about the purpose of the study to giving incorrect feedback about study performance.study performance.

DeceptionDeception

The use of deception in psychological The use of deception in psychological research is a controversial topic. Some research is a controversial topic. Some believe it should never be used, others believe it should never be used, others believe that to outlaw deception would believe that to outlaw deception would rule out our ability to study important rule out our ability to study important questions about human behavior.questions about human behavior.

What is your opinion? What are some What is your opinion? What are some of the costs and benefits of using of the costs and benefits of using deception in psychological research?deception in psychological research?

Reducing Reducing Risk/Minimizing HarmRisk/Minimizing HarmAny time that our research involves some level of risk, it is our ethical Any time that our research involves some level of risk, it is our ethical

obligation to try to reduce the risk or address any harm experienced obligation to try to reduce the risk or address any harm experienced by participants in the study. Wherever possible, we try to prevent by participants in the study. Wherever possible, we try to prevent discomfort for our research participants. When that is not possible discomfort for our research participants. When that is not possible because of the nature of what we are studying, we must try to because of the nature of what we are studying, we must try to alleviate any distress after it has occurred.alleviate any distress after it has occurred.

For example, in our survey study of stress and coping, we might prevent For example, in our survey study of stress and coping, we might prevent emotional discomfort by choosing an instrument that addresses emotional discomfort by choosing an instrument that addresses daily hassles and mild stressors rather than more extreme events. daily hassles and mild stressors rather than more extreme events. This would change the question, though, from coping with all types This would change the question, though, from coping with all types of stressors to coping with everyday problems. You might also tell of stressors to coping with everyday problems. You might also tell the participant before the study begins that you will ask questions the participant before the study begins that you will ask questions about a wide range of stressors, including major life events.about a wide range of stressors, including major life events.

Participants who might become distressed by the study can then choose Participants who might become distressed by the study can then choose not to participate, thereby preventing emotional discomfort. There not to participate, thereby preventing emotional discomfort. There might be no way to prevent discomfort with the original question as might be no way to prevent discomfort with the original question as a small segment of the population will experience major stressors.a small segment of the population will experience major stressors.

Informed ConsentInformed Consent

Perhaps the most important principle built into ethics codes is the right Perhaps the most important principle built into ethics codes is the right of the participant to refuse to be in the study or discontinue of the participant to refuse to be in the study or discontinue participation at any time. Ethical researchers, therefore, cannot participation at any time. Ethical researchers, therefore, cannot coerce participants to agree to be in the study or prevent coerce participants to agree to be in the study or prevent participants from discontinuing the study. When participants are participants from discontinuing the study. When participants are children who cannot legally give consent, are incapacitated by a children who cannot legally give consent, are incapacitated by a mental or emotional disorder, or have difficulty understanding mental or emotional disorder, or have difficulty understanding information or giving consent, there is an even greater obligation on information or giving consent, there is an even greater obligation on the part of the researcher to make sure that participants' rights are the part of the researcher to make sure that participants' rights are protected.protected.

We still need to ask those who may not legally be able to give consent if We still need to ask those who may not legally be able to give consent if they wish to participate in the study; we call this obtaining assent. If they wish to participate in the study; we call this obtaining assent. If they say no, their wishes should be respected even if others have they say no, their wishes should be respected even if others have given permission for them to participate in the study. Incentives to given permission for them to participate in the study. Incentives to participate in a study cannot be so great that a reasonable person participate in a study cannot be so great that a reasonable person would feel that he or she could not refuse to participate. This is would feel that he or she could not refuse to participate. This is particularly important when substantial sums of money are offered particularly important when substantial sums of money are offered to participants or in an institutional setting in which even small to participants or in an institutional setting in which even small rewards have great value.rewards have great value.

Informed ConsentInformed Consent

When obtaining informed consent, When obtaining informed consent, the researcher must provide the researcher must provide participants with enough participants with enough information to make a sound information to make a sound decision.decision.

What are some of the What are some of the elements of the study you elements of the study you think are essential to include think are essential to include when obtaining informed when obtaining informed consent?consent?(1) Who is doing the study (1) Who is doing the study

(2) Brief description of study and why the (2) Brief description of study and why the participant is being recruitedparticipant is being recruited

(3) What is required of the research (3) What is required of the research participantsparticipants

(4) Risks associated with the study(4) Risks associated with the study(5) Participant's rights(5) Participant's rights(6) Contact information (6) Contact information (7) What will be done with the data (7) What will be done with the data (8) How to obtain the results(8) How to obtain the results

PrivacyPrivacy

Psychological research often involves matters that may Psychological research often involves matters that may be personally sensitive. Thus, it is important that the be personally sensitive. Thus, it is important that the researcher maintain strict confidentiality of researcher maintain strict confidentiality of information gathered about participants. When information gathered about participants. When possible, information should be gathered possible, information should be gathered anonymously. If this is not possible, researchers anonymously. If this is not possible, researchers should use code numbers rather than participants' should use code numbers rather than participants' names on all research records. Information should be names on all research records. Information should be stored in a locked and safe location. Data files should stored in a locked and safe location. Data files should also be maintained in a manner that maintains also be maintained in a manner that maintains participant privacy. participant privacy.

The right to privacy also extends to the publication or The right to privacy also extends to the publication or presentation of information. Information should be presentation of information. Information should be analyzed and reported in a manner that maintains the analyzed and reported in a manner that maintains the privacy of all research participants.privacy of all research participants.

Summary of ResultsSummary of Results

Psychologists are expected to give participants an Psychologists are expected to give participants an opportunity to obtain the results of the study. Some opportunity to obtain the results of the study. Some researchers will mail a study summary once the data researchers will mail a study summary once the data are analyzed and conclusions drawn. Other are analyzed and conclusions drawn. Other researchers will post the results on a Web site.researchers will post the results on a Web site.

The summary does not need to include all analyses and The summary does not need to include all analyses and conclusions but it should provide a good overview of conclusions but it should provide a good overview of the study findings and implications for the field. the study findings and implications for the field. Providing a research summary not only allows the Providing a research summary not only allows the participants to see the end result of their efforts, it participants to see the end result of their efforts, it also provides the researcher an opportunity to thank also provides the researcher an opportunity to thank the participants for their contribution to science.the participants for their contribution to science.

SummarySummary

All ethical guidelines for participants in research emphasize All ethical guidelines for participants in research emphasize humane treatment that minimizes risks to participants.humane treatment that minimizes risks to participants.

All researchers are responsible for weighing the benefits and risks All researchers are responsible for weighing the benefits and risks of their studies and minimizing harm.of their studies and minimizing harm.

Deception is permitted in psychological research, but only when the Deception is permitted in psychological research, but only when the potential benefits of the study outweigh its risks, risks are potential benefits of the study outweigh its risks, risks are minimal, and the investigator includes a debriefing that explains minimal, and the investigator includes a debriefing that explains the study.the study.

Participants must have the right to refuse to be in the study or Participants must have the right to refuse to be in the study or discontinue their participation at any time for studies that discontinue their participation at any time for studies that involve any risks.involve any risks.

When obtaining informed consent, enough detail must be given to When obtaining informed consent, enough detail must be given to participants to allow them to make a sound decision.participants to allow them to make a sound decision.

Research must protect the privacy and confidentiality of research Research must protect the privacy and confidentiality of research participants. participants.

Milgram Study VideoMilgram Study Video