MONASH

School of
Psychological
Sciences

PSY3041 - Psychological Testing,

Theories of Ability and Ethics

Lecture 1: Ethics – Key Principles, Dilemmas and

Decision Making Procedures

Presented by Dr Shawn Lee Ji Kwan

Slides adapted from Dr Graeme Hyman and Jake Hoskin
Prescribed Reading
Shum
 Chapter 2 (pp. 36-40)
If using library e-book: the section on
Ethics - ending just before the section
"accommodating the differently abled"
APS Code of Ethics
The Ethical Traps
(Steinman et al, 1998)
Ethical Decision Making
(Steinman et al., 1998)
 Learning Objectives

 Understand some of the major theoretical approaches to

ethics
 Define the meaning of an ethical dilemma
 Outline key principles of ethics
 Know and apply the Australian Psychological Society’s
Code of Ethics
 Describe some prominent ethical traps
Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
WHAT IS ETHICS?

 A branch of philosophy concerned with moral problems and

moral judgments
 Deals with questions of how people ought to act (moral philosophy), i.e.
the evaluation of human actions
 Provides “rules” for defining concepts of “right” and “wrong”
behaviour
 Assign judgments to define human actions as “right” or “wrong”
according to the perspective of some moral principal or ethical
guideline

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MORALS VS. ETHICS

 Morals = one’s perspective of what’s right and proper conduct

– Often imply a general and unwritten frame of reference (e.g. norms)
– Often involves evaluation of actions based on culture and religion

 Ethics = ideal standards that we strive towards

– Codified set of values/principles that guide conduct
– Set by the profession
– Enforced by professional bodies that regulate the profession
– Consequences for not adhering to these

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COMPARISON

BASIS FOR MORALS ETHICS

COMPARISON

Meaning Beliefs of the individual or Guiding principles which help

group of what is right and the individual or group decide
wrong what is good or bad

Governed by Social and cultural norms Individual or legal and

professional norms

Deals with Principles of right and wrong Right and wrong conduct

Consistency Morals may differ from society Ethics are generally uniform
to society and culture to
culture

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 To get you started, let’s look at ethical reasoning in a non-psychology situation.

 Doctors often write notes on notepads and use pens provided by

pharmaceutical companies. Some doctors may accept complementary meals
and sporting event tickets, subsidized travel, and research funds from such
companies. Regarding these gifts and subsidies from pharmaceutical
companies to doctors:

 (i) What kind of guidelines do you think should be in place?

 (ii) Why is there a need for such guidelines?
 (iii) If there is an ethical issue here do you think the failure is on the part of the
pharmaceutical companies, the doctors or both?

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WHY LEARN ABOUT ETHICS IN PSYCHOLOGY?

 Good work in any profession— the very meaning of

professionalism— involves excellence in both the technical
and ethical dimensions of work
 Good ethical practice equates with good professional practice

 Concern about the adequacy of individuals’ ethical intuitions

 We are all hostages to our experiences and what we learn from them
 Sometimes learn the wrong thing from our experiences and make and
apply the wrong generalisations (ethical traps!)

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WHY LEARN ABOUT ETHICS IN PSYCHOLOGY?

 When we are confronted with ethical challenges, we often

experience confusion, pressure, frustrations, anxiety, conflicting
loyalties, insufficient information, and the tendency to rationalise

 We are also prone to a range of cognitive biases

 Positive illusions/unrealistic optimism
 Egocentrism
 Omission biases

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WHY LEARN ABOUT ETHICS IN PSYCHOLOGY?

 A clear power imbalance between the psychologist and consumer

 Many people who seek help from psychologists are vulnerable

 Emotionally
 Socially
 Neurologically
 Developmentally

 Therefore, psychologists need to take responsibility for their

actions

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WHY LEARN ABOUT ETHICS IN PSYCHOLOGY?

Example: SCENARIO 1

An excited client, having just won first prize at the fair for
“tastiest durian ice cream competition,” spots you in the crowd
and runs towards you with wide, outstretched arms.

What are some possible ways in

which you might behave in this
scenario?

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WHY LEARN ABOUT ETHICS IN PSYCHOLOGY?

Example: SCENARIO 2

You have tried to remain objective and compassionate, but your

client’s self-absorbed personality and poor personal hygiene have
become increasingly difficult to overlook. You dread the approach of
this client’s regular appointment.
What are some possible ways in
which you might behave in this
scenario?

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ETHICS CODE AND GUIDELINES

 APS Code of Ethics:

 Identifies key principles and professional
practices which safeguard the welfare of
consumers and the integrity of the profession

 APS Ethical Guidelines:

 Complement the Code by clarifying and
illustrating the application of ethical principles
in various circumstances
 E.g. when working with young people; when working
in rural/remote areas; when using the Internet in a
professional capacity; when working with multiple
clients

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Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
TYPES OF ETHICAL DILEMMAS

 Although all psychological practice contains an ethical dimension, not all

ethical problems are dilemmas
 A dilemma occurs when then there exists a conflict between two competing
interests and/or actions
 When the conflict involves a clash of ethical principles, the dilemma is ethical
 When the conflict involves a clash of an ethical principle and some non-ethical
consideration (e.g. the law, employer’s demands), the dilemma is mixed

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IDENTIFYING ETHICAL DILEMMAS

 Recognising ethical problems and identifying dilemmas is not always

straightforward

 Recognition necessitates, at minimum, familiarity with:

 Theoretical perspectives on ethics
 Key ethical principles
 Code of ethics
 Potential ethical traps

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THEORETICAL APPROACHES TO ETHICS

 There are several basic theoretical perspectives on ethics:

 Deontological (duty based)
 Consequentialist (outcome based)
 Personality based (virtue ethics)

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DEONTOLOGY (DUTY-BASED ETHICS)

 Focuses on the concepts of duty and moral obligation

 Suggests that some human actions are intrinsically ‘right’ (e.g. keeping
promises) or ‘wrong’ (e.g. killing, stealing, lying), irrespective of the outcome
 People have a duty to act accordingly, regardless of the good or bad consequences that
may result

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DEONTOLOGY (DUTY-BASED ETHICS)

 Under this form of ethics you can't justify an action by showing that it
produced good consequences
 Focus is on the underlying intention of an action itself

 So, if the action was the product of a good intention— an intention to fulfil a
standard or duty— then the act is considered an ethical one, irrespective of its
consequences

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CONSEQUENTIALISM (OUTCOME-BASED ETHICS)

 Focuses on the consequences or outcome of actions, not the underlying

intention
 i.e. what makes an action ‘right’ or ‘wrong’ is its consequences
 No type of act is inherently wrong- it depends on the outcome

 The “good” or “right” action is that which promotes the greatest good
consequence for the greatest number
 One can only weigh the morality of an action after knowing all its consequences

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PERSONALITY/CHARACTER-BASED (VIRTUE ETHICS)

 Emphasises virtues as the measurement of morality

 Rather than reduce ethics to rights and wrongs, this view prefers to cultivate
the virtuous individual
 “Act as a virtuous person would act in the circumstances”
 E.g. a virtuous person is someone who is kind across many situations because that is their
character and not because they want to simply do their duty or bring about good outcomes

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PERSONALITY/CHARACTER-BASED (VIRTUE ETHICS)

 Universal virtuous characteristics include such traits as:

 Wisdom, creativity, curiosity, fairness, forgiveness, integrity,
respectfulness, and benevolence

 Virtue ethics are difficult to apply and uphold specific

ethical principles in psychology, and virtues themselves
are difficult to teach

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THINKING ABOUT ETHICS

 You are a car manufacturer that is developing self-driving cars. You need to
program cars what to do in case of an unavoidable accident.
 In one scenario, there are two passengers in a car about to hit four
pedestrians. The car has the option to swerve to the right causing the car to
hit the pole and kill the two passengers instead of the four pedestrians. What
should you program the car to do?

– What are the consequences?

– What are your duties?
– What is the virtuous thing to do?

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THINKING ABOUT ETHICS

 What about Batman?

– What sort of ethics does this character abide by?

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Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
KEY PRINCIPLES IN ETHICS

 Ethical principles, such as those expressed in ethical

codes, stem from consideration of highly general
principles (first-level principles) to specific procedural
principles (e.g. specific behavioural standards in the APS
Code of Ethics)

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FIRST-LEVEL PRINCIPLES

There are at least 7 first-level principles:

 Dignity
 Equitability
 Prudence The acronym DEPHOGS may help
you remember these principles
 Honesty
 Openness
 Goodwill
 Suffering prevention

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FIRST-LEVEL PRINCIPLES: DIGNITY

 Treating each person as an end in themselves rather than as a means to

an end

 More generally, viewing people as worthy of respect and treating them

with respect
– This means that we must strive to understand cultural and other ways that people
differ from ourselves and to eliminate biases that might have an impact on the
quality of our work

The principle of dignity informs APS Code of Ethics General principle A:

Respect for the rights and dignity of people and peoples

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FIRST-LEVEL PRINCIPLES: EQUITABILITY

 Being fair and impartial in judgements and relationships

 Highlights the need to be just and to treat others as we would want to be
treated under similar circumstances
 Especially important in relationships where one party has more power than
the other
 Equitability curbs the misuse of power

The principle of equitability informs APS Code of Ethics General principle A:

Respect for the rights and dignity of people and peoples

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FIRST-LEVEL PRINCIPLES: PRUDENCE

 Requires that we take care to ensure that the potential for damage is
eliminated or minimised
 That is, we do no harm (i.e., non-maleficence)

 Although we may not always be able to help a client, the duty to cause no
harm is paramount
 Our conduct involves acts of commission and omission
 If one does harm by inaction, then that too is unethical

The principle of prudence informs APS Code of Ethics General principle B: Propriety

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FIRST-LEVEL PRINCIPLES: HONESTY

 Behaving in a way that is straightforward and truthful

 That is, we should strive to be sincere with clients and not be deceitful or false

 Although honesty implies that we should behave this way consistently, this
principle does not commit us to being honest whatever the cost to our client
 e.g., clients who are in a vulnerable emotional state

The principle of honesty informs APS Code of Ethics General principle C:

Integrity

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FIRST-LEVEL PRINCIPLES: OPENNESS

 Acting in accord with this principle necessitates that, within the relationship,
communication should be characterised by candour and free of hypocrisy

 The other side of the proverbial coin is privacy

 It is critical that whatever information is revealed remains private and confidential, subject
to legal reporting requirements

The principle of openness informs APS Code of Ethics General principle A:

Respect for the rights and dignity of people and peoples

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FIRST-LEVEL PRINCIPLES: GOODWILL

 Refers to generating a reputation of being concerned for others and

perhaps altruistic
 As concerned for the interests of others as yourself; not simply self-interested

 Involves doing more than the bare minimum for a client

 Goodwill prevents many problems and helps resolve those that do arise

The principle of goodwill seems to be reflected in APS Code of Ethics

General principles A, B and C

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FIRST-LEVEL PRINCIPLES: SUFFERING PREVENTION

 Involves not only the avoidance of suffering, but also its alleviation
– This goes further than Prudence

 Applying this principle means that one ought not engage in activities that
would produce or increase suffering

The principle of suffering prevention seems to be reflected in APS Code of

Ethics General principles A, B and C

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AUSTRALIAN PSYCHOLOGICAL SOCIETY (APS) CODE OF ETHICS

 The Code is built on three general principles:

 A. Respect for the rights and dignity of people and peoples
 B. Propriety
 C. Integrity

 What type of theoretical approach does The APS Code of Ethics reflect?
– Deontological
– Consequentialist
– Virtue ethics

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 GENERAL PRINCIPLE A: RESPECT FOR THE RIGHTS AND DIGNITY OF
PEOPLE AND PEOPLES

 Psychologists regard people as intrinsically valuable

 Respect and protect people’s rights
 Autonomy: right to participate in decisions that affect their lives
 Justice: treatment that is free of discrimination or favouritism
 Human rights
 Legal rights: e.g. privacy, confidentiality
 Moral rights
 Respect people’s dignity and diversity/uniqueness
 Promote equity
 Ensure fair access to linguistically and culturally-appropriate
psychological services

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GENERAL PRINCIPLE A: ETHICAL STANDARDS

 Justice
 Respect
 Informed consent
 Privacy
 Confidentiality
 Release of information to clients
 Collection of client information from associated parties

Can you think of any examples of conduct that may breach this ethical
principle?

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GENERAL PRINCIPLE B: PROPRIETY

 Psychologists practice within limits of their competence

 Undertake continuing professional development
 Are self-aware of possible effects of own physical/mental health

 Services are provided to benefit (beneficence) and avoid harm (non-

maleficence)

 Understand their responsibilities to – and protect the interests of – the

client, the profession, and society
 Welfare of clients/the public, and the standing of the profession take precedence
over a psychologist’s self-interest

 Practice within the legal, professional, ethical, and organisational rules

that regulate the psychological services provided

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GENERAL PRINCIPLE B: ETHICAL STANDARDS

 Competence  Collaborating with others for the

 Record keeping benefit of clients
 Professional responsibility  Accepting clients of other
 Provision of psychological services professionals
to multiple clients  Suspension of psychological
 Delegation of professional tasks services
 Use of interpreters  Termination of psychological
services
 Conflicting demands
 Psychological assessments
 Research

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GENERAL PRINCIPLE C: INTEGRITY

 Psychologists recognise the position of power and trust that they hold
 Exercise power appropriately and honour this position of trust
 Refrain from exploiting clients/associated parties

 Commit to the best interests of their clients, their colleagues, and their
profession
 Maintain professional relationships with proper boundaries

 Conduct themselves with virtue and honesty

 Practice objectivity within professional dealings

 Have awareness of own biases, limits to objectivity
 Identify and avoid potential conflicts of interest

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GENERAL PRINCIPLE C: ETHICAL STANDARDS

 Reputable behaviour
 Communication
 Conflict of interest
 Non-exploitation
 Authorship
 Financial arrangements
 Ethics investigations and concerns

Can you think of any examples of conduct that may breach this ethical
principle?

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Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
THE ETHICAL TRAPS

 Despite being familiar with first-level principles and the APS Code of Ethics, it
is nevertheless possible to fail to perceive when principles are in conflict

 Many ethical violations begin innocently, and some even evolve from an
attempt to help
 Others from ignorance of ethical responsibilities or of falling into the ethical traps

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THE ETHICAL TRAPS

 There are four ethical traps that interfere with the ability to recognise that an
ethical dilemma exists:

– The Commonsense, Objectivity Trap

– The Values trap
– The Circumstantiality trap
– The Who Will Benefit trap

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COMMONSENSE, OBJECTIVITY TRAP

 The belief that “commonsense, objective solutions” to professional ethical

dilemmas are easy to come by
 Assumption that because psychologists are ethical people of good character, they are
able to solve ethical dilemmas faced without reference to any ethical codes

– BUT! Some decisions that appear to be based on ethical considerations are in fact
guided by the law
 e.g. confidentiality and privacy rights
– Also: Psychologists generally have a personal stake in a dilemma and therefore
unlikely to have an objective view

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VALUES TRAP

 A psychologist’s personal values, moral standards, or religious convictions

may conflict with requirements specified by professional code
 We may fall into the trap of putting personal values ahead of professional standards

– E.g. If you have a strong bias against divorce and favour keeping children together with
both parents, you may encourage a wife to stay with her husband- even if he is abusive
towards her- despite the ethical requirement that the client’s best interests should be of
utmost importance

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CIRCUMSTANTIALITY TRAP

 Belief that there are no absolute ‘rights’ or ‘wrongs’, but rather that ethical
behaviour depends on the circumstances
 The circumstances under which the behaviour occurred (rather than the behaviour
itself) must be taken into consideration in making a decision

• BUT! Behaviour IS often right or wrong according to

professional ethical standards regardless of the circumstances
under which it occurred

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WHO WILL BENEFIT? TRAP

 The resolution of an ethical dilemma often means taking sides among two or
more conflicting interests
 This trap results from confusion about who will benefit from a specific ethical decision

 The resolution of the dilemma may not always be in the interests of the client
but may be e.g. in the public interest

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Lecture Outline

• Part 1: Why study ethics?

• Part 2: Ethical dilemmas and Theoretical Approaches
• Part 3: Ethical Principles and the Code
• Part 4: Ethical Traps
• Part 5: Decision Making Guidelines
MODEL FOR ETHICAL DECISION MAKING

A 7-step ethical decision-making model (Steinman et al., 1998)

1.Identify the ethical standard involved
2.Determine the ethical trap possibilities
3.Frame a preliminary response
4.Consider the consequences
5.Prepare ethical resolution
6.Get feedback
7.Take action

 Note: A number of different ethical decision-making models have been posted to Moodle. You can use
any of these in the ethics assignment.

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1) IDENTIFY THE ETHICAL STANDARD INVOLVED

 What issues are involved in the scenario?

 What are the relevant first-level principles?
 Which are the relevant APS general ethical principles?
 What are the relevant APS specific ethical standards?
 write these down!!

 Is there a legal requirement to do anything?

 write this down also!!

 Consult with a respected colleague or supervisor

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2) DETERMINE THE ETHICAL TRAP POSSIBILITIES

 Identify factors/traps which could influence the decision:

 Is there a risk of falling into an ethical trap?

 This is especially important if:

 You are unclear about the ethical principles and standards involved
 If you are certain that there are ethical principles and standards involved, but resist doing
what a standard requires of you

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3) FRAME A PRELIMINARY RESPONSE

 Once it has been determined that an ethical dilemma exists, the

next step is determine what should be done to resolve it
 Consider what an ethical professional might do (i.e. consult the notes you
made at Step 1)

 A description of the preliminary response should include:

 What the Code of Ethics says you should do
 What the law (if any) says you should do
 What circumstances (if any) should influence the response
 A description of what an appropriate ethical response (action) looks like

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4) CONSIDER THE CONSEQUENCES

 What are the foreseeable consequences of the response you have

sketched in Step 3?
 How might your response affect: 1) the client; 2) other people; 3) society; 4) the
profession?
 Short-term consequences?
 Long-term consequences?

 Although neither the short- nor long-term consequences of your proposed

action will change what the law or Code of Ethics says, it might affect
your understanding of what a defensible ethical response looks like
 Will you be able to justify your decision if questioned?

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5) PREPARE ETHICAL RESOLUTION

 Take your preliminary response (sketched at Step 3) and turn it into a detailed
ethical resolution

 The ethical resolution should consider:

 What is the situation, including relevant circumstances?
 What ethical codes or laws are involved?
 What do these laws and codes suggest I/others should do?
 What do those I have consulted with suggest I should do?
 What are the consequences of taking this action?

 You need to ensure that proper procedures have been followed (and detailed)
in coming to a decision

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6) GET FEEDBACK

 Before putting any proposed resolution into action, it is important to discuss it

in detail with your supervisor, a respected peer and- if there are any legal
issues involved- a lawyer

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7) TAKE ACTION

 Carefully consider the feedback you have received and, if appropriate, amend
your proposed resolution

 When you are confident about your decision, take action!

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COMMON ETHICAL VIOLATIONS

 The four problems that are the most common source of professional ethical
violations:
 Dual relationships: where the client and clinician have both a professional relationship, as
well as a personal one, e.g. social, financial, sexual

 Breach of confidentiality: sometimes occurs unwittingly, e.g. by telling a colleague more

information than they need to know

 Provision of services outside of professional competence: this can sometimes happen at

the request of the client

 Failure to take appropriate steps to prevent suicide attempts

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CONCLUSION

 All psychologists- regardless of experience- face ethical dilemmas

– It is how they handle these situations that determines how ethical they are
 Psychologists need to be familiar with the APS Code of Ethics, and be able to
apply this
 For effective decision-making, psychologists should follow a step-by-step
process which will eventually become automated
 The ultimate aim is to have confidence in your final decision about how to act
ethically, and to be able to defend it

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