Ethics in Bio-Psychology
Animal Participants
As a field of study, psychology examines a broad range of research and applied areas. Important
parts of such work are teaching and research on the behavior of nonhuman animals, which
contribute to the understanding of basic principles underlying behavior and to advancing the
welfare of both human and nonhuman animals. While psychologists must conduct their
teaching and research in a manner consonant with relevant laws and regulations, ethical
concerns further mandate that psychologists consider the costs and benefits of procedures
involving animals before proceeding with these activities.
These guidelines are scheduled to expire 10 years from February 24, 2012 (the date of adoption
by the APA Council of Representatives).
I. Justification of the Research
II. Personnel
III. Care and Housing of Laboratory Animals
IV. Acquisition of Laboratory Animals
V. Experimental Procedures
VI. Field Research
VII. Educational Use of Nonhuman Animals
I. Justification of the Research
• Research should be undertaken with a clear scientific purpose. There should be a
reasonable expectation that the research will:
o Increase knowledge of the process underlying the evolution, development,
maintenance, alteration, control, or biological significance of behavior.
o Determine the replicability and generality of prior research.
o Increase understanding of the species under study.
o Provide results that benefit the health or welfare of humans or other animals.
• The scientific purpose of the research should be of sufficient potential significance to
justify the use of nonhuman animals. In general, psychologists should act on the
assumption that procedures that are likely to produce pain in humans may also do so in
other animals, unless there is species-specific evidence of pain or stress to the contrary.
• In proposing a research project, the psychologist should be familiar with the appropriate
literature, consider the possibility of non-animal alternatives, and use procedures that
minimize the number of nonhuman animals in research. If nonhuman animals are to be
used, the species chosen for the study should be the best suited to answer the question(s)
posed.
• Research on nonhuman animals may not be conducted until the protocol has been
reviewed by an appropriate animal care committee; typically, an Institutional Animal
Care and Use Committee (IACUC), to ensure that the procedures are appropriate and
humane.
• The psychologist(s) should monitor the research and the subjects’ welfare throughout
the course of an investigation to ensure continued justification for the research.
II. Personnel
• Psychologists should ensure that personnel involved in their research with nonhuman
animals be familiar with these guidelines.
• Research procedures with nonhuman animals should conform to the Animal Welfare
Act (wherever legally applicable) and applicable federal regulations, policies, and
guidelines, regarding personnel, supervision, record keeping, and veterinary care.
• As behavior is not only the focus of study of many experiments but also a primary
source of information about an animal’s health and well-being, psychologists and their
assistants should be informed about the behavioral characteristics of their nonhuman
animal subjects. Awareness of the difference between unusual behaviors and normal,
species-specific behaviors may allow for earlier assessment and treatment of health
problems.
• Psychologists should assume it their responsibility that all individuals who work with
nonhuman animals under their supervision receive explicit instruction in experimental
methods and in the care, maintenance, and handling of the species being studied. The
activities that any individuals are allowed to engage in must not exceed their respective
competencies, training, and experience in either the laboratory or the field setting.
III. Care and Housing of Laboratory Animals
• As a scientific and professional organization, APA recognizes the complexities of
defining psychological well-being for both human and non-human animals. APA does
not provide specific guidelines for the maintenance of psychological well-being of
research animals, as procedures that are appropriate for a particular species may not be
for others. Psychologists who are familiar with the species, relevant literature, federal
guidelines, and their institution's research facility context should consider the
appropriateness of measures such as enrichment to maintain or improve psychological
well-being of those species.
• The facilities housing laboratory animals should meet or exceed current regulations and
guidelines and are required to be inspected twice a year.
• All procedures carried out on nonhuman animals are to be reviewed by an institutional
animal care and use committee (IACUC) to ensure that the procedures are appropriate
and humane. The committee must have representation from within the institution and
from the local community. In event that it is not possible to constitute an appropriate
IACUC in the psychologist's own institution, psychologists should seek advice and
obtain review from a corresponding committee of a cooperative institution.
• Laboratory animals are to be provided with humane care and healthful conditions
during their stay in any facilities of the institution. Responsibilities for the conditions
under which animals are kept, both within and outside of the context of active
experimentation or teaching, rests with the psychologist under the supervision of the
IACUC (where required by federal regulations) and with individuals appointed by the
institution to oversee laboratory animal care.
IV. Acquisition of Laboratory Animals
• Laboratory animals not bred in the psychologist’s facility are to be acquired lawfully.
The USDA and local ordinances should be consulted for information regarding
regulations and approved suppliers.
• Psychologists should make every effort to ensure that those responsible for transporting
the nonhuman animals to the facility provide adequate food, water, ventilation, space,
and impose no unnecessary stress on the animals (NRC, 2006).
• Nonhuman animals taken from the wild should be trapped in a humane manner and in
accordance with applicable federal, state, and local regulations.
• Use of endangered, threatened or imported nonhuman animals must only be conducted
with full attention to required permits and ethical concerns. Information and permit
applications can be obtained from appropriate authorities.
V. Experimental Procedures
• Consideration for the humane treatment and well-being of the laboratory animal should
be incorporated into the design and conduct of all procedures involving such animals,
while keeping in mind the primary goal of undertaking the specific procedures of the
research project—the acquisition of sound, replicable data. The conduct of all
procedures is governed by Guideline I (Justification of Research) above.
• Observational and other non-invasive forms of behavioral studies that involve no
aversive stimulation to, or elicit no sign of distress from the nonhuman animal are
acceptable.
• Whenever possible behavioral procedures should be used that minimize discomfort to
the nonhuman animal. Psychologists should adjust the parameters of aversive
stimulation to the minimal levels compatible with the aims of the research.
Consideration should be given to providing the research animals control over the
potential aversive stimulation whenever it is consistent with the goals of the research.
Whenever reasonable, psychologists are encouraged to first test the painful stimuli to
be used on nonhuman animal subjects on themselves.
• Procedures in which the research animal is anesthetized and insensitive to pain
throughout the procedure, and is euthanized (AVMA, 2007) before regaining
consciousness are generally acceptable.
• Procedures involving more than momentary or slight aversive stimulation, which is not
relieved by medication or other acceptable methods, should be undertaken only when
the objectives of the research cannot be achieved by other methods.
• Experimental procedures that require prolonged aversive conditions or produce tissue
damage or metabolic disturbances require greater justification and surveillance by the
psychologist and IACUC. A research animal observed to be in a state of severe distress
or chronic pain that cannot be alleviated and is not essential to the purposes of the
research should be euthanized immediately (AVMA, 2007).
• Procedures that employ restraint must conform to federal regulations and guidelines.
• Procedures involving the use of paralytic agents without reduction in pain sensation
require particular prudence and humane concern. Use of muscle relaxants or paralytics
alone during surgery, without anesthesia, is unacceptable.
• Surgical procedures, because of their invasive nature, require close supervision and
attention to humane considerations by the psychologist. Aseptic (methods that
minimize risks of infection) techniques must be used on laboratory animals whenever
possible.
• All surgical procedures and anesthetization should be conducted under the direct
supervision of a person who is trained and competent in the use of the procedures.
• Unless there is specific justification for acting otherwise, research animals should be
maintained under anesthesia until all surgical procedures are ended.
• Postoperative monitoring and care, which may include the use of analgesics and
antibiotics, should be provided to minimize discomfort, prevent infection and promote
recovery from the procedure.
• In general, laboratory animals should not be subjected to successive survival surgical
procedures, except as required by the nature of the research, the nature of the specific
surgery, or for the well-being of the animal. Multiple surgeries on the same animal must
be justified and receive approval from the IACUC.
• To minimize the number of nonhuman animals used, multiple research uses of
individual animals should be considered. Such uses must be compatible with the goals
of the research, sound scientific practice, and the welfare of the animal.
• To ensure their humane treatment and well-being, laboratory animals generally may
not be released from institutional facilities. Nonhuman animals reared in the laboratory
must not be released into the wild because, in most cases, they cannot survive or they
may survive by disrupting the natural ecology. Return of any wild-caught animal to the
field also carries risks, both to the formerly captive animals and to the ecosystem.
• When euthanasia is appropriate, either as a requirement of the research or because it
constitutes the most humane form of disposition of a nonhuman animal at the
conclusion of the research:
• Euthanasia must be accomplished in a humane manner, appropriate for the species and
age, and in such a way as to ensure immediate death, and in accordance with procedures
outlined in the latest version of the “AVMA (American Veterinary Medical
Association) Guidelines on Euthanasia (2007) (PDF, 550KB)."
• Disposal of euthanized laboratory animals must be conducted in accord with all relevant
legislation, consistent with health, environmental, and aesthetic concerns, and as
approved by the IACUC. No animal shall be discarded until its death is verified.
VI. Field Research
• Field research that carries a risk of materially altering the behavior of nonhuman
animals and/or producing damage to sensitive ecosystems is subject to IACUC
approval. Field research, if strictly observational, may not require animal care
committee approval (USDA, 2000).
• Psychologists conducting field research should disturb their populations as little as
possible, while acting consistent with the goals of the research. Every effort should be
made to minimize potential harmful effects of the study on the population and on other
plant and animal species in the area.
• Research conducted in populated areas must be done with respect for the property and
privacy of the inhabitants of the area.
• Such research on endangered species should not be conducted unless IACUC approval
has been obtained and all requisite permits are obtained.
VII. Educational Use of Nonhuman Animals
• Laboratory exercises as well as classroom demonstrations involving live animals are of
great value as instructional aids. Psychologists are encouraged to include instruction
and discussion of the ethics and values of nonhuman animal research in all relevant
courses.
• Nonhuman animals may be used for educational purposes only after review by an
IACUC or committee appropriate to the institution.
• Consideration should be given to the possibility of using non-animal alternatives. Some
procedures that can be justified for research purposes may not be justified for
educational purposes.
• It is important to recognize that this document constitutes “guidelines,” which serve a
different purpose than “standards.” Standards, unlike guidelines, require mandatory
compliance, and may be accompanied by an enforcement mechanism. This document
is meant to be aspirational in intent, and to provide recommendations for the
professional conduct of specified activities. These guidelines are not intended to be
mandatory, exhaustive, or definitive and should not take precedence over the judgment
of individuals who have competence in the subject addressed.
Human Participants
1. Introduction
1.1 The principles given below are intended to apply to research with human participants.
Principles of conduct in professional practice are to be found in the Society’s Code of Conduct
and in the advisory documents prepared by the Divisions, Sections and Special Groups of the
Society.
1.2 Participants in psychological research should have confidence in the investigators. Good
psychological research is possible only if there is mutual respect and confidence between
investigators and participants. Psychological investigators are potentially interested in all
aspects of human behaviour and conscious experience. However, for ethical reasons, some
areas of human experience and behaviour may be beyond the reach of experiment,
observation or other form of psychological investigation. Ethical guidelines are necessary to
clarify the conditions under which psychological research is acceptable.
1.3 The principles given below supplement for researchers with human participants the
general ethical principles of members of the Society as stated in The British Psychological
Society’s Code of Conduct (q.v.).Members of The British Psychological Society are expected
to abide by both the Code of Conduct and the fuller principles expressed here. Members
should also draw the principles to the attention of research colleagues who are not members
of the Society. Members should encourage colleagues to adopt them and ensure that they
are followed by all researchers whom they supervise (e.g. research assistants, postgraduate,
undergraduate, A-Level and GCSE students).
1.4 In recent years, there has been an increase in legal actions by members of the general
public against professionals for alleged misconduct. Researchers must recognise the
possibility of such legal action if they infringe the rights and dignity of participants in their
research.
2. General
2.1 In all circumstances, investigators must consider the ethical implications and psychological
consequences for the participants in their research. The essential principle is that the
investigation should be considered from the standpoint of all participants; foreseeable
threats to their psychological well - being, health, values or dignity should be eliminated.
Investigators should recognise that, in our multi-cultural and multi-ethnic society and where
investigations involve individuals of different ages, gender and social background, the
investigators may not have sufficient knowledge of the implications of any investigation for
the participants. It should be borne in mind that the best judge of whether an investigation
will cause offence may be members of the population from which the participants in the
research are to be drawn.
3. Consent
3.1 Whenever possible, the investigator should inform all participants of the objectives of the
investigation. The investigator should inform the participants of all aspects of the research or
intervention that might reasonably be expected to influence willingness to participate. The
investigator should, normally, explain all other aspects of the research or intervention about
which the participants enquire. Failure to make full disclosure prior to obtaining informed
consent requires additional safeguards to protect the welfare and dignity of the participants.
3.2 Research with children or with participants who have impairments that will limit
understanding and/or communication such that they are unable to give their real consent
requires special safe-guarding procedures.
3.3 Where possible, the real consent of children and of adults with impairments in
understanding or communication should be obtained. In addition, where research involves
any persons under 16 years of age, consent should be obtained from parents or from legal
guardians. If the nature of the research precludes consent being obtained from parents or
permission being obtained from teachers, before proceeding with the research, the
investigator must obtain approval from an Ethics Committee.
3.4 Where real consent cannot be obtained from adults with impairments in understanding
or communication, wherever possible the investigator should consult a person well-placed to
appreciate the participant’s reaction, such as a member of the person’s family, and must
obtain the disinterested approval of the research from independent advisors.
3.5 When research is being conducted with detained persons, particular care should be taken
over informed consent, paying attention to the special circumstances which may affect the
person’s ability to give free informed consent.
3.6 Investigators should realise that they are often in a position of authority or influence over
participants who may be their students, employees or clients. This relationship must not be
allowed to pressurise the participants to take part in, or remain in, an investigation.
3.7 The payment of participants must not be used to induce them to risk harm beyond that
which they risk without payment in their normal life style.
3.8 If harm, unusual discomfort, or other negative consequences for the individual’s future
life might occur, the investigator must obtain the disinterested approval of independent
advisors, inform the participants, and obtain informed, real consent from each of them.
3.9 In longitudinal research, consent may need to be obtained on more than one occasion.
4. Deception
4.1 The withholding of information or the misleading of participants is unacceptable if the
participants are typically likely to object or show unease once debriefed. Where this is in any
doubt, appropriate consultation must precede the investigation. Consultation is best carried
out with individuals who share the social and cultural background of the participants in the
research, but the advice of ethics committees or experienced and disinterested colleagues
may be sufficient.
4.2 Intentional deception of the participants over the purpose and general nature of the
investigation should be avoided whenever possible. Participants should never be deliberately
misled without extremely strong scientific or medical justification. Even then there should be
strict controls and the disinterested approval of independent advisors.
4.3 It may be impossible to study some psychological processes without withholding
information about the true object of the study or deliberately misleading the participants.
Before conducting such a study, the investigator has a special responsibility to (a) determine
that alternative procedures avoiding concealment or deception are not available; (b) ensure
that the participants are provided with sufficient information at the earliest stage; and (c)
consult appropriately upon the way that the withholding of information or deliberate
deception will be received.
5. Debriefing
5.1 In studies where the participants are aw are that they have taken part in an investigation,
when the data have been collected, the investigator should provide the participants with any
necessary in formation to complete their understanding of the nature of the research .The
investigator should discuss with the participants their experience of the research in order to
monitor any unforeseen negative effects or misconceptions.
5.2 Debriefing does not provide a justification for unethical aspects of any investigation.
5.3 Some effects which may be produced by an experiment will not be negated by a verbal
description following the research. Investigators have a responsibility to ensure that
participants receive any necessary debriefing in the form of active intervention before they
leave the research setting.
6. Withdrawal from the investigation
6.1 At the onset of the investigation investigators should make plain to participants their right
to withdraw from the research at any time, irrespective of whether or not payment or other
inducement has been offered. It is recognised that this may be difficult in certain
observational or organisational settings , but nevertheless the investigator must attempt to
ensure that participants (including children) know of their right to withdraw when testing
children, avoidance of the testing situation m ay be taken as evidence of failure to consent to
the procedure and should be acknowledged .
6.2 In the light of experience of the investigation, or as a result of debriefing, the participant
has the right to withdraw retrospectively any consent given, and to require that their own
data, including recordings, be destroyed.
7. Confidentiality
7.1 Subject to the requirements of legislation, including the Data Protection Act, information
obtained about a participant during an investigation is confidential unless otherwise agreed
in advance. Investigators who are put under pressure to disclose confidential information
should draw this point to the attention of those exerting such pressure. Participants in
psychological research have a right to expect that information they provide will be treated
confidentially and, if published, will not be identifiable as theirs. In the event that
confidentiality and/or anonymity cannot be guaranteed, the participant must be warned of
this in advance of agreeing to participate.
8. Protection of participants
8.1 Investigators have a primary responsibility to protect participants from physical and
mental harm during the investigation. Normally, the risk of harm must be no greater than in
ordinary life, i.e. participants should not be exposed to risks greater than or additional to
those encountered in their normal lifestyles. Where the risk of harm is greater than in
ordinary life the provisions of 3.8 should apply. Participants must be asked about any factors
in the procedure that might create a risk, such as pre-existing medical conditions, and must
be advised of any special action they should take to avoid risk.
8.2 Participants should be informed of procedures for contacting the investigator within a
reasonable time period following participation should stress, potential harm, or related
questions or concern arise despite the precautions required by the Principles. Where research
procedures might result in undesirable consequences for participants, the investigator has
the responsibility to detect and remove or correct these consequences.
8.3 Where research may involve behaviour or experiences that participants may regard as
personal and private the participants must be protected from stress by all appropriate
measures, including the assurance that answers to personal questions need not be given.
There should be no concealment or deception when seeking information that might encroach
on privacy.
8.4 In research involving children, great caution should be exercised when discussing the
results with parents, teachers or others acting in loco parentis, since evaluative statements
may carry unintended weight.
9. Observational research
9.1 Studies based upon observation must respect the privacy and psychological well-being of
the individuals studied. Unless those observed give their consent to being observed,
observational research is only acceptable in situations where those observed would expect to
be observed by strangers. Additionally, particular account should be taken of local cultural
values and of the possibility of intruding upon the privacy of individuals who, even while in a
normally public space, may believe they are unobserved.
10. Giving advice
10.1 During research, an investigator may obtain evidence of psychological or physical
problems of which a participant is, apparently, unaware. In such a case, the investigator has
a responsibility to inform the participant if the investigator believes that by not doing so the
participant’s future wellbeing may be endangered.
10.2 If, in the normal course of psychological research, or as a result of problems detected as
in 10.1, a participant solicits advice concerning educational, personality, behavioural or health
issues, caution should be exercised. If the issue is serious and the investigator is not qualified
to offer assistance, the appropriate source of professional advice should be recommended.
Further details on the giving of advice will be found in the Society’s Code of Conduct.
10.3 In some kinds of investigation the giving of advice is appropriate if this forms an intrinsic
part of the research and has been agreed in advance.
11. Colleagues
11.1 Investigators share responsibility for the ethical treatment of research participants with
their collaborators, assistants, students and employees. A psychologist who believes that
another psychologist or investigator may be conducting research that is not in accordance
with the principles above should encourage that investigator to re-evaluate the research.
