Before leaving Part 1 of this tutorial, we present a very brief overview of two other very important documents that deal with the ethics of conducting research with human participants. The full version of each document can be viewed online; the links are provided below.

Canadian Code of Ethics for Psychologists (CPA, 1991)

The Canadian Psychological Association (CPA) sent descriptions of hypothetical ethical dilemmas to its members, who were asked to resolve them. The Code contains four principles derived from their responses. Within the Code, for each principle, there is a value statement, followed by a list of ethical standards consistent with that value. The four principles are itemized below, along with some highlights from the value statement for each one.

Principle I: Respect for the Dignity of Persons

  • "[P]sychologists accept as fundamental...the belief that each person should be treated primarily as a person or an end in him/herself, not as an object or a means to an end." (p. 9)
  • The greatest responsibility of psychologists is "to those persons directly receiving or involved in the psychologist's activities and, therefore, normally in a more vulnerable position (e.g., research participants, clients, students)." (p. 9)
  • Psychologists have a responsibility to protect and promote "rights to privacy, self-determination, personal liberty, and natural justice. As such, psychologists have a responsibility to develop and follow procedures for informed consent, confidentiality, fair treatment, and due process that are consistent with those rights." (p. 9)

Principle II: Responsible Caring

  • "Responsible caring leads psychologists to 'take care' to discern the potential harm and benefits involved, to predict the likelihood of their occurrence, to proceed only if the potential benefits outweigh the potential harms, to develop and use methods that will minimize harms and maximize benefits, and to take responsibility for correcting any harmful effects that have occurred as a result of their activities." (p. 14)
  • "In order to carry out these steps, psychologists recognize the need for competence and self-knowledge." (p. 14)

Principle III: Integrity in Relationships

  • Expectations of psychologists include: "accuracy and honesty; straight-forwardness and openness; the maximization of objectivity and minimization of bias; and, avoidance of conflicts of interest." (p. 19)
  • "[M]eeting expectations of integrity is enhanced by self-knowledge and the use of critical analysis." (p. 19)
  • "Full disclosure may not be needed or desired by others and, in some circumstances, may be at risk to their dignity or well-being. In such circumstances, however, psychologists have a responsibility to ensure that their decision not to be fully open or straight-forward is justified by higher-order values." (p. 19)
  • "Although research that uses...[deceptive] techniques can lead to knowledge that is beneficial, and service which uses techniques which might be interpreted as deception can lead to beneficial changes for the client, such benefits must be weighed against the individual's right to self-determination and the importance of public and individual trust in psychology. Psychologists have a serious obligation never to use deception in service activities, and to avoid as much as possible the use of deception in research or the use of any technique which could be interpreted as deception in either research or service activities. They also have a serious obligation to consider the need for, the possible consequences of, and their responsibility to correct any resulting mistrust or other harmful effects from the use of such techniques." (p. 20)

Principle IV: Responsibility to Society

  • "[T]wo of the legitimate expectations of psychology as a science and a profession are that it will increase knowledge and that it will conduct its affairs in such ways that it will promote the welfare of all human beings." (p. 24)
  • "[P]sychologists will actively increase knowledge only through the use of activities and methods that are consistent with ethical requirements, and be willing to demonstrate that such requirements have been met." (p. 24)

While this tutorial focuses on APA's (1982) 10 ethical principles in the conduct of research with human participants, the excepts presented above may be useful in solving some of the ethical dilemmas you will be confronted with in the exercise in Part 2. Of particular note, the four values listed above are ordered "according to the weight each should be given when they conflict" (CPA, 1991, p. 4). So, for example, where the respect for the dignity of persons is compromised by the investigator's responsibility to society, the former should be given precedence in the ethical decision-making process.

The CPA has made its Canadian Code of Ethics for Psychologists available online. An excellent supplementary book is Companion Manual to the Canadian Code of Ethics for Psychologists. See especially its vignettes dealing with ethics and research issues.

Ethical Principles of Psychologists and Code of Conduct (APA, 1992)

The Ethics Code from the APA "is intended to provide standards of professional conduct that can be applied by the APA and by other bodies that choose to adopt them" (APA, 1992, p. 1598). It contains aspirational goals (Principles A-F: [A] competence, [B] integrity, [C] professional and scientific responsibility, [D] respect for people's rights and dignity, [E] concern for others' welfare, [F] social responsibility), as well as enforceable rules. Ethical standards are divided into eight sections. Most relevant to the present discussion is Section 6: Teaching, Training Supervision, Research, and Publishing. The standards most relevant in Section 6 are: planning research (6.06), responsibility (6.07), compliance with laws and standards (6.08), institutional approval (6.09), research responsibilities (6.10), informed consent to research (6.11), dispensing with informed consent (6.12), informed consent in research filming or recording (6.13), offering inducements for research participants (6.14), deception in research (6.15), sharing and utilizing data (6.16), minimizing invasiveness (6.17), providing participants with information about the study (6.18), and honoring commitments (6.19). Kimmel (1996) contends that, with this document, "the APA has moved closer in the direction of establishing minimum standards in the form of 'thou shalts' and 'thou shalt nots'" (p. 49).

The APA, 1992 warns that the guidelines and standards set forth in their document Ethical Principles in the Conduct of Research With Human Participants (APA, 1982) are not enforceable by their most current Ethics Code; rather, they advise that the 1982 document should serve as "educational value to psychologists, courts, and professional bodies" (p. 1598). An APA task force has been commissioned to rewrite the 1982 document. According to Kimmel (1996), the new version will be reorganized into a more "user-friendly" format "according to specific content areas (e.g., planning research, informed consent, confidentiality), with the revised ethical principles referred to throughout" (p. 49).

The APA has made its Ethical Principles of Psychologists and Code of Conduct available online.