APA Ethical Guidelines

“There are seven things that will destroy us: Wealth
without work; Pleasure without conscience; Knowledge
without character; Religion without sacrifice; Politics
without principle; Science without humanity; Business
without ethics."— Mahatma Gandhi
Responsible
Conduct of
Research Quick
Reference Guide
[Document subtitle] Shari Philpot MD

Responsible Conduct of Research Quick Reference Guide
For Psychologists
As an antecedent of collaboration, a plan should be compiled which includes
goals and direction of the research, a detailed list of the responsibilities of all
contributors, credit and ownership details, and the medium of publication. This
is to avoid any issues that may arise during the course of the study and ensure
the research’s optimal success.
 The Good: Proper Procedure
 Similar Fields: A team of psychologists team up with a sociologist to investigate benefits of classical
conditioning techniques on underprivileged youth. While the psychologist is an expert in conditioning,
both operant and classical, the sociologist has submitted many well noted articles regarding the effect
of class on the learning processes of children. This is an example of collaboration at its best!
 The Bad: Violations
 Loosely Structured Plan: When a loosely structured plan for collaboration is made, responsibilities and
boundaries are unclear, ownership of values are misconstrued, and the goal of the study may be lost.
 Mismatched Efforts: In a collaborative project, efforts must be equal and responsibilities must be evenly
divided. If they are not, research may become lopsided and not show the results in their entirety. For
example, in a research project on Wilson’s Syndrome there are two lead researchers. One has agreed to
do all of the measurements, calculations, and handling of the empirical data. The other has been given
the responsibility of supervising assistants and composing data presentation materials. Unbeknownst to
the researcher composing the presentation of data, the other has not collected any data. Approaching
the deadline of the research, the researcher is now faced with performing all tasks and with the
challenge of sharing the ownership of the material published.
1 Collaborative Science
Collaborations take place in a variety of forms, including
the borrowing and lending of supplies, resources and
equipment between researchers; seeking input from an
expert in a different discipline; and partnering with
colleagues who have a similar background or field of
knowledge for fresh ideas and abilities.

 The Ugly: Ambiguous
 Unclearly Defined Goals: When goals are not clearly defined, research begins to take on a mind of its
own. Research has the ability to quickly evolve and with unbound goals, evolution becomes more than
a theory. If research goals are too broad this may also be the case. Ending up with a different subject
for research than you started with can affect funding, accuracy, and your credibility as a researcher.
2 Conflicts of Interest & Commitments
Conflicts of interests or commitments are not inherently negative;
rather, the way in which the conflict is managed is important.
 Membership: Conscientious researchers will rectify any conflicts of interest before proceeding with
studies. In a case where a person membership in a group would prevent the scientist from performing
adequate research, the researcher relinquishes membership in Advance Smokers USA before entering
into active research regarding lung cancer.
 Winthrop Kellogg: Mr. Kellogg was given a grant to test the theory of nature vs. nurture. Since his wife
had recently given birth to a baby, he decided to use his baby for a controlled variable in his research.
To his surprise, it was not the monkey but his child who suffered from the experiment. After nearly a
year, the human baby had failed to thrive in areas of human intelligence, even though the primate had
long before advanced in areas of the human cognition. Not only was this an instance of a conflict of
interest, it is a prime example of a research question that extends beyond the scope of the experiment
(Kellogg, 1967).

 Overbooked: Researchers should be careful not to over extend themselves. Candice is a doctoral
candidate working on a study that is concerned with H1N1. She has also taken on some research on the
East coast examining species of ticks for Lyme’s Disease; inadvertently, Candice has overloaded herself.
It is more likely than not, she runs the risk of not being able to handle all of the obligations of both
projects. The ethical way to respond in such an instance is to choose one project to focus on at a time.
Each body of scientific work has their own sources of reliability; for Psychologist,
this continues to be the APA. The APA site serves as a central location for the
accessing data archives relevant to our field (American Psychological Association,
2013).
3 Data Acquisition, Management, Sharing
 Posting: Important finds should be submitted to the APA. Gabriel is a Graduate student who has found
a gene that can be manipulated to increase cognitive learning. This find may contribute enormously to
the body of work within our field, and should be accessible for the continued advancement of it. It is
submitted to the APA, which allows further research and development of the topic.
 APA: Using articles and links found on the APA website has its advantages. In the case of two budding
psychologist completing research papers during their Bachelor’s degree, Alex decides to rely on articles
found on the APA website in developing her topic. John uses outside resources. Although both have
the same amount of references and citations, some of John’s have been noted by the professor to be
non-scholarly.
 Dry Ideas: Some of the articles listed on the APA website can be redundant. There may be several
hundred article with very similar topics. Mike Tyson notices this and decides against using any sources
from the APA website or submitting any of his work to their journals. Instead, he finds a colorful site
with exciting pictures at Pee Wee Herman Psychological Association and decides to apply for
membership.
and Ownership
The APA site is designed as a central location for viewing and
retrieving shared data archives relevant to psychological science.

“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 of persons, beneficence and justice.”
The Belmont Report
(The National Commission for the Protection of Human Subjects of Biomedical
and Behavioral Research, 1979)
4 Human Research Protections
Research with human participants plays a central role in
advancing knowledge in the biomedical, behavioral and social
sciences.
 Project to Learn About ADHD in Youth (PLAY): PLAY is the CDC’s attempt to explain the etiology,
treatment options, and comorbidity that exists in children with ADHD, a disorder that affects nearly 20%
of school-aged children. This a population based study and has the potential to explain risk factors and
develop resources from those suffering from this disorder (Centers for Disease Control, 2013).
 Autism A similar project to uncover the effects of a Lactose and or Gluten-free diet on the behavior of
children with Autism could produce similar results. If dietary logs are kept by the parents of children
with Autism, in combination with behavioral outcome charts, we may be able to uncover the cause, and
subsequently additional treatments for Autism. 1
 TGN1412: In 2006, Parexel International offered young men in London the opportunity to contribute to
scientific advancement and make £2,000 in cash. This seemingly easy way to kill two birds with one
stone, turned out to be a disaster for its participants. To participate in this study, healthy men were
asked to take an experiment immuno-stimulant, TGN1412, which had never been used by humans. Less
than a month after ingesting the test drug, 6 out of the 6 human subjects were nearly dead from multi-organ
failure (Rosenthal, 2006).
 No Consent: In 1996, FDA policies on informed consent was revised. Soon after, Baxter International
Inc. initiated a study on a substitute for blood that was hoped to provide treatment with little imposition
of harm. They did not inform participants that they were being subjected to an experiment. This had
deleterious consequences for the near 50% of participants who died from the being administered the
HemAssist (Japsen, 1998).
 Medication Trials: Participation in any research which is meant to penalize a group or purposefully
inflict harm to a group should be avoided by an ethical researcher. In the above mentioned example,
students and immigrants were targeted by advertising featuring pool tables, video games, and checks.
Indeed these issues should have raised some questions about the project itself. However, there is no
way the general public could know that CD28 receptor, needed for binding of the drug, is less sensitive
in primates than in humans (Rosenthal, 2006).

Responsible Conduct of Research Quick Reference Guide
For Psychologists
Health Research Extension Act of 1985 outlines the ethically acceptable
treatment of animals used in research. Within the act, specific
guidelines seek to prevent inhumane treatment, abuse, and limit species
usage. In addition the terms of usage is defined.
 Proper care must be given to animal subjects – Methods of care should
correspond with the Animal Welfare Act.
 Techniques to minimize pain and reduce discomfort - Any techniques
that are known to cause pain in humans, are suggested to be avoided.
Note: Questions may be forwarded to:
Office of Laboratory Animal Welfare (OLAW), National Institutes of Health,
Rockledge I, Suite 360, MSC 7982, 6705 Rockledge Drive, Bethesda, Maryland
20892-7982.
5 Lab Animal Welfare
APA has and continues to support efforts to improve laboratory animal
welfare through the implementation of policies and regulations that both
maintain the integrity of scientific research and sustain the welfare of
such animals.

For years, scientist have successfully used animal subjects in research. In many instances, using animals
allows for many theories to be examine without experimenting on human subjects. There are many positive
examples of animal welfare being ethically observed.
 The Nobel Prize winning discovery of Insulin: In 1921 Dr. Frederick Banting and his protégé Charles Best
took medical inquisitiveness to new heights. Through their experiments on canine subjects, these two
pioneers of medicine were able to isolate insulin from the pancreas. This discovery was
groundbreaking. Around the world, the quest was on to improve on their discovery. For diabetics, this
discovery offered them a restored a quality of life and increased longevity. Although studies initially
began on dogs, those used, were positive for diabetic traits and were therefore offered treatment as
well (Nobel Media AB, 2009).
 Human Understanding and Learning: It is known that chimpanzees and other primates are genetically
similar to humans. For years, scientists have substituted human subjects for primate ones in an attempt
to cure diseases and rationalize the treatment of disease. Studies conducted on primate subjects offers
the promising hope for a vaccine for the HIV virus, as well as other infectious diseases like Malaria, and
Dengue fever. Animal experimentation continues to find new ways to treat and manage chronic
diseases including a plethora of cancers. Isolating genes that are noted initiators of cancers can be
solely attributed to this practice. The downside of animal experimentation is the inherent suffering of
the subjects. Nevertheless, if experimentation is in compliance with the Animal Welfare Act, it can be
beneficial to all, explicitly in the case of behavioral studies where physical suffering in subjects is
minimized. Observing primates may prove to be one of the only ways to investigate new ways to
implement behavioral augmentation techniques before they are used on humans. In this respect the
concepts of cognition, rehabilitation, and development may continue to show areas for hope,
particularly for parents with children who are affected in these areas (University of Washington, 2011).
 Primate Testing: It is estimated that 52,279 primates are experimented on in the United States. An
additional 43,676 are estimated to be kept in laboratories for the purposes of breeding and
conditioning. With the total number of primates reaching nearly 100,000, it is impossible to say that all
subjects are treated humanely or ethically euthanized in a timely fashion. According to all-creatures.
org, there are discrepancies in reporting births, disease, and deaths of primates from research
facilities. At the University of California Davis facility alone, at least 100 deaths were overlooked in their
report of necropsies (Budkie, 2002).

 Animal Models for Assessing Countermeasures to Bioterrorism Agents: Since September 11, 2001
terroristic attacks have been in the forefront of American politics, media, and housed fear in the hearts
of people around the world. This has raised the issue of possible future attacks, especially those
intended to affect large populations without discrimination: bioterrorism. Animals are used to test the
response of many agents used in bioterrorism. In order to obtain as many possible manifestations of
the chemical, large quantities of chemicals are administered to thousands of animals. Although the
human-pathogen interaction of animals has shown inconsistency when compared to their effects on
human subjects, it is the only way for countermeasures to be discovered that have the potential to save
human lives (National Research Council, 2011).
 Ivan Pavlov’s Dogs: Pavlov’s research not only advanced the field of Psychology, but also allowed for
unprecedented finds in Medicine and Reflexology. Through his research, many conditioning techniques
were created for behavioral modifications. His discoveries across the fields of science eventually earned
him a Nobel Peace Prize in 1904. Although it is speculated that to observe long term behavioral pattern
Pavlov kept his dogs healthy, little can be said of the dogs who may have been missing salivary glands,
their quality of life, or lack thereof.

.
There is a 5 step process to the mentoring process: Purpose is at center of the
process and is where mentoring should begin. This is followed by Engagement or
securing a Mentor, Planning, Emergence, and ends with Completion or achieving
the intended purpose (Donna Wheeler, 2013).
6 Mentoring
Mentoring a less-experienced researcher is a professional responsibility
of all scientists. The ultimate goal of the mentor is to establish the
trainee as an independent researcher.

The ethnically balanced technique of mentoring can be exhibited during the initial phases of doctorial research.
This is the time when the fellow gains confidence in their work and gets the opportunity to explore their unique
interest. At this point in a career, the relationship with the Mentor has the potential to do much more than
shape the future scientist, but model the actual function of this relationship itself. 2 In the science field,
mentoring is the responsibility of all experienced practitioners. This practice is meant to provide a reciprocal
relationship between each party and combine new outlooks with older ones (American Psychological
Association, 2013).
 Mercury in Fish, Bonaire, Netherlands Antilles: In securing samples of fish to test for the presence of
heavy metals, a celebrated international Marine Biologist insist that researchers be mindful of collecting
exact numbers of samples as not to disrupt any ecosystems. He explained the intricate balance of the
ocean life and how it could affect human populations. During the testing phase of the research, he
clearly demonstrates the extraction of muscle tissue from the spinal cord of samples and models how
tests must be administered to retain validity of data.
 Science Fair: One way public schools incorporate the application and use of the scientific method early
on is through encouraging students to participate in local and national science fair competitions. This is
one of the earliest relationships through which the concept mentoring is introduced. Examining this
example, the basic nature of the mentor as a willing advisor is ascertained.
Any situation in which boundaries are not maintained between the mentor and the trainee would be an ethical
violation of the relationship. In addition, certain relationships may taint the validity of research.
 Dating: To date a trainee is a direct violation of most codes of ethics. Many institution have policies
strictly prohibiting such acts and participation in such may result in termination of research or a
discontinuation in employment.
 Intentional Misinformation: A mentor who provides intentional misinformation, especially where it is
beneficial to themselves, is a direct ethical violation. The field of science is built on accuracy. The
concept of accuracy becomes increasingly important in the areas where research is concerned. In some
cases, the life of a program is dependent on the accuracy in reporting from scientific research. Tax
dollars are used to fund many aspects of research. Therefore, a violation could be punishable by law.
 Family: Working on with research with family members may present ongoing issues during research.
Personal issues may arise that prevent completion of work, interfere with the researcher’s ability to
perform, and as a consequence, effect the validity of the research.
2 Dr. Bruce Davidson, a Marine Biologist, was my mentor during my doctorial research. He later became a close colleague and my friend. He supervised my crew while we
collecting samples of fish and explained proper techniques. He was an excellent model of the proper way this relationship sh ould be.

The importance of Peer Review in research is immeasurable; it serves as a
vehicle of quality control. Peer Review does however, have its limitations;
mainly the peers! Smaller agencies may be forced to have submissions reviewed
by less than qualified experts. Other boards of reviewers may exist outside of
nationally accredited boards, as in the case of doctors of alternative medicine.
 Highly Competent Peers Of course when administered properly the Peer Review tool can be highly
effective in checking references, examining empirical evidence, and pointing out mistakes to the
researcher. This can usually be obtained through little efforts having materials reviewed by competent
peers.
 Disregarded References If peers disregard references or fail to investigate them, this can alter the
benefits of the review.
 Unqualified Peers Peers who are unexperienced or disqualified in their fields should not be part of a
Peer Review panel. Even though some people feel as if they are experts in a certain area, there are a set
criteria that have been established to determine that.
 Unrelated Field Although some reviewers may be qualified to review materials in their respective field,
it does not make them an acceptable choice to review all materials. Obtaining a PhD in Microbiology,
does not make one knowledgeable in the areas of Genetics. Therefore, in order to concrete the validity
of the Peer Review, it must be handled by the appropriate institutions.
7 Peer Review
Positive peer reviews contribute to increased funding
opportunities, academic advancement and a good reputation.

8 Publications Practices & Responsible Authorship
Although researchers can disseminate their findings through
many different avenues, results are most likely to be published as
an article in a scholarly journal.
 Responsible Authorship: Steve Young completes his research on the mental disorder that develop in out
of shape football players. He gives credit to all of his assistants and techs, sites all of his sources, and
publishes the study in an APA publication. He excited about this subject getting the publicity it deserves
and hopes to help some of his friends like Jerry Rice and Brett Farve.
 Less Publishable Units: To rule out the possibility of rejection of his work, Thomas decides to publish his
findings in the Michael Jackson Journal of Psychology.
 Failing to Give Credit: Venus completes her research at the same time as Serena. They are sisters and
they enjoy competing and trying to outdo each other. Venus decides that she will take all the credit
from her research and not attribute any of it to other sources.
 Duplication: Ashley is reaching the end of her Master’s Degree program. She is considering continuing
to obtain her PhD. She has no particular interest and has no idea what she will study. She overhears a
classmate complaining that “too many people study the effects of drug use in pregnant women”, and
quickly decides. She will also research this area. She figures there is no reason to recreate the wheel
and she can piggy-back off other researchers.

Types of Misconduct
 Fabrication
 Falsification
 Plagiarism
 Unintentional Error vs. Intentional misconduct
 Protection of Whistleblowers
9Research Misconduct
Institutions should have procedures in place to investigate and
when appropriate report findings of misconduct to the Office of
Research Integrity (ORI). They should also have policies that
protect both whistleblowers and the accused until a
determination is made.
 Whistleblowers: There are no types of proper misconduct but there are correct procedures for handling
such infractions. The Humane Society has been a whistleblower on many activities of the animal
research operations in the United States and abroad. Many government institutes have policies to
protect whistleblowers. According to whistleblowers.gov, whistleblowers are protected from
discrimination and adverse actions. These adverse actions include but are not limited to:
 Firing, laying off, or demotions
 Blacklisting
 Denial of normal benefits, promotions, etc.
 General harassment due to the act (OSHA, n.d.).
 Falsification: In 1998 the New England Primate Center reported using over 1800 primates to the USDA.
For some strange reason, in that same year, Harvard University reported a seemingly lower
approximation of only 330 primates in use. This an unfortunate example of an ethics violation. It would
seem that someone must have misplaced the paperwork on around 1500 monkeys that were housed by
the University. However, it is more likely a case of falsification of documentation concerning the
subjects (Budkie, 2002).
 Fabrication: A researcher begins a project and realizes that his thesis will be proven wrong. He then
“tweaks” results to confirm and agree with his thesis.
 Plagiarism: A research assistant is asked to find supporting studies to compare result of an experiment
with. Instead of properly citing the information he obtains, he records the results as if it was his own.
 Unintentional Error: The head researcher as at a reputable lab is diligently preparing an article on his
experiment on T-Cell receptor binding. He has been working day and night to make sure that everything
is just right. He knows that his result will show much promise in the area of AIDS research and hopes to
help many people with the information he obtains. Growing tired from exhaustion, he inputs inaccurate
data into his calculations.

References
American Psychological Association. (2013). Responsible Conduct of Research. Retrieved from APA Website:
http://www.apa.org.proxy1.ncu.edu/research/responsible/index.aspx
Budkie, M. (2002). The Reporting of Animal Experimentation in the U.S.: Errors, Lies, and Contradictions. Retrieved from Stop Animal Exploitation Website :
http://www.all-creatures.org/saen/articles-rep-anexp-elc-conc.html
Centers for Disease Control. (2013, November 21). ADHD. Retrieved from CDC: http://www.cdc.gov/ncbddd/adhd/research.html#social
Donna Wheeler. (2013, April). Mentoring. Retrieved from Donna Wheeler Website: http://www.donnerwheeler.com/services/mentoring
Japsen, B. (1998, June 03). Baxter Reviews Blood Substitute. Chicago Tribune.
Kellogg, W. A. (1967). The Ape and the Child. New York: Hafner Publishing Company.
National Institutes of Health. (1985, November 20). Health Research Extension Act of 1985: “Animals in Research”. Retrieved from Office of Laboratory Animal
Welfare: http://grants.nih.gov/grants/olaw/references/phspol.htm#USGovPrinciples
National Research Council. (2011, 2011). Animal Models for Assessing Countermeasures to Bioterrorism Agents . Washington, DC: The National Academies Press.
Nobel Media AB. (2009). The Discovery of Insulin. Retrieved from Nobelprize.org: http://www.nobelprize.org/educational/medicine/insulin/discovery-insulin.
html
OSHA. (n.d.). Occupational Safety and Health Administration. Retrieved from Whistleblowers Website: http://www.whistleblowers.gov/
Rosenthal, E. (2006, April 7). When Drug Trials Go Horribly Wrong. New York Times. Retrieved from http://www.nytimes.com/2006/04/07/world/europe/07iht-drug.
html?pagewanted=all&_r=0
The National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. (1979). The Belmont Report. Washington, DC:
Department of Health and Human Services.
University of Washington. (2011). Primate Resources. Retrieved from Washington National Primate Research Center: http://www.wanprc.org/primate-resources/
iprl/

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