心理学与生活- 第118部分

obedience　to　the　instructions　of　an　authority　figure。　Male　and　female　subjects　will　be　asked　to　serve　as　the　
“teacher”　in　a　study　of　the　effects　of　punishment　on　learning。　A　fluffy；　attractive　puppy　in　a　cage　with　an　
electrifiable　grid　floor　will　be　presented　as　the　learner　attempting　to　learn　to　discriminate　steady　lights　from　

lights　flickering　at　rates　near　the　critical　fusion　frequency　for　dogs。　The　subject’s　task　is　to　administer　a　series　
of　increasingly　intense　shocks　to　the　puppy；　increasing　the　shock　level　after　each　error。　The　panel　of　

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switches　on　the　shock　generator　will　be　marked　to　indicate　a　range　of　15　to　450　volts；　increasing　in　15…volt　
steps。　

In　fact；　the　shocks　the　puppy　experiences　will　be　restricted　to　levels　insufficiently　intense　to　produce　tissue　
damage。　For　half　the　subjects　of　each　sex；　a　small　amount　of　anesthetic　gas　will　be　introduced　into　the　dog’s　
cage　so　that　the　animal　appears　to　slump　into　unresponsiveness　because　of　the　shocks。　

Dependent　measures　in　this　study　will　include：　（a）　the　maximum　shock　administered　by　the　subject；　（b）　the　
duration　of　shocks　administered；　（c）　subject’s　verbal　and　expressive　behavior　during　the　experiment。　

Remarks：　History　is　tragically　rich　in　examples　of　atrocities　carried　out　by　people　whose　principal　
motivation　is　responsiveness　to　instructions　issued　by　an　authority　figure。　Thus；　ordinary　German　citizens　
participated　in　the　torture　and　massacre　of　Jews；　American　aviators　dropped　atomic　bombs　on　Japanese　
cities；　and　flesh…shredding　antipersonnel　weapons　are　currently　being　used　in　Indochina　by　technicians　
whose　remote　control　devices　prevent　them　from　even　seeing　the　results　of　their　actions。　

It　is　vital　that　we　understand　the　conditions　under　which　people　will　and　will　not　carry　out　instructions　
leading　to　inhumane　acts　so　that　adequate　legal　and　social　safeguards　against　the　abuse　of　authority　may　
be　instituted　without　delay。　The　subversion　of　the　American　political　process　revealed　through　the　
Watergate　investigations　only　highlights　the　urgency　of　research　in　this　area。　

The　puppy　victims　will　experience　some　distress　in　the　course　of　each　session。　While　the　investigators　do　
not　consider　an　animal’s　suffering　something　to　be　treated　casually；　it　is　felt　that　this　research　design　is　
patible　with　the　traditional　requirement　that　animal　suffering　be　justified　by　the　human　benefits　of　the　
resulting　knowledge。　Variations　on　the　design　will　include　creating　a　“pliance　hierarchy；”　with　a　series　
of　subjects　passing　orders　down　the　line　to　the　final　executor。　

PROPOSAL　4　

Title：　Interpersonal　Dynamics　in　a　Simulated　Prison　

Department：　Sociology　

Proposal：　The　institution　of　prison　is　of　special　interest　for　social　scientists　because　of　the　unique　character　of　
the　social　relations　and　interactions　that　occur　there。　Several　years　ago；　research　by　Zimbardo　and　his　
colleagues　demonstrated　that　prison　behavior　could　be　scientifically　studied　under　the　control　conditions　of　
a　“simulated”　laboratory　environment。　They　found　that　behavioral　syndromes　associated　with　prison　life　
（for　example；　guard　brutality；　prisoner　disintegration）　could　be　reliably　elicited　in　an　experimental　milieu；　
with　little　loss　in　the　authenticity　of　reactions　and　within　a　relatively　convenient　time。　

In　our　modest　proposal；　we　will　attempt　to　extend　this　early　research　in　several　crucial　directions。　
Generalization　from　the　Zimbardo　study　to　social　behavior　in　real　prisons　is　limited　by　the　fact　that　it　
employed　normal；　healthy；　middle…class　college　students—precisely　the　kind　of　people　least　likely　to　enter　a　
real　prison。　In　our　study　we　propose　to　utilize　a　subject　population　of　lower　class；　preferably　minority；　
persons　as　prisoners；　and　a　group　of　working…class　white　males　as　guard　personnel。　In　this　way　we　will　be　
better　able　to　draw　inferences　about　the　parameters　which　control　the　behavior　in　actual　prison　
populations。　In　addition；　our　study　will　employ　much　larger　groups　of　prisoners　and　guards　than　the　20　
used　in　the　original　study；　since　it　is　only　in　this　way　that　statistically　reliable　results　may　be　obtained　and　
valid　conclusions　drawn　about　prison　behavior。　Finally；　we　propose　increasing　the　length　of　the　study　to　
several　months　（depending　on　budgetary　constraints）　in　order　to　investigate　the　more　important　effects　of　
long…term　imprisonment；　rather　than　simply　short…term　adjustment。　We　will　also　study；　in　a　second　phase　of　
the　research；　whether　female　guards　and　prisoners　act　as　the　males　do；　and　whether　different　types　of　
training　of　the　guards　yield　more　“positive”　outes。　

Because　our　simulated　prison　environment　will　be　designed　to　maximize　experimenter　surveillance　and　
data　collection；　we　are　confident　that　all　deleterious　effects　will　be　carefully　monitored　and　recorded。　

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Administrative　Panel　for　Human　Subjects　PROTOCOL　_____________　
in　Behavioral　Science　Research　（Leave　blank）　
Request　for　Institutional　Review/Approval　
Regular　Review　__　Expedited　Review　__　Date__________　
Principal　Investigator（s）　Faculty______　Student______　（check　one　
If　student；　please　indicate　faculty　
sponsor：　________________　
Department____________________________　
Phone/ext　where　you　may　be　contacted____________　
（Faculty　Sponsor　Signature）　
Title　of　Research　Proposal__________________　

For　Sponsored　Projects　（Funding　by　outside　agency）：　

Circle　one：　
New　peting　Project　is　under　For　Unsponsored　Projects：　
Proposal　Continuation　Renewal　an　existing　grant　New　Renewal　

Funding　Agency___________________________　Proposed　start　date：　

Grant/Contract　No。_____________________________________

　（Include　P。I。　name　if　other　than　one　given　above）　

Proposed　Start　Date_______________________　

Approval　certification　（HHS　Form　596）　to　be　sent　

to：　_____________________________________　
（Name　&　Agency　if　available）　

For　Renewal　of　Approval　（whether　sponsored　or　unsponsored）
（Please　submit　at　least　30　days　PRIOR　to　expiration　date　of　previous　approval）
Date　of　previous　approval_______________　Protocol　No。　（if　known）_______________
In　addition　to　a　copy　of　original　protocol　please　provide　a　brief　progress　report　of　the　previous　year’s


activity　which　includes：


1。　Number　of　subjects　involved　
2。　Problems　or　plications　（if　any）　
3。　Description　of　results　to　date　
4。　Any　changes　or　modifications　since　original　approval　was　given　
5。　Project　plans　for　the　ing　year　（for　which　approval　is　being　requested）　
6。　A　copy　of　the　consent　form　you　are　using　for　this　study　
Name　and　address　to　which　human　subject　approval　memo　should　be　sent　（if　other　than　investigator　and
department　indicated　above）：
*Give　paragraph　#　which　qualifies　protocol　for　expedited　review　（see　reverse　side）


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INSTRUCTIONS　

A　short　（1—3　pages）　summary　of　the　project　is　needed　for　review　by　the　Human　Subjects　Panel；　this　should　
include　a　description　of　the　purpose　of　the　study；　the　procedures　which　will　involve　human　subjects；　the　
length　of　their　involvement；　and　the　means　for　ensuring　confidentiality　of　data　regarding　the　subjects。　
Please　avoid　any　technical　terms　not　readily　understood　by　individuals　outside　your　discipline。　You　do　not　
need　to　include　a　copy　of　your　plete　proposal；　but　please　do　include　copies　of　any　questionnaire　or　
structured　interviews　（if　any）。　

Some　specific　points　to　be　included　in　the　summary　are　the　following：　

Risk　or　Benefit　to　the　Subject　

This　is　a　major　concern　of　the　Panel—please　detail　any　deception；　possible　psychological　or　physical　risk　to　
the　subject；　and　benefit　（if　any）。　（Benefit　does　not　include　any　pensation　the　subject　may　be　given　for　
participation。）　

Projects　involving　deception　raise　certain　ethical　problems　often　best　dealt　with　by　debriefing　subjects　after　
their　participation。　Please　describe　your　debriefing　procedures。　If　you　choose　not　to　debrief；　this　decision　
must　be　justified　in　your　summary。　In　addition；　for　your　protection　as　well；　it　is　advisable　to　have　a　second　
consent　form　after　the　subject　is　debriefed；　reaffirming　permission　to　release　information　received　from　the　
subject　during　the　study。　

Description　of　Sample　Population　

This　should　include　where　the　study　will　take　place；　age　of　subjects；　the　number　of　subjects；　and　the　length　
of　involvement　time；　and　must　identify　precisely　the　type　of　subjects　if　other　than　normal。　

Description　of　the　Disclosure　of　Information　and　Consent　

A　consent　form　must　describe　the　project　in　nontechnical　language；　it　must　clearly　indicate　that　
participation　is　voluntary；　that　the　subject　is　free　to　withdraw　his/her　consent　and　discontinue　
participation　at　any　time；　and　that　individual　privacy　will　be　maintained　in　publication　of　any　data　
resulting　from　the　study。　

In　addition；　the　consent　form　must　include　the　name　and　telephone　number　of　the　researcher　as　a　contact　if　
further　information　is　sought　by　the　subject；　and　also　the　following　statement　（although　not　necessarily　this　
wording）：　“If　I　have　any　concerns　or　dissatisfaction　with　any　aspect　of　this　program　at　any　time；　I　may　
report　grievances–anonymously；　if　desired–to　the　Human　Subjects　Coordinator；　Sponsored　Projects　Office；　
Stanford；　CA　94305。”　A　copy　of　the　consent　form　should　be　given　to　the　subject。　

Projects　involving　children　often　require　a　consent　form　for　the　child　（especially　those　from　upper　
elementary　and　high　school　levels）　as　well　as　the　parent。　

Include　copies　of　consent　form（s）。　

To　request　review　of　your　protocol；　please　send　eight　copies　of　this　application　and　all　attachments　to：　

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RESEARCH　PROPOSAL　FORMAT　

All　proposals　must　follow　the　following　outlined　format。
Please　answer　the　questions；　identifying　each　by　number。　Please　type　all　responses。


1。　Describe　the　purpose　of　your　study　and　the　procedures　that　human　subjects　will　undergo　in　your　
research　design。　What　are　the　risks　and　possible　consequences　of　these　procedures？　
2。　Please　write；　using　nonprofessional　terms；　a　description　of　what　is　disclosed　to　a　subject
concerning　the　purpose　of　the　research　and　its　possible　ris