ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE
OF CONDUCT
History
and Effective Date
Effective date June 1, 2003. Copyright © 2002 American
Psychological Association. All rights reserved.
TABLE OF CONTENTS
INTRODUCTION
AND APPLICABILITY
PREAMBLE
GENERAL
PRINCIPLES
Principle
A: Beneficence and Nonmaleficence Principle
B: Fidelity and Responsibility Principle
C: Integrity Principle
D: Justice Principle
E: Respect for People's Rights and Dignity
ETHICAL
STANDARDS
1.
Resolving Ethical Issues
1.01
Misuse of Psychologists' Work 1.02 Conflicts
Between Ethics and Law, Regulations, or Other Governing Legal
Authority 1.03 Conflicts
Between Ethics and Organizational Demands 1.04 Informal
Resolution of Ethical Violations 1.05 Reporting
Ethical Violations 1.06
Cooperating With Ethics Committees 1.07 Improper
Complaints 1.08 Unfair
Discrimination Against Complainants and
Respondents
2.
Competence
2.01
Boundaries of Competence 2.02 Providing
Services in Emergencies 2.03
Maintaining Competence 2.04 Bases for
Scientific and Professional Judgments 2.05
Delegation of Work to Others 2.06 Personal
Problems and Conflicts
3. Human
Relations
3.01
Unfair Discrimination 3.02 Sexual
Harassment 3.03 Other
Harassment 3.04 Avoiding
Harm 3.05 Multiple
Relationships 3.06 Conflict
of Interest 3.07
Third-Party Requests for Services 3.08
Exploitative Relationships 3.09
Cooperation With Other Professionals 3.10 Informed
Consent 3.11
Psychological Services Delivered To or Through
Organizations 3.12
Interruption of Psychological Services
4. Privacy
And Confidentiality
4.01
Maintaining Confidentiality 4.02
Discussing the Limits of Confidentiality 4.03
Recording 4.04
Minimizing Intrusions on Privacy 4.05
Disclosures 4.06
Consultations 4.07 Use of
Confidential Information for Didactic or Other
Purposes
5.
Advertising and Other Public Statements
5.01
Avoidance of False or Deceptive Statements 5.02
Statements by Others 5.03
Descriptions of Workshops and Non-Degree-Granting Educational
Programs 5.04 Media
Presentations 5.05
Testimonials 5.06 In-Person
Solicitation
6. Record
Keeping and Fees
6.01
Documentation of Professional and Scientific Work and Maintenance
of Records 6.02
Maintenance, Dissemination, and Disposal of Confidential Records
of Professional and Scientific Work 6.03
Withholding Records for Nonpayment 6.04 Fees and
Financial Arrangements 6.05 Barter
With Clients/Patients 6.06 Accuracy
in Reports to Payors and Funding Sources 6.07 Referrals
and Fees
7.
Education and Training
7.01
Design of Education and Training Programs 7.02
Descriptions of Education and Training Programs 7.03 Accuracy
in Teaching 7.04 Student
Disclosure of Personal Information 7.05 Mandatory
Individual or Group Therapy 7.06 Assessing
Student and Supervisee Performance 7.07 Sexual
Relationships With Students and Supervisees
8.
Research and Publication
8.01
Institutional Approval 8.02 Informed
Consent to Research 8.03 Informed
Consent for Recording Voices and Images in Research 8.04
Client/Patient, Student, and Subordinate Research
Participants 8.05
Dispensing With Informed Consent for Research 8.06 Offering
Inducements for Research Participation 8.07 Deception
in Research 8.08
Debriefing 8.09 Humane
Care and Use of Animals in Research 8.10 Reporting
Research Results 8.11
Plagiarism 8.12
Publication Credit 8.13 Duplicate
Publication of Data 8.14 Sharing
Research Data for Verification 8.15
Reviewers
9.
Assessment
9.01
Bases for Assessments 9.02 Use of
Assessments 9.03 Informed
Consent in Assessments 9.04 Release
of Test Data 9.05 Test
Construction 9.06
Interpreting Assessment Results 9.07
Assessment by Unqualified Persons 9.08 Obsolete
Tests and Outdated Test Results 9.09 Test
Scoring and Interpretation Services 9.10
Explaining Assessment Results 9.11.
Maintaining Test Security
10.
Therapy
10.01
Informed Consent to Therapy 10.02 Therapy
Involving Couples or Families 10.03 Group
Therapy 10.04
Providing Therapy to Those Served by Others 10.05 Sexual
Intimacies With Current Therapy Clients/Patients 10.06 Sexual
Intimacies With Relatives or Significant Others of Current Therapy
Clients/Patients 10.07 Therapy
With Former Sexual Partners 10.08 Sexual
Intimacies With Former Therapy Clients/Patients 10.09
Interruption of Therapy 10.10
Terminating Therapy
INTRODUCTION AND
APPLICABILITY
The American Psychological Association's (APA's) Ethical
Principles of Psychologists and Code of Conduct (hereinafter
referred to as the Ethics Code) consists of an Introduction,
a Preamble,
five General
Principles (A - E), and specific Ethical
Standards. The Introduction discusses the intent, organization,
procedural considerations, and scope of application of the Ethics
Code. The Preamble and General Principles are aspirational goals to
guide psychologists toward the highest ideals of psychology.
Although the Preamble and General Principles are not themselves
enforceable rules, they should be considered by psychologists in
arriving at an ethical course of action. The Ethical Standards set
forth enforceable rules for conduct as psychologists. Most of the
Ethical Standards are written broadly, in order to apply to
psychologists in varied roles, although the application of an
Ethical Standard may vary depending on the context. The Ethical
Standards are not exhaustive. The fact that a given conduct is not
specifically addressed by an Ethical Standard does not mean that it
is necessarily either ethical or unethical.
This Ethics Code applies only to psychologists' activities that
are part of their scientific, educational, or professional roles as
psychologists. Areas covered include but are not limited to the
clinical, counseling, and school practice of psychology; research;
teaching; supervision of trainees; public service; policy
development; social intervention; development of assessment
instruments; conducting assessments; educational counseling;
organizational consulting; forensic activities; program design and
evaluation; and administration. This Ethics Code applies to these
activities across a variety of contexts, such as in person, postal,
telephone, internet, and other electronic transmissions. These
activities shall be distinguished from the purely private conduct of
psychologists, which is not within the purview of the Ethics
Code.
Membership in the APA commits members and student affiliates to
comply with the standards of the APA Ethics Code and to the rules
and procedures used to enforce them. Lack of awareness or
misunderstanding of an Ethical Standard is not itself a defense to a
charge of unethical conduct.
The procedures for filing, investigating, and resolving
complaints of unethical conduct are described in the current Rules and Procedures of
the APA Ethics Committee. APA may impose sanctions on its
members for violations of the standards of the Ethics Code,
including termination of APA membership, and may notify other bodies
and individuals of its actions. Actions that violate the standards
of the Ethics Code may also lead to the imposition of sanctions on
psychologists or students whether or not they are APA members by
bodies other than APA, including state psychological associations,
other professional groups, psychology boards, other state or federal
agencies, and payors for health services. In addition, APA may take
action against a member after his or her conviction of a felony,
expulsion or suspension from an affiliated state psychological
association, or suspension or loss of licensure. When the sanction
to be imposed by APA is less than expulsion, the 2001 Rules and
Procedures do not guarantee an opportunity for an in-person hearing,
but generally provide that complaints will be resolved only on the
basis of a submitted record.
The Ethics Code is intended to provide guidance for psychologists
and standards of professional conduct that can be applied by the APA
and by other bodies that choose to adopt them. The Ethics Code is
not intended to be a basis of civil liability. Whether a
psychologist has violated the Ethics Code standards does not by
itself determine whether the psychologist is legally liable in a
court action, whether a contract is enforceable, or whether other
legal consequences occur.
The modifiers used in some of the standards of this Ethics Code
(e.g., reasonably, appropriate, potentially) are included in
the standards when they would (1) allow professional judgment on the
part of psychologists, (2) eliminate injustice or inequality that
would occur without the modifier, (3) ensure applicability across
the broad range of activities conducted by psychologists, or (4)
guard against a set of rigid rules that might be quickly outdated.
As used in this Ethics Code, the term reasonable means the
prevailing professional judgment of psychologists engaged in similar
activities in similar circumstances, given the knowledge the
psychologist had or should have had at the time.
In the process of making decisions regarding their professional
behavior, psychologists must consider this Ethics Code in addition
to applicable laws and psychology board regulations. In applying the
Ethics Code to their professional work, psychologists may consider
other materials and guidelines that have been adopted or endorsed by
scientific and professional psychological organizations and the
dictates of their own conscience, as well as consult with others
within the field. If this Ethics Code establishes a higher standard
of conduct than is required by law, psychologists must meet the
higher ethical standard. If psychologists' ethical responsibilities
conflict with law, regulations, or other governing legal authority,
psychologists make known their commitment to this Ethics Code and
take steps to resolve the conflict in a responsible manner. If the
conflict is unresolvable via such means, psychologists may adhere to
the requirements of the law, regulations, or other governing
authority in keeping with basic principles of human rights.
PREAMBLE
Psychologists are committed to increasing scientific and
professional knowledge of behavior and people's understanding of
themselves and others and to the use of such knowledge to improve
the condition of individuals, organizations, and society.
Psychologists respect and protect civil and human rights and the
central importance of freedom of inquiry and expression in research,
teaching, and publication. They strive to help the public in
developing informed judgments and choices concerning human behavior.
In doing so, they perform many roles, such as researcher, educator,
diagnostician, therapist, supervisor, consultant, administrator,
social interventionist, and expert witness. This Ethics Code
provides a common set of principles and standards upon which
psychologists build their professional and scientific work.
This Ethics Code is intended to provide specific standards to
cover most situations encountered by psychologists. It has as its
goals the welfare and protection of the individuals and groups with
whom psychologists work and the education of members, students, and
the public regarding ethical standards of the discipline.
The development of a dynamic set of ethical standards for
psychologists' work-related conduct requires a personal commitment
and lifelong effort to act ethically; to encourage ethical behavior
by students, supervisees, employees, and colleagues; and to consult
with others concerning ethical problems.
GENERAL PRINCIPLES
This section consists of General Principles. General Principles,
as opposed to Ethical Standards, are aspirational in nature. Their
intent is to guide and inspire psychologists toward the very highest
ethical ideals of the profession. General Principles, in contrast to
Ethical Standards, do not represent obligations and should not form
the basis for imposing sanctions. Relying upon General Principles
for either of these reasons distorts both their meaning and
purpose.
Principle A:
Beneficence and Nonmaleficence Psychologists strive to
benefit those with whom they work and take care to do no harm. In
their professional actions, psychologists seek to safeguard the
welfare and rights of those with whom they interact professionally
and other affected persons, and the welfare of animal subjects of
research. When conflicts occur among psychologists' obligations or
concerns, they attempt to resolve these conflicts in a responsible
fashion that avoids or minimizes harm. Because psychologists'
scientific and professional judgments and actions may affect the
lives of others, they are alert to and guard against personal,
financial, social, organizational, or political factors that might
lead to misuse of their influence. Psychologists strive to be aware
of the possible effect of their own physical and mental health on
their ability to help those with whom they work.
Principle B:
Fidelity and Responsibility Psychologists establish
relationships of trust with those with whom they work. They are
aware of their professional and scientific responsibilities to
society and to the specific communities in which they work.
Psychologists uphold professional standards of conduct, clarify
their professional roles and obligations, accept appropriate
responsibility for their behavior, and seek to manage conflicts of
interest that could lead to exploitation or harm. Psychologists
consult with, refer to, or cooperate with other professionals and
institutions to the extent needed to serve the best interests of
those with whom they work. They are concerned about the ethical
compliance of their colleagues' scientific and professional conduct.
Psychologists strive to contribute a portion of their professional
time for little or no compensation or personal advantage.
Principle C:
Integrity Psychologists seek to promote accuracy, honesty,
and truthfulness in the science, teaching, and practice of
psychology. In these activities psychologists do not steal, cheat,
or engage in fraud, subterfuge, or intentional misrepresentation of
fact. Psychologists strive to keep their promises and to avoid
unwise or unclear commitments. In situations in which deception may
be ethically justifiable to maximize benefits and minimize harm,
psychologists 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 that arise from the
use of such techniques.
Principle D:
Justice Psychologists recognize that fairness and justice
entitle all persons to access to and benefit from the contributions
of psychology and to equal quality in the processes, procedures, and
services being conducted by psychologists. Psychologists exercise
reasonable judgment and take precautions to ensure that their
potential biases, the boundaries of their competence, and the
limitations of their expertise do not lead to or condone unjust
practices.
Principle E: Respect
for People's Rights and Dignity Psychologists respect the
dignity and worth of all people, and the rights of individuals to
privacy, confidentiality, and self-determination. Psychologists are
aware that special safeguards may be necessary to protect the rights
and welfare of persons or communities whose vulnerabilities impair
autonomous decision making. Psychologists are aware of and respect
cultural, individual, and role differences, including those based on
age, gender, gender identity, race, ethnicity, culture, national
origin, religion, sexual orientation, disability, language, and
socioeconomic status and consider these factors when working with
members of such groups. Psychologists try to eliminate the effect on
their work of biases based on those factors, and they do not
knowingly participate in or condone activities of others based upon
such prejudices.
ETHICAL STANDARDS
1. Resolving Ethical
Issues
1.01 Misuse of
Psychologists' Work If psychologists learn of misuse or
misrepresentation of their work, they take reasonable steps to
correct or minimize the misuse or misrepresentation.
1.02 Conflicts Between
Ethics and Law, Regulations, or Other Governing Legal
Authority If psychologists' ethical responsibilities
conflict with law, regulations, or other governing legal authority,
psychologists make known their commitment to the Ethics Code and
take steps to resolve the conflict. If the conflict is unresolvable
via such means, psychologists may adhere to the requirements of the
law, regulations, or other governing legal authority.
1.03 Conflicts Between
Ethics and Organizational Demands If the demands of an
organization with which psychologists are affiliated or for whom
they are working conflict with this Ethics Code, psychologists
clarify the nature of the conflict, make known their commitment to
the Ethics Code, and to the extent feasible, resolve the conflict in
a way that permits adherence to the Ethics Code.
1.04 Informal Resolution of
Ethical Violations When psychologists believe that there
may have been an ethical violation by another psychologist, they
attempt to resolve the issue by bringing it to the attention of that
individual, if an informal resolution appears appropriate and the
intervention does not violate any confidentiality rights that may be
involved. (See also Standards 1.02, Conflicts
Between Ethics and Law, Regulations, or Other Governing Legal
Authority, and 1.03, Conflicts
Between Ethics and Organizational Demands.)
1.05 Reporting Ethical
Violations If an apparent ethical violation has
substantially harmed or is likely to substantially harm a person or
organization and is not appropriate for informal resolution under
Standard 1.04, Informal
Resolution of Ethical Violations, or is not resolved properly in
that fashion, psychologists take further action appropriate to the
situation. Such action might include referral to state or national
committees on professional ethics, to state licensing boards, or to
the appropriate institutional authorities. This standard does not
apply when an intervention would violate confidentiality rights or
when psychologists have been retained to review the work of another
psychologist whose professional conduct is in question. (See also
Standard 1.02, Conflicts
Between Ethics and Law, Regulations, or Other Governing Legal
Authority.)
1.06 Cooperating With
Ethics Committees Psychologists cooperate in ethics
investigations, proceedings, and resulting requirements of the APA
or any affiliated state psychological association to which they
belong. In doing so, they address any confidentiality issues.
Failure to cooperate is itself an ethics violation. However, making
a request for deferment of adjudication of an ethics complaint
pending the outcome of litigation does not alone constitute
noncooperation.
1.07 Improper
Complaints Psychologists do not file or encourage the
filing of ethics complaints that are made with reckless disregard
for or willful ignorance of facts that would disprove the
allegation.
1.08 Unfair Discrimination
Against Complainants and Respondents Psychologists do not
deny persons employment, advancement, admissions to academic or
other programs, tenure, or promotion, based solely upon their having
made or their being the subject of an ethics complaint. This does
not preclude taking action based upon the outcome of such
proceedings or considering other appropriate information.
2. Competence
2.01 Boundaries of
Competence (a) Psychologists provide services, teach, and
conduct research with populations and in areas only within the
boundaries of their competence, based on their education, training,
supervised experience, consultation, study, or professional
experience.
(b) Where scientific or professional knowledge in the discipline
of psychology establishes that an understanding of factors
associated with age, gender, gender identity, race, ethnicity,
culture, national origin, religion, sexual orientation, disability,
language, or socioeconomic status is essential for effective
implementation of their services or research, psychologists have or
obtain the training, experience, consultation, or supervision
necessary to ensure the competence of their services, or they make
appropriate referrals, except as provided in Standard 2.02, Providing
Services in Emergencies.
(c) Psychologists planning to provide services, teach, or conduct
research involving populations, areas, techniques, or technologies
new to them undertake relevant education, training, supervised
experience, consultation, or study.
(d) When psychologists are asked to provide services to
individuals for whom appropriate mental health services are not
available and for which psychologists have not obtained the
competence necessary, psychologists with closely related prior
training or experience may provide such services in order to ensure
that services are not denied if they make a reasonable effort to
obtain the competence required by using relevant research, training,
consultation, or study.
(e) In those emerging areas in which generally recognized
standards for preparatory training do not yet exist, psychologists
nevertheless take reasonable steps to ensure the competence of their
work and to protect clients/patients, students, supervisees,
research participants, organizational clients, and others from
harm.
(f) When assuming forensic roles, psychologists are or become
reasonably familiar with the judicial or administrative rules
governing their roles.
2.02 Providing Services in
Emergencies In emergencies, when psychologists provide
services to individuals for whom other mental health services are
not available and for which psychologists have not obtained the
necessary training, psychologists may provide such services in order
to ensure that services are not denied. The services are
discontinued as soon as the emergency has ended or appropriate
services are available.
2.03 Maintaining
Competence Psychologists undertake ongoing efforts to
develop and maintain their competence.
2.04 Bases for Scientific
and Professional Judgments Psychologists' work is based
upon established scientific and professional knowledge of the
discipline. (See also Standards 2.01e,
Boundaries of Competence, and 10.01b,
Informed Consent to Therapy.)
2.05 Delegation of Work to
Others Psychologists who delegate work to employees,
supervisees, or research or teaching assistants or who use the
services of others, such as interpreters, take reasonable steps to
(1) avoid delegating such work to persons who have a multiple
relationship with those being served that would likely lead to
exploitation or loss of objectivity; (2) authorize only those
responsibilities that such persons can be expected to perform
competently on the basis of their education, training, or
experience, either independently or with the level of supervision
being provided; and (3) see that such persons perform these services
competently. (See also Standards 2.02, Providing
Services in Emergencies; 3.05, Multiple
Relationships; 4.01,
Maintaining Confidentiality; 9.01, Bases for
Assessments; 9.02, Use of
Assessments; 9.03, Informed
Consent in Assessments; and 9.07, Assessment
by Unqualified Persons.)
2.06 Personal Problems and
Conflicts (a) Psychologists refrain from initiating an
activity when they know or should know that there is a substantial
likelihood that their personal problems will prevent them from
performing their work-related activities in a competent manner.
(b) When psychologists become aware of personal problems that may
interfere with their performing work-related duties adequately, they
take appropriate measures, such as obtaining professional
consultation or assistance, and determine whether they should limit,
suspend, or terminate their work-related duties. (See also Standard
10.10,
Terminating Therapy.)
3. Human Relations
3.01 Unfair
Discrimination In their work-related activities,
psychologists do not engage in unfair discrimination based on age,
gender, gender identity, race, ethnicity, culture, national origin,
religion, sexual orientation, disability, socioeconomic status, or
any basis proscribed by law.
3.02 Sexual
Harassment Psychologists do not engage in sexual
harassment. Sexual harassment is sexual solicitation, physical
advances, or verbal or nonverbal conduct that is sexual in nature,
that occurs in connection with the psychologist's activities or
roles as a psychologist, and that either (1) is unwelcome, is
offensive, or creates a hostile workplace or educational
environment, and the psychologist knows or is told this or (2) is
sufficiently severe or intense to be abusive to a reasonable person
in the context. Sexual harassment can consist of a single intense or
severe act or of multiple persistent or pervasive acts. (See also
Standard 1.08, Unfair
Discrimination Against Complainants and Respondents.)
3.03 Other
Harassment Psychologists do not knowingly engage in
behavior that is harassing or demeaning to persons with whom they
interact in their work based on factors such as those persons' age,
gender, gender identity, race, ethnicity, culture, national origin,
religion, sexual orientation, disability, language, or socioeconomic
status.
3.04 Avoiding
Harm Psychologists take reasonable steps to avoid harming
their clients/patients, students, supervisees, research
participants, organizational clients, and others with whom they
work, and to minimize harm where it is foreseeable and
unavoidable.
3.05 Multiple
Relationships (a) A multiple relationship occurs when a
psychologist is in a professional role with a person and (1) at the
same time is in another role with the same person, (2) at the same
time is in a relationship with a person closely associated with or
related to the person with whom the psychologist has the
professional relationship, or (3) promises to enter into another
relationship in the future with the person or a person closely
associated with or related to the person.
A psychologist refrains from entering into a multiple
relationship if the multiple relationship could reasonably be
expected to impair the psychologist's objectivity, competence, or
effectiveness in performing his or her functions as a psychologist,
or otherwise risks exploitation or harm to the person with whom the
professional relationship exists.
Multiple relationships that would not reasonably be expected to
cause impairment or risk exploitation or harm are not unethical.
(b) If a psychologist finds that, due to unforeseen factors, a
potentially harmful multiple relationship has arisen, the
psychologist takes reasonable steps to resolve it with due regard
for the best interests of the affected person and maximal compliance
with the Ethics Code.
(c) When psychologists are required by law, institutional policy,
or extraordinary circumstances to serve in more than one role in
judicial or administrative proceedings, at the outset they clarify
role expectations and the extent of confidentiality and thereafter
as changes occur. (See also Standards 3.04, Avoiding
Harm, and 3.07,
Third-Party Requests for Services.)
3.06 Conflict of
Interest Psychologists refrain from taking on a
professional role when personal, scientific, professional, legal,
financial, or other interests or relationships could reasonably be
expected to (1) impair their objectivity, competence, or
effectiveness in performing their functions as psychologists or (2)
expose the person or organization with whom the professional
relationship exists to harm or exploitation.
3.07 Third-Party Requests
for Services When psychologists agree to provide services
to a person or entity at the request of a third party, psychologists
attempt to clarify at the outset of the service the nature of the
relationship with all individuals or organizations involved. This
clarification includes the role of the psychologist (e.g.,
therapist, consultant, diagnostician, or expert witness), an
identification of who is the client, the probable uses of the
services provided or the information obtained, and the fact that
there may be limits to confidentiality. (See also Standards 3.05, Multiple
Relationships, and 4.02, Discussing
the Limits of Confidentiality.)
3.08 Exploitative
Relationships Psychologists do not exploit persons over
whom they have supervisory, evaluative, or other authority such as
clients/patients, students, supervisees, research participants, and
employees. (See also Standards 3.05, Multiple
Relationships; 6.04, Fees and
Financial Arrangements; 6.05, Barter
With Clients/Patients; 7.07, Sexual
Relationships With Students and Supervisees; 10.05, Sexual
Intimacies With Current Therapy Clients/Patients; 10.06, Sexual
Intimacies With Relatives or Significant Others of Current Therapy
Clients/Patients; 10.07, Therapy
With Former Sexual Partners; and 10.08, Sexual
Intimacies With Former Therapy Clients/Patients.)
3.09 Cooperation With Other
Professionals When indicated and professionally
appropriate, psychologists cooperate with other professionals in
order to serve their clients/patients effectively and appropriately.
(See also Standard 4.05,
Disclosures.)
3.10 Informed
Consent (a) When psychologists conduct research or provide
assessment, therapy, counseling, or consulting services in person or
via electronic transmission or other forms of communication, they
obtain the informed consent of the individual or individuals using
language that is reasonably understandable to that person or persons
except when conducting such activities without consent is mandated
by law or governmental regulation or as otherwise provided in this
Ethics Code. (See also Standards 8.02, Informed
Consent to Research; 9.03, Informed
Consent in Assessments; and 10.01, Informed
Consent to Therapy.)
(b) For persons who are legally incapable of giving informed
consent, psychologists nevertheless (1) provide an appropriate
explanation, (2) seek the individual's assent, (3) consider such
persons' preferences and best interests, and (4) obtain appropriate
permission from a legally authorized person, if such substitute
consent is permitted or required by law. When consent by a legally
authorized person is not permitted or required by law, psychologists
take reasonable steps to protect the individual's rights and
welfare.
(c) When psychological services are court ordered or otherwise
mandated, psychologists inform the individual of the nature of the
anticipated services, including whether the services are court
ordered or mandated and any limits of confidentiality, before
proceeding.
(d) Psychologists appropriately document written or oral consent,
permission, and assent. (See also Standards 8.02, Informed
Consent to Research; 9.03, Informed
Consent in Assessments; and 10.01, Informed
Consent to Therapy.)
3.11 Psychological Services
Delivered To or Through Organizations (a) Psychologists
delivering services to or through organizations provide information
beforehand to clients and when appropriate those directly affected
by the services about (1) the nature and objectives of the services,
(2) the intended recipients, (3) which of the individuals are
clients, (4) the relationship the psychologist will have with each
person and the organization, (5) the probable uses of services
provided and information obtained, (6) who will have access to the
information, and (7) limits of confidentiality. As soon as feasible,
they provide information about the results and conclusions of such
services to appropriate persons.
(b) If psychologists will be precluded by law or by
organizational roles from providing such information to particular
individuals or groups, they so inform those individuals or groups at
the outset of the service.
3.12 Interruption of
Psychological Services Unless otherwise covered by
contract, psychologists make reasonable efforts to plan for
facilitating services in the event that psychological services are
interrupted by factors such as the psychologist's illness, death,
unavailability, relocation, or retirement or by the
client's/patient's relocation or financial limitations. (See also
Standard 6.02c,
Maintenance, Dissemination, and Disposal of Confidential Records of
Professional and Scientific Work.)
4. Privacy And
Confidentiality
4.01 Maintaining
Confidentiality Psychologists have a primary obligation
and take reasonable precautions to protect confidential information
obtained through or stored in any medium, recognizing that the
extent and limits of confidentiality may be regulated by law or
established by institutional rules or professional or scientific
relationship. (See also Standard 2.05, Delegation
of Work to Others.)
4.02 Discussing the Limits
of Confidentiality (a) Psychologists discuss with persons
(including, to the extent feasible, persons who are legally
incapable of giving informed consent and their legal
representatives) and organizations with whom they establish a
scientific or professional relationship (1) the relevant limits of
confidentiality and (2) the foreseeable uses of the information
generated through their psychological activities. (See also Standard
3.10,
Informed Consent.)
(b) Unless it is not feasible or is contraindicated, the
discussion of confidentiality occurs at the outset of the
relationship and thereafter as new circumstances may warrant.
(c) Psychologists who offer services, products, or information
via electronic transmission inform clients/patients of the risks to
privacy and limits of confidentiality.
4.03
Recording Before recording the voices or images of
individuals to whom they provide services, psychologists obtain
permission from all such persons or their legal representatives.
(See also Standards 8.03, Informed
Consent for Recording Voices and Images in Research; 8.05, Dispensing
With Informed Consent for Research; and 8.07, Deception
in Research.)
4.04 Minimizing Intrusions
on Privacy (a) Psychologists include in written and oral
reports and consultations, only information germane to the purpose
for which the communication is made.
(b) Psychologists discuss confidential information obtained in
their work only for appropriate scientific or professional purposes
and only with persons clearly concerned with such matters.
4.05
Disclosures (a) Psychologists may disclose confidential
information with the appropriate consent of the organizational
client, the individual client/patient, or another legally authorized
person on behalf of the client/patient unless prohibited by law.
(b) Psychologists disclose confidential information without the
consent of the individual only as mandated by law, or where
permitted by law for a valid purpose such as to (1) provide needed
professional services; (2) obtain appropriate professional
consultations; (3) protect the client/patient, psychologist, or
others from harm; or (4) obtain payment for services from a
client/patient, in which instance disclosure is limited to the
minimum that is necessary to achieve the purpose. (See also Standard
6.04e, Fees
and Financial Arrangements.)
4.06
Consultations When consulting with colleagues, (1)
psychologists do not disclose confidential information that
reasonably could lead to the identification of a client/patient,
research participant, or other person or organization with whom they
have a confidential relationship unless they have obtained the prior
consent of the person or organization or the disclosure cannot be
avoided, and (2) they disclose information only to the extent
necessary to achieve the purposes of the consultation. (See also
Standard 4.01,
Maintaining Confidentiality.)
4.07 Use of Confidential
Information for Didactic or Other Purposes Psychologists
do not disclose in their writings, lectures, or other public media,
confidential, personally identifiable information concerning their
clients/patients, students, research participants, organizational
clients, or other recipients of their services that they obtained
during the course of their work, unless (1) they take reasonable
steps to disguise the person or organization, (2) the person or
organization has consented in writing, or (3) there is legal
authorization for doing so.
5. Advertising and Other Public
Statements
5.01 Avoidance of False or
Deceptive Statements (a) Public statements include but are
not limited to paid or unpaid advertising, product endorsements,
grant applications, licensing applications, other credentialing
applications, brochures, printed matter, directory listings,
personal resumes or curricula vitae, or comments for use in media
such as print or electronic transmission, statements in legal
proceedings, lectures and public oral presentations, and published
materials. Psychologists do not knowingly make public statements
that are false, deceptive, or fraudulent concerning their research,
practice, or other work activities or those of persons or
organizations with which they are affiliated.
(b) Psychologists do not make false, deceptive, or fraudulent
statements concerning (1) their training, experience, or competence;
(2) their academic degrees; (3) their credentials; (4) their
institutional or association affiliations; (5) their services; (6)
the scientific or clinical basis for, or results or degree of
success of, their services; (7) their fees; or (8) their
publications or research findings.
(c) Psychologists claim degrees as credentials for their health
services only if those degrees (1) were earned from a regionally
accredited educational institution or (2) were the basis for
psychology licensure by the state in which they practice.
5.02 Statements by
Others (a) Psychologists who engage others to create or
place public statements that promote their professional practice,
products, or activities retain professional responsibility for such
statements.
(b) Psychologists do not compensate employees of press, radio,
television, or other communication media in return for publicity in
a news item. (See also Standard 1.01, Misuse of
Psychologists' Work.)
(c) A paid advertisement relating to psychologists' activities
must be identified or clearly recognizable as such.
5.03 Descriptions of
Workshops and Non-Degree-Granting Educational Programs To
the degree to which they exercise control, psychologists responsible
for announcements, catalogs, brochures, or advertisements describing
workshops, seminars, or other non-degree-granting educational
programs ensure that they accurately describe the audience for which
the program is intended, the educational objectives, the presenters,
and the fees involved.
5.04 Media
Presentations When psychologists provide public advice or
comment via print, Internet, or other electronic transmission, they
take precautions to ensure that statements (1) are based on their
professional knowledge, training, or experience in accord with
appropriate psychological literature and practice; (2) are otherwise
consistent with this Ethics Code; and (3) do not indicate that a
professional relationship has been established with the recipient.
(See also Standard 2.04, Bases for
Scientific and Professional Judgments.)
5.05
Testimonials Psychologists do not solicit testimonials
from current therapy clients/patients or other persons who because
of their particular circumstances are vulnerable to undue
influence.
5.06 In-Person
Solicitation Psychologists do not engage, directly or
through agents, in uninvited in-person solicitation of business from
actual or potential therapy clients/patients or other persons who
because of their particular circumstances are vulnerable to undue
influence. However, this prohibition does not preclude (1)
attempting to implement appropriate collateral contacts for the
purpose of benefiting an already engaged therapy client/patient or
(2) providing disaster or community outreach services.
6. Record Keeping and
Fees
6.01 Documentation of
Professional and Scientific Work and Maintenance of
Records Psychologists create, and to the extent the
records are under their control, maintain, disseminate, store,
retain, and dispose of records and data relating to their
professional and scientific work in order to (1) facilitate
provision of services later by them or by other professionals, (2)
allow for replication of research design and analyses, (3) meet
institutional requirements, (4) ensure accuracy of billing and
payments, and (5) ensure compliance with law. (See also Standard 4.01,
Maintaining Confidentiality.)
6.02 Maintenance,
Dissemination, and Disposal of Confidential Records of Professional
and Scientific Work (a) Psychologists maintain
confidentiality in creating, storing, accessing, transferring, and
disposing of records under their control, whether these are written,
automated, or in any other medium. (See also Standards 4.01,
Maintaining Confidentiality, and 6.01,
Documentation of Professional and Scientific Work and Maintenance of
Records.)
(b) If confidential information concerning recipients of
psychological services is entered into databases or systems of
records available to persons whose access has not been consented to
by the recipient, psychologists use coding or other techniques to
avoid the inclusion of personal identifiers.
(c) Psychologists make plans in advance to facilitate the
appropriate transfer and to protect the confidentiality of records
and data in the event of psychologists' withdrawal from positions or
practice. (See also Standards 3.12,
Interruption of Psychological Services, and 10.09,
Interruption of Therapy.)
6.03 Withholding Records
for Nonpayment Psychologists may not withhold records
under their control that are requested and needed for a
client's/patient's emergency treatment solely because payment has
not been received.
6.04 Fees and Financial
Arrangements (a) As early as is feasible in a professional
or scientific relationship, psychologists and recipients of
psychological services reach an agreement specifying compensation
and billing arrangements.
(b) Psychologists' fee practices are consistent with law.
(c) Psychologists do not misrepresent their fees.
(d) If limitations to services can be anticipated because of
limitations in financing, this is discussed with the recipient of
services as early as is feasible. (See also Standards 10.09,
Interruption of Therapy, and 10.10,
Terminating Therapy.)
(e) If the recipient of services does not pay for services as
agreed, and if psychologists intend to use collection agencies or
legal measures to collect the fees, psychologists first inform the
person that such measures will be taken and provide that person an
opportunity to make prompt payment. (See also Standards 4.05,
Disclosures; 6.03,
Withholding Records for Nonpayment; and 10.01, Informed
Consent to Therapy.)
6.05 Barter With
Clients/Patients Barter is the acceptance of goods,
services, or other nonmonetary remuneration from clients/patients in
return for psychological services. Psychologists may barter only if
(1) it is not clinically contraindicated, and (2) the resulting
arrangement is not exploitative. (See also Standards 3.05, Multiple
Relationships, and 6.04, Fees and
Financial Arrangements.)
6.06 Accuracy in Reports to
Payors and Funding Sources In their reports to payors for
services or sources of research funding, psychologists take
reasonable steps to ensure the accurate reporting of the nature of
the service provided or research conducted, the fees, charges, or
payments, and where applicable, the identity of the provider, the
findings, and the diagnosis. (See also Standards 4.01,
Maintaining Confidentiality; 4.04, Minimizing
Intrusions on Privacy; and 4.05,
Disclosures.)
6.07 Referrals and
Fees When psychologists pay, receive payment from, or
divide fees with another professional, other than in an
employer-employee relationship, the payment to each is based on the
services provided (clinical, consultative, administrative, or other)
and is not based on the referral itself. (See also Standard 3.09,
Cooperation With Other Professionals.)
7. Education and Training
7.01 Design of Education
and Training Programs Psychologists responsible for
education and training programs take reasonable steps to ensure that
the programs are designed to provide the appropriate knowledge and
proper experiences, and to meet the requirements for licensure,
certification, or other goals for which claims are made by the
program. (See also Standard 5.03,
Descriptions of Workshops and Non-Degree-Granting Educational
Programs.)
7.02 Descriptions of
Education and Training Programs Psychologists responsible
for education and training programs take reasonable steps to ensure
that there is a current and accurate description of the program
content (including participation in required course- or
program-related counseling, psychotherapy, experiential groups,
consulting projects, or community service), training goals and
objectives, stipends and benefits, and requirements that must be met
for satisfactory completion of the program. This information must be
made readily available to all interested parties.
7.03 Accuracy in
Teaching (a) Psychologists take reasonable steps to ensure
that course syllabi are accurate regarding the subject matter to be
covered, bases for evaluating progress, and the nature of course
experiences. This standard does not preclude an instructor from
modifying course content or requirements when the instructor
considers it pedagogically necessary or desirable, so long as
students are made aware of these modifications in a manner that
enables them to fulfill course requirements. (See also Standard 5.01, Avoidance
of False or Deceptive Statements.)
(b) When engaged in teaching or training, psychologists present
psychological information accurately. (See also Standard 2.03,
Maintaining Competence.)
7.04 Student Disclosure of
Personal Information Psychologists do not require students
or supervisees to disclose personal information in course- or
program-related activities, either orally or in writing, regarding
sexual history, history of abuse and neglect, psychological
treatment, and relationships with parents, peers, and spouses or
significant others except if (1) the program or training facility
has clearly identified this requirement in its admissions and
program materials or (2) the information is necessary to evaluate or
obtain assistance for students whose personal problems could
reasonably be judged to be preventing them from performing their
training- or professionally related activities in a competent manner
or posing a threat to the students or others.
7.05 Mandatory Individual
or Group Therapy (a) When individual or group therapy is a
program or course requirement, psychologists responsible for that
program allow students in undergraduate and graduate programs the
option of selecting such therapy from practitioners unaffiliated
with the program. (See also Standard 7.02,
Descriptions of Education and Training Programs.)
(b) Faculty who are or are likely to be responsible for
evaluating students' academic performance do not themselves provide
that therapy. (See also Standard 3.05, Multiple
Relationships.)
7.06 Assessing Student and
Supervisee Performance (a) In academic and supervisory
relationships, psychologists establish a timely and specific process
for providing feedback to students and supervisees. Information
regarding the process is provided to the student at the beginning of
supervision.
(b) Psychologists evaluate students and supervisees on the basis
of their actual performance on relevant and established program
requirements.
7.07 Sexual Relationships
With Students and Supervisees Psychologists do not engage
in sexual relationships with students or supervisees who are in
their department, agency, or training center or over whom
psychologists have or are likely to have evaluative authority. (See
also Standard 3.05, Multiple
Relationships.)
8. Research and
Publication
8.01 Institutional
Approval When institutional approval is required,
psychologists provide accurate information about their research
proposals and obtain approval prior to conducting the research. They
conduct the research in accordance with the approved research
protocol.
8.02 Informed Consent to
Research (a) When obtaining informed consent as required
in Standard 3.10, Informed
Consent, psychologists inform participants about (1) the purpose
of the research, expected duration, and procedures; (2) their right
to decline to participate and to withdraw from the research once
participation has begun; (3) the foreseeable consequences of
declining or withdrawing; (4) reasonably foreseeable factors that
may be expected to influence their willingness to participate such
as potential risks, discomfort, or adverse effects; (5) any
prospective research benefits; (6) limits of confidentiality; (7)
incentives for participation; and (8) whom to contact for questions
about the research and research participants' rights. They provide
opportunity for the prospective participants to ask questions and
receive answers. (See also Standards 8.03, Informed
Consent for Recording Voices and Images in Research; 8.05, Dispensing
With Informed Consent for Research; and 8.07, Deception
in Research.)
(b) Psychologists conducting intervention research involving the
use of experimental treatments clarify to participants at the outset
of the research (1) the experimental nature of the treatment; (2)
the services that will or will not be available to the control
group(s) if appropriate; (3) the means by which assignment to
treatment and control groups will be made; (4) available treatment
alternatives if an individual does not wish to participate in the
research or wishes to withdraw once a study has begun; and (5)
compensation for or monetary costs of participating including, if
appropriate, whether reimbursement from the participant or a
third-party payor will be sought. (See also Standard 8.02a, Informed
Consent to Research.)
8.03 Informed Consent for
Recording Voices and Images in Research Psychologists
obtain informed consent from research participants prior to
recording their voices or images for data collection unless (1) the
research consists solely of naturalistic observations in public
places, and it is not anticipated that the recording will be used in
a manner that could cause personal identification or harm, or (2)
the research design includes deception, and consent for the use of
the recording is obtained during debriefing. (See also Standard 8.07, Deception
in Research.)
8.04 Client/Patient,
Student, and Subordinate Research Participants (a) When
psychologists conduct research with clients/patients, students, or
subordinates as participants, psychologists take steps to protect
the prospective participants from adverse consequences of declining
or withdrawing from participation.
(b) When research participation is a course requirement or an
opportunity for extra credit, the prospective participant is given
the choice of equitable alternative activities.
8.05 Dispensing With
Informed Consent for Research Psychologists may dispense
with informed consent only (1) where research would not reasonably
be assumed to create distress or harm and involves (a) the study of
normal educational practices, curricula, or classroom management
methods conducted in educational settings; (b) only anonymous
questionnaires, naturalistic observations, or archival research for
which disclosure of responses would not place participants at risk
of criminal or civil liability or damage their financial standing,
employability, or reputation, and confidentiality is protected; or
(c) the study of factors related to job or organization
effectiveness conducted in organizational settings for which there
is no risk to participants' employability, and confidentiality is
protected or (2) where otherwise permitted by law or federal or
institutional regulations.
8.06 Offering Inducements
for Research Participation (a) Psychologists make
reasonable efforts to avoid offering excessive or inappropriate
financial or other inducements for research participation when such
inducements are likely to coerce participation.
(b) When offering professional services as an inducement for
research participation, psychologists clarify the nature of the
services, as well as the risks, obligations, and limitations. (See
also Standard 6.05, Barter
With Clients/Patients.)
8.07 Deception in
Research (a) Psychologists do not conduct a study
involving deception unless they have determined that the use of
deceptive techniques is justified by the study's significant
prospective scientific, educational, or applied value and that
effective nondeceptive alternative procedures are not feasible.
(b) Psychologists do not deceive prospective participants about
research that is reasonably expected to cause physical pain or
severe emotional distress.
(c) Psychologists explain any deception that is an integral
feature of the design and conduct of an experiment to participants
as early as is feasible, preferably at the conclusion of their
participation, but no later than at the conclusion of the data
collection, and permit participants to withdraw their data. (See
also Standard 8.08,
Debriefing.)
8.08
Debriefing (a) Psychologists provide a prompt opportunity
for participants to obtain appropriate information about the nature,
results, and conclusions of the research, and they take reasonable
steps to correct any misconceptions that participants may have of
which the psychologists are aware.
(b) If scientific or humane values justify delaying or
withholding this information, psychologists take reasonable measures
to reduce the risk of harm.
(c) When psychologists become aware that research procedures have
harmed a participant, they take reasonable steps to minimize the
harm.
8.09 Humane Care and Use of
Animals in Research (a) Psychologists acquire, care for,
use, and dispose of animals in compliance with current federal,
state, and local laws and regulations, and with professional
standards.
(b) Psychologists trained in research methods and experienced in
the care of laboratory animals supervise all procedures involving
animals and are responsible for ensuring appropriate consideration
of their comfort, health, and humane treatment.
(c) Psychologists ensure that all individuals under their
supervision who are using animals have received instruction in
research methods and in the care, maintenance, and handling of the
species being used, to the extent appropriate to their role. (See
also Standard 2.05, Delegation
of Work to Others.)
(d) Psychologists make reasonable efforts to minimize the
discomfort, infection, illness, and pain of animal subjects.
(e) Psychologists use a procedure subjecting animals to pain,
stress, or privation only when an alternative procedure is
unavailable and the goal is justified by its prospective scientific,
educational, or applied value.
(f) Psychologists perform surgical procedures under appropriate
anesthesia and follow techniques to avoid infection and minimize
pain during and after surgery.
(g) When it is appropriate that an animal's life be terminated,
psychologists proceed rapidly, with an effort to minimize pain and
in accordance with accepted procedures.
8.10 Reporting Research
Results (a) Psychologists do not fabricate data. (See also
Standard 5.01a, Avoidance
of False or Deceptive Statements.)
(b) If psychologists discover significant errors in their
published data, they take reasonable steps to correct such errors in
a correction, retraction, erratum, or other appropriate publication
means.
8.11
Plagiarism Psychologists do not present portions of
another's work or data as their own, even if the other work or data
source is cited occasionally.
8.12 Publication
Credit (a) Psychologists take responsibility and credit,
including authorship credit, only for work they have actually
performed or to which they have substantially contributed. (See also
Standard 8.12b,
Publication Credit.)
(b) Principal authorship and other publication
credits accurately reflect the relative scientific or professional
contributions of the individuals involved, regardless of their
relative status. Mere possession of an institutional position, such
as department chair, does not justify authorship credit. Minor
contributions to the research or to the writing for publications are
acknowledged appropriately, such as in footnotes or in an
introductory statement.
(c) Except under exceptional circumstances, a student is listed
as principal author on any multiple-authored article that is
substantially based on the student's doctoral dissertation. Faculty
advisors discuss publication credit with students as early as
feasible and throughout the research and publication process as
appropriate. (See also Standard 8.12b,
Publication Credit.)
8.13 Duplicate Publication
of Data Psychologists do not publish, as original data,
data that have been previously published. This does not preclude
republishing data when they are accompanied by proper
acknowledgment.
8.14 Sharing Research Data
for Verification (a) After research results are published,
psychologists do not withhold the data on which their conclusions
are based from other competent professionals who seek to verify the
substantive claims through reanalysis and who intend to use such
data only for that purpose, provided that the confidentiality of the
participants can be protected and unless legal rights concerning
proprietary data preclude their release. This does not preclude
psychologists from requiring that such individuals or groups be
responsible for costs associated with the provision of such
information.
(b) Psychologists who request data from other psychologists to
verify the substantive claims through reanalysis may use shared data
only for the declared purpose. Requesting psychologists obtain prior
written agreement for all other uses of the data.
8.15
Reviewers Psychologists who review material submitted for
presentation, publication, grant, or research proposal review
respect the confidentiality of and the proprietary rights in such
information of those who submitted it.
9. Assessment
9.01 Bases for
Assessments (a) Psychologists base the opinions contained
in their recommendations, reports, and diagnostic or evaluative
statements, including forensic testimony, on information and
techniques sufficient to substantiate their findings. (See also
Standard 2.04, Bases for
Scientific and Professional Judgments.)
(b) Except as noted in 9.01c,
psychologists provide opinions of the psychological characteristics
of individuals only after they have conducted an examination of the
individuals adequate to support their statements or conclusions.
When, despite reasonable efforts, such an examination is not
practical, psychologists document the efforts they made and the
result of those efforts, clarify the probable impact of their
limited information on the reliability and validity of their
opinions, and appropriately limit the nature and extent of their
conclusions or recommendations. (See also Standards 2.01, Boundaries
of Competence, and 9.06,
Interpreting Assessment Results.)
(c) When psychologists conduct a record review
or provide consultation or supervision and an individual examination
is not warranted or necessary for the opinion, psychologists explain
this and the sources of information on which they based their
conclusions and recommendations.
9.02 Use of
Assessments (a) Psychologists administer, adapt, score,
interpret, or use assessment techniques, interviews, tests, or
instruments in a manner and for purposes that are appropriate in
light of the research on or evidence of the usefulness and proper
application of the techniques.
(b) Psychologists use assessment instruments whose validity and
reliability have been established for use with members of the
population tested. When such validity or reliability has not been
established, psychologists describe the strengths and limitations of
test results and interpretation.
(c) Psychologists use assessment methods that are appropriate to
an individual's language preference and competence, unless the use
of an alternative language is relevant to the assessment issues.
9.03 Informed Consent in
Assessments (a) Psychologists obtain informed consent for
assessments, evaluations, or diagnostic services, as described in
Standard 3.10, Informed
Consent, except when (1) testing is mandated by law or
governmental regulations; (2) informed consent is implied because
testing is conducted as a routine educational, institutional, or
organizational activity (e.g., when participants voluntarily agree
to assessment when applying for a job); or (3) one purpose of the
testing is to evaluate decisional capacity. Informed consent
includes an explanation of the nature and purpose of the assessment,
fees, involvement of third parties, and limits of confidentiality
and sufficient opportunity for the client/patient to ask questions
and receive answers.
(b) Psychologists inform persons with questionable capacity to
consent or for whom testing is mandated by law or governmental
regulations about the nature and purpose of the proposed assessment
services, using language that is reasonably understandable to the
person being assessed.
(c) Psychologists using the services of an interpreter obtain
informed consent from the client/patient to use that interpreter,
ensure that confidentiality of test results and test security are
maintained, and include in their recommendations, reports, and
diagnostic or evaluative statements, including forensic testimony,
discussion of any limitations on the data obtained. (See also
Standards 2.05, Delegation
of Work to Others; 4.01,
Maintaining Confidentiality; 9.01, Bases for
Assessments; 9.06,
Interpreting Assessment Results; and 9.07, Assessment
by Unqualified Persons.)
9.04 Release of Test
Data (a) The term test data refers to raw and
scaled scores, client/patient responses to test questions or
stimuli, and psychologists' notes and recordings concerning
client/patient statements and behavior during an examination. Those
portions of test materials that include client/patient responses are
included in the definition of test data. Pursuant to a
client/patient release, psychologists provide test data to the
client/patient or other persons identified in the release.
Psychologists may refrain from releasing test data to protect a
client/patient or others from substantial harm or misuse or
misrepresentation of the data or the test, recognizing that in many
instances release of confidential information under these
circumstances is regulated by law. (See also Standard 9.11,
Maintaining Test Security.)
(b) In the absence of a client/patient release, psychologists
provide test data only as required by law or court order.
9.05 Test
Construction Psychologists who develop tests and other
assessment techniques use appropriate psychometric procedures and
current scientific or professional knowledge for test design,
standardization, validation, reduction or elimination of bias, and
recommendations for use.
9.06 Interpreting
Assessment Results When interpreting assessment results,
including automated interpretations, psychologists take into account
the purpose of the assessment as well as the various test factors,
test-taking abilities, and other characteristics of the person being
assessed, such as situational, personal, linguistic, and cultural
differences, that might affect psychologists' judgments or reduce
the accuracy of their interpretations. They indicate any significant
limitations of their interpretations. (See also Standards 2.01b and c,
Boundaries of Competence, and 3.01, Unfair
Discrimination.)
9.07 Assessment by
Unqualified Persons Psychologists do not promote the use
of psychological assessment techniques by unqualified persons,
except when such use is conducted for training purposes with
appropriate supervision. (See also Standard 2.05, Delegation
of Work to Others.)
9.08 Obsolete Tests and
Outdated Test Results (a) Psychologists do not base their
assessment or intervention decisions or recommendations on data or
test results that are outdated for the current purpose.
(b) Psychologists do not base such decisions or recommendations
on tests and measures that are obsolete and not useful for the
current purpose.
9.09 Test Scoring and
Interpretation Services (a) Psychologists who offer
assessment or scoring services to other professionals accurately
describe the purpose, norms, validity, reliability, and applications
of the procedures and any special qualifications applicable to their
use.
(b) Psychologists select scoring and interpretation services
(including automated services) on the basis of evidence of the
validity of the program and procedures as well as on other
appropriate considerations. (See also Standard 2.01b and c,
Boundaries of Competence.)
(c) Psychologists retain responsibility for the appropriate
application, interpretation, and use of assessment instruments,
whether they score and interpret such tests themselves or use
automated or other services.
9.10 Explaining Assessment
Results Regardless of whether the scoring and
interpretation are done by psychologists, by employees or
assistants, or by automated or other outside services, psychologists
take reasonable steps to ensure that explanations of results are
given to the individual or designated representative unless the
nature of the relationship precludes provision of an explanation of
results (such as in some organizational consulting, preemployment or
security screenings, and forensic evaluations), and this fact has
been clearly explained to the person being assessed in advance.
9.11. Maintaining Test
Security The term test materials refers to manuals,
instruments, protocols, and test questions or stimuli and does not
include test data as defined in Standard 9.04, Release of
Test Data. Psychologists make reasonable efforts to maintain the
integrity and security of test materials and other assessment
techniques consistent with law and contractual obligations, and in a
manner that permits adherence to this Ethics Code.
10. Therapy
10.01 Informed Consent to
Therapy (a) When obtaining informed consent to therapy as
required in Standard 3.10, Informed
Consent, psychologists inform clients/patients as early as is
feasible in the therapeutic relationship about the nature and
anticipated course of therapy, fees, involvement of third parties,
and limits of confidentiality and provide sufficient opportunity for
the client/patient to ask questions and receive answers. (See also
Standards 4.02, Discussing
the Limits of Confidentiality, and 6.04, Fees and
Financial Arrangements.)
(b) When obtaining informed consent for treatment for which
generally recognized techniques and procedures have not been
established, psychologists inform their clients/patients of the
developing nature of the treatment, the potential risks involved,
alternative treatments that may be available, and the voluntary
nature of their participation. (See also Standards 2.01e,
Boundaries of Competence, and 3.10, Informed
Consent.)
(c) When the therapist is a trainee and the legal responsibility
for the treatment provided resides with the supervisor, the
client/patient, as part of the informed consent procedure, is
informed that the therapist is in training and is being supervised
and is given the name of the supervisor.
10.02 Therapy Involving
Couples or Families (a) When psychologists agree to
provide services to several persons who have a relationship (such as
spouses, significant others, or parents and children), they take
reasonable steps to clarify at the outset (1) which of the
individuals are clients/patients and (2) the relationship the
psychologist will have with each person. This clarification includes
the psychologist's role and the probable uses of the services
provided or the information obtained. (See also Standard 4.02, Discussing
the Limits of Confidentiality.)
(b) If it becomes apparent that psychologists may be called on to
perform potentially conflicting roles (such as family therapist and
then witness for one party in divorce proceedings), psychologists
take reasonable steps to clarify and modify, or withdraw from, roles
appropriately. (See also Standard 3.05c, Multiple
Relationships.)
10.03 Group
Therapy When psychologists provide services to several
persons in a group setting, they describe at the outset the roles
and responsibilities of all parties and the limits of
confidentiality.
10.04 Providing Therapy to
Those Served by Others In deciding whether to offer or
provide services to those already receiving mental health services
elsewhere, psychologists carefully consider the treatment issues and
the potential client's/patient's welfare. Psychologists discuss
these issues with the client/patient or another legally authorized
person on behalf of the client/patient in order to minimize the risk
of confusion and conflict, consult with the other service providers
when appropriate, and proceed with caution and sensitivity to the
therapeutic issues.
10.05 Sexual Intimacies
With Current Therapy Clients/Patients Psychologists do not
engage in sexual intimacies with current therapy
clients/patients.
10.06 Sexual Intimacies
With Relatives or Significant Others of Current Therapy
Clients/Patients Psychologists do not engage in sexual
intimacies with individuals they know to be close relatives,
guardians, or significant others of current clients/patients.
Psychologists do not terminate therapy to circumvent this
standard.
10.07 Therapy With Former
Sexual Partners Psychologists do not accept as therapy
clients/patients persons with whom they have engaged in sexual
intimacies.
10.08 Sexual Intimacies
With Former Therapy Clients/Patients (a) Psychologists do
not engage in sexual intimacies with former clients/patients for at
least two years after cessation or termination of therapy.
(b) Psychologists do not engage in sexual intimacies with former
clients/patients even after a two-year interval except in the most
unusual circumstances. Psychologists who engage in such activity
after the two years following cessation or termination of therapy
and of having no sexual contact with the former client/patient bear
the burden of demonstrating that there has been no exploitation, in
light of all relevant factors, including (1) the amount of time that
has passed since therapy terminated; (2) the nature, duration, and
intensity of the therapy; (3) the circumstances of termination; (4)
the client's/patient's personal history; (5) the client's/patient's
current mental status; (6) the likelihood of adverse impact on the
client/patient; and (7) any statements or actions made by the
therapist during the course of therapy suggesting or inviting the
possibility of a posttermination sexual or romantic relationship
with the client/patient. (See also Standard 3.05, Multiple
Relationships.)
10.09 Interruption of
Therapy When entering into employment or contractual
relationships, psychologists make reasonable efforts to provide for
orderly and appropriate resolution of responsibility for
client/patient care in the event that the employment or contractual
relationship ends, with paramount consideration given to the welfare
of the client/patient. (See also Standard 3.12,
Interruption of Psychological Services.)
10.10 Terminating
Therapy (a) Psychologists terminate therapy when it
becomes reasonably clear that the client/patient no longer needs the
service, is not likely to benefit, or is being harmed by continued
service.
(b) Psychologists may terminate therapy when threatened or
otherwise endangered by the client/patient or another person with
whom the client/patient has a relationship.
(c) Except where precluded by the actions of clients/patients or
third-party payors, prior to termination psychologists provide
pretermination counseling and suggest alternative service providers
as appropriate.
HISTORY AND EFFECTIVE DATE
This version of the APA Ethics Code was adopted by the American
Psychological Association's Council of Representatives during its
meeting, August 21, 2002, and is effective beginning June 1, 2003.
Inquiries concerning the substance or interpretation of the APA
Ethics Code should be addressed to the Director, Office of Ethics,
American Psychological Association, 750 First Street, NE,
Washington, DC 20002-4242. The Ethics Code and information regarding
the Code can be found on the APA web site, http://www.apa.org/ethics/.
The standards in this Ethics Code will be used to adjudicate
complaints brought concerning alleged conduct occurring on or after
the effective date. Complaints regarding conduct occurring prior to
the effective date will be adjudicated on the basis of the version
of the Ethics Code that was in effect at the time the conduct
occurred.
The APA has previously published its Ethics Code as follows:
American Psychological Association. (1953). Ethical standards of
psychologists. Washington, DC: Author.
American Psychological Association. (1959). Ethical standards of
psychologists. American Psychologist, 14, 279-282.
American Psychological Association. (1963). Ethical standards of
psychologists. American Psychologist, 18, 56-60.
American Psychological Association. (1968). Ethical standards of
psychologists. American Psychologist, 23, 357-361.
American Psychological Association. (1977, March). Ethical
standards of psychologists. APA Monitor, 22-23.
American Psychological Association. (1979). Ethical standards of
psychologists. Washington, DC: Author.
American Psychological Association. (1981). Ethical principles of
psychologists. American Psychologist, 36, 633-638.
American Psychological Association. (1990). Ethical principles of
psychologists (Amended June 2, 1989). American Psychologist, 45,
390-395.
American Psychological Association. (1992). Ethical principles of
psychologists and code of conduct. American Psychologist, 47,
1597-1611.
Request copies of the APA's Ethical Principles of Psychologists
and Code of Conduct from the APA Order Department, 750 First Street,
NE, Washington, DC 20002-4242, or phone (202) 336-5510.
|