ETHICAL PRINCIPLES OF PSYCHOLOGISTS
AND CODE OF CONDUCT History
and effective date.
Effective date December 1, 1992. Copyright © 1992
American Psychological Association. All rights reserved.
APA's Ethics Code has been revised.
To view the 2002 Ethics Code,
which goes into effect June 1, 2003, go to: http://www.apa.org/ethics/code2002.html.
TABLE
OF CONTENTS INTRODUCTION
PREAMBLE
GENERAL
PRINCIPLES
PRINCIPLE
A: COMPETENCE PRINCIPLE
B: INTEGRITY PRINCIPLE
C: PROFESSIONAL AND SCIENTIFIC RESPONSIBILITY PRINCIPLE
D: RESPECT FOR PEOPLE'S RIGHTS AND DIGNITY PRINCIPLE
E: CONCERN FOR OTHERS' WELFARE PRINCIPLE
F: SOCIAL RESPONSIBILITY
ETHICAL STANDARDS 1.
GENERAL STANDARDS
1.01
Applicability of the Ethics Code 1.02
Relationship of Ethics and Law 1.03
Professional and Scientific Relationship 1.04
Boundaries of Competence 1.05
Maintaining Expertise 1.06
Basis for Scientific and Professional Judgments 1.07
Describing the Nature and Results of Psychological
Services 1.08
Human Differences 1.09
Respecting Others 1.10
Nondiscrimination 1.11
Sexual Harassment 1.12
Other Harassment 1.13
Personal Problems and Conflicts 1.14
Avoiding Harm 1.15
Misuse of Psychologists' Influence 1.16
Misuse of Psychologists' Work 1.17
Multiple Relationships 1.18
Barter (With Patients or Clients) 1.19
Exploitative Relationships 1.20
Consultations and Referrals 1.21
Third-Party Requests for Services 1.22
Delegation to and Supervision of Subordinates 1.23
Documentation of Professional and Scientific Work 1.24
Records and Data 1.25
Fees and Financial Arrangements 1.26
Accuracy in Reports to Payors and Funding Sources 1.27
Referrals and Fees 2.
EVALUATION, ASSESSMENT, OR INTERVENTION
2.01
Evaluation, Diagnosis, and Interventions in Professional
Context 2.02
Competence and Appropriate Use of Assessments and
Interventions 2.03
Test Construction 2.04 Use
of Assessment in General and With Special
Populations 2.05
Interpreting Assessment Results 2.06
Unqualified Persons 2.07
Obsolete Tests and Outdated Test Results 2.08
Test Scoring and Interpretation Services 2.09
Explaining Assessment Results 2.10
Maintaining Test Security 3.
ADVERTISING AND OTHER PUBLIC STATEMENTS
3.01
Definition of Public Statements 3.02
Statements by Others 3.03
Avoidance of False or Deceptive Statements 3.04
Media Presentations 3.05
Testimonials 3.06
In-Person Solicitation 4.
THERAPY
4.01
Structuring the Relationship 4.02
Informed Consent to Therapy 4.03
Couple and Family Relationships 4.04
Providing Mental Health Services to Those Served by
Others 4.05
Sexual Intimacies With Current Patients or Clients 4.06
Therapy With Former Sexual Partners 4.07
Sexual Intimacies With Former Therapy Patients 4.08
Interruption of Services 4.09
Terminating the Professional Relationship 5.
PRIVACY AND CONFIDENTIALITY
5.01
Discussing the Limits of Confidentiality 5.02
Maintaining Confidentiality 5.03
Minimizing Intrusions on Privacy 5.04
Maintenance of Records 5.05
Disclosures 5.06
Consultations 5.07
Confidential Information in Databases 5.08 Use
of Confidential Information for Didactic or Other
Purposes 5.09
Preserving Records and Data 5.10
Ownership of Records and Data 5.11
Withholding Records for Nonpayment 6.
TEACHING, TRAINING SUPERVISION, RESEARCH, AND PUBLISHING
6.01
Design of Education and Training Programs 6.02
Descriptions of Education and Training Programs 6.03
Accuracy and Objectivity in Teaching 6.04
Limitation on Teaching 6.05
Assessing Student and Supervisee Performance 6.06
Planning Research 6.07
Responsibility 6.08
Compliance With Law and Standards 6.09
Institutional Approval 6.10
Research Responsibilities 6.11
Informed Consent to Research 6.12
Dispensing With Informed Consent 6.13
Informed Consent in Research Filming or Recording 6.14
Offering Inducements for Research Participants 6.15
Deception in Research 6.16
Sharing and Utilizing Data 6.17
Minimizing Invasiveness 6.18
Providing Participants With Information About the
Study 6.19
Honoring Commitments 6.20
Care and Use of Animals in Research 6.21
Reporting of Results 6.22
Plagiarism 6.23
Publication Credit 6.24
Duplicate Publication of Data 6.25
Sharing Data 6.26
Professional Reviewers 7.
FORENSIC ACTIVITIES
7.01
Professionalism 7.02
Forensic Assessments 7.03
Clarification of Role 7.04
Truthfulness and Candor 7.05
Prior Relationships 7.06
Compliance With Law and Rules 8.
RESOLVING ETHICAL ISSUES
8.01
Familiarity With Ethics Code 8.02
Confronting Ethical Issues 8.03
Conflicts Between Ethics and Organizational
Demands 8.04
Informal Resolution of Ethical Violations 8.05
Reporting Ethical Violations 8.06
Cooperating With Ethics Committees 8.07
Improper Complaints
INTRODUCTION
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, six General
Principles (A - F), 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 and
may be considered by ethics bodies in interpreting the Ethical
Standards. 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 the Ethics Code does
not mean that it is necessarily either ethical or unethical.
Membership in the APA commits members to adhere to the APA
Ethics Code and to the rules and procedures used to implement
it. Psychologists and students, whether or not they are APA
members, should be aware that the Ethics Code may be applied
to them by state psychology boards, courts, or other public
bodies.
This Ethics Code applies only to psychologists'
work-related activities, that is, activities that are part of
the psychologists' scientific and professional functions or
that are psychological in nature. It includes the clinical or
counseling practice of psychology, research, teaching,
supervision of trainees, devel- opment of assessment
instruments, conducting assessments, educational counseling,
organizational consulting, social intervention,
administration, and other activities as well. These
work-related activities can be distinguished from the purely
private conduct of a psychologist, which ordinarily is not
within the purview of the Ethics Code.
The Ethics Code is intended to provide standards of
professional conduct that can be applied by the APA and by
other bodies that choose to adopt them. Whether or not a
psychologist has violated the Ethics Code does not by itself
determine whether he or she is legally liable in a court
action, whether a contract is enforceable, or whether other
legal consequences occur. These results are based on legal
rather than ethical rules. However, compliance with or
violation of the Ethics Code may be admissible as evidence in
some legal proceedings, depending on the circumstances.
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. If the Ethics Code establishes a higher standard
of conduct than is required by law, psychologists must meet
the higher ethical standard. If the Ethics Code standard
appears to conflict with the requirements of law, then
psychologists make known their commitment to the Ethics Code
and take steps to resolve the conflict in a responsible
manner. If neither law nor the Ethics Code resolves an issue,
psychologists should consider other professional materials Footnote
1 and the dictates of their own conscience, as well
as seek consultation with others within the field when this is
practical.
The procedures for filing, investigating, and resolving
complaints of unethical conduct are described in the current
Rules and Procedures of the APA Ethics Committee. The actions
that APA may take for violations of the Ethics Code include
actions such as reprimand, censure, termination of APA
membership, and referral of the matter to other bodies.
Complainants who seek remedies such as monetary damages in
alleging ethical violations by a psychologist must resort to
private negotiation, administrative bodies, or the courts.
Actions that violate the Ethics Code may lead to the
imposition of sanctions on a psychologist 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 to
actions for violation of the Ethics Code, the APA Bylaws
provide that 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.
PREAMBLE
Psychologists work to develop a valid
and reliable body of scientific knowledge based on research.
They may apply that knowledge to human behavior in a variety
of contexts. In doing so, they perform many roles, such as
researcher, educator, diagnostician, therapist, supervisor,
consultant, administrator, social interventionist, and expert
witness. Their goal is to broaden knowledge of behavior and,
where appropriate, to apply it pragmatically to improve the
condition of both the individual and society. Psychologists
respect the central importance of freedom of inquiry and
expression in research, teaching, and publication. They also
strive to help the public in developing informed judgments and
choices concerning human behavior. This Ethics Code provides a
common set of values upon which psychologists build their
professional and scientific work.
This Code is intended to provide both the general
principles and the decision rules to cover most situations
encountered by psychologists. It has as its primary goal the
welfare and protection of the individuals and groups with whom
psychologists work. It is the individual responsibility of
each psychologist to aspire to the highest possible standards
of conduct. Psychologists respect and protect human and civil
rights, and do not knowingly participate in or condone unfair
discriminatory practices.
The development of a dynamic set of ethical standards for a
psychologist's work-related conduct requires a personal
commitment to a lifelong effort to act ethically; to encourage
ethical behavior by students, supervisees, employees, and
colleagues, as appropriate; and to consult with others, as
needed, concerning ethical problems. Each psychologist
supplements, but does not violate, the Ethics Code's values
and rules on the basis of guidance drawn from personal values,
culture, and experience.
GENERAL
PRINCIPLES
PRINCIPLE A:
COMPETENCE
Psychologists strive to maintain high standards of
competence in their work. They recognize the boundaries of
their particular competencies and the limitations of their
expertise. They provide only those services and use only those
techniques for which they are qualified by education,
training, or experience. Psychologists are cognizant of the
fact that the competencies required in serving, teaching,
and/or studying groups of people vary with the distinctive
characteristics of those groups. In those areas in which
recognized professional standards do not yet exist,
psychologists exercise careful judgment and take appropriate
precautions to protect the welfare of those with whom they
work. They maintain knowledge of relevant scientific and
professional information related to the services they render,
and they recognize the need for ongoing education.
Psychologists make appropriate use of scientific,
professional, technical, and administrative resources.
PRINCIPLE B:
INTEGRITY
Psychologists seek to promote integrity in the science,
teaching, and practice of psychology. In these activities
psychologists are honest, fair, and respectful of others. In
describing or reporting their qualifications, services,
products, fees, research, or teaching, they do not make
statements that are false, misleading, or deceptive.
Psychologists strive to be aware of their own belief systems,
values, needs, and limitations and the effect of these on
their work. To the extent feasible, they attempt to clarify
for relevant parties the roles they are performing and to
function appropriately in accordance with those roles.
Psychologists avoid improper and potentially harmful dual
relationships.
PRINCIPLE C:
PROFESSIONAL AND SCIENTIFIC RESPONSIBILITY
Psychologists uphold professional standards of conduct,
clarify their professional roles and obligations, accept
appropriate responsibility for their behavior, and adapt their
methods to the needs of different populations. Psychologists
consult with, refer to, or cooperate with other professionals
and institutions to the extent needed to serve the best
interests of their patients, clients, or other recipients of
their services. Psychologists' moral standards and conduct are
personal matters to the same degree as is true for any other
person, except as psychologists' conduct may compromise their
professional responsibilities or reduce the public's trust in
psychology and psychologists. Psychologists are concerned
about the ethical compliance of their colleagues' scientific
and professional conduct. When appropriate, they consult with
colleagues in order to prevent or avoid unethical conduct.
PRINCIPLE D:
RESPECT FOR PEOPLE'S RIGHTS AND DIGNITY
Psychologists accord appropriate respect to the fundamental
rights, dignity, and worth of all people. They respect the
rights of individuals to privacy, confidentiality,
self-determination, and autonomy, mindful that legal and other
obligations may lead to inconsistency and conflict with the
exercise of these rights. Psychologists are aware of cultural,
individual, and role differences, including those due to age,
gender, race, ethnicity, national origin, religion, sexual
orientation, disability, language, and socioeconomic status.
Psychologists try to eliminate the effect on their work of
biases based on those factors, and they do not knowingly
participate in or condone unfair discriminatory practices.
PRINCIPLE E:
CONCERN FOR OTHERS' WELFARE
Psychologists seek to contribute to the welfare of those
with whom they interact professionally. In their professional
actions, psychologists weigh the welfare and rights of their
patients or clients, students, supervisees, human research
participants, 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 and to perform their roles in a
responsible fashion that avoids or minimizes harm.
Psychologists are sensitive to real and ascribed differences
in power between themselves and others, and they do not
exploit or mislead other people during or after professional
relationships.
PRINCIPLE F: SOCIAL
RESPONSIBILITY
Psychologists are aware of their professional and
scientific responsibilities to the community and the society
in which they work and live. They apply and make public their
knowledge of psychology in order to contribute to human
welfare. Psychologists are concerned about and work to
mitigate the causes of human suffering. When undertaking
research, they strive to advance human welfare and the science
of psychology. Psychologists try to avoid misuse of their
work. Psychologists comply with the law and encourage the
development of law and social policy that serve the interests
of their patients and clients and the public. They are
encouraged to contribute a portion of their professional time
for little or no personal advantage.
ETHICAL STANDARDS
1. GENERAL
STANDARDS
These General Standards are potentially applicable to the
professional and scientific activities of all
psychologists.
1.01 Applicability of the Ethics
Code.
The activity of a psychologist subject to the Ethics Code
may be reviewed under these Ethical Standards only if the
activity is part of his or her work-related functions or the
activity is psychological in nature. Personal activities
having no connection to or effect on psychological roles are
not subject to the Ethics Code.
1.02 Relationship of Ethics and Law.
If psychologists' ethical responsibilities conflict with
law, psychologists make known their commitment to the Ethics
Code and take steps to resolve the conflict in a responsible
manner.
1.03 Professional and Scientific
Relationship.
Psychologists provide diagnostic, therapeutic, teaching,
research, supervisory, consultative, or other psychological
services only in the context of a defined professional or
scientific relationship or role. (See also Standards 2.01,
Evaluation, Diagnosis, and Interventions in Professional
Context, and 7.02, Forensic Assessments.)
1.04 Boundaries of Competence.
(a) Psychologists provide services, teach, and conduct
research only within the boundaries of their competence,
based on their education, training, supervised experience,
or appropriate professional experience.
(b) Psychologists provide services, teach, or conduct
research in new areas or involving new techniques only after
first undertaking appropriate study, training, supervision,
and/or consultation from persons who are competent in those
areas or techniques.
(c) 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 patients,
clients, students, research participants, and others from
harm.
1.05 Maintaining Expertise.
Psychologists who engage in assessment, therapy,
teaching, research, organizational consulting, or other
professional activities maintain a reasonable level of
awareness of current scientific and professional information
in their fields of activity, and undertake ongoing efforts
to maintain competence in the skills they use.
1.06 Basis for Scientific and Professional
Judgments.
Psychologists rely on scientifically and professionally
derived knowledge when making scientific or professional
judgments or when engaging in scholarly or professional
endeavors.
1.07 Describing the Nature and Results of
Psychological Services.
(a) When psychologists provide assessment, evaluation,
treatment, counseling, supervision, teaching, consultation,
research, or other psychological services to an individual,
a group, or an organization, they provide, using language
that is reasonably understandable to the recipient of those
services, appropriate information beforehand about the
nature of such services and appropriate information later
about results and conclusions. (See also Standard 2.09,
Explaining Assessment Results.)
(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.
1.08 Human Differences.
Where differences of age, gender, race, ethnicity,
national origin, religion, sexual orientation, disability,
language, or socioeconomic status significantly affect
psychologists' work concerning particular individuals or
groups, psychologists obtain the training, experience,
consultation, or supervision necessary to ensure the
competence of their services, or they make appropriate
referrals.
1.09 Respecting Others.
In their work-related activities, psychologists respect
the rights of others to hold values, attitudes, and opinions
that differ from their own.
1.10 Nondiscrimination. In their
work-related activities, psychologists do not engage in
unfair discrimination based on age, gender, race, ethnicity,
national origin, religion, sexual orientation, disability,
socio-economic status, or any basis proscribed by law.
1.11 Sexual Harassment.
(a) 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
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.
(b) Psychologists accord sexual-harassment complainants
and respondents dignity and respect. Psychologists do not
participate in denying a person academic admittance or
advancement, employment, tenure, or promotion, based solely
upon their having made, or their being the subject of,
sexual harassment charges. This does not preclude taking
action based upon the outcome of such proceedings or
consideration of other appropriate information.
1.12 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, race, ethnicity, national origin, religion, sexual
orientation, disability, language, or socioeconomic status.
1.13 Personal Problems and Conflicts.
(a) Psychologists recognize that their personal problems
and conflicts may interfere with their effectiveness.
Accordingly, they refrain from undertaking an activity when
they know or should know that their personal problems are
likely to lead to harm to a patient, client, colleague,
student, research participant, or other person to whom they
may owe a professional or scientific obligation.
(b) In addition, psychologists have an obligation to be
alert to signs of, and to obtain assistance for, their
personal problems at an early stage, in order to prevent
significantly impaired performance.
(c) 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.
1.14 Avoiding Harm.
Psychologists take reasonable steps to avoid harming
their patients or clients, research participants, students,
and others with whom they work, and to minimize harm where
it is foreseeable and unavoidable.
1.15 Misuse of Psychologists' Influence.
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.
1.16 Misuse of Psychologists' Work.
(a) Psychologists do not participate in activities in
which it appears likely that their skills or data will be
misused by others, unless corrective mechanisms are
available. (See also Standard 7.04, Truthfulness and
Candor.)
(b) If psychologists learn of misuse or misrepresentation
of their work, they take reasonable steps to correct or
minimize the misuse or misrepresentation.
1.17 Multiple Relationships.
(a) In many communities and situations, it may not be
feasible or reasonable for psychologists to avoid social or
other nonprofessional contacts with persons such as
patients, clients, students, supervisees, or research
participants. Psychologists must always be sensitive to the
potential harmful effects of other contacts on their work
and on those persons with whom they deal. A psychologist
refrains from entering into or promising another personal,
scientific, professional, financial, or other relationship
with such persons if it appears likely that such a
relationship reasonably might impair the psychologist's
objectivity or otherwise interfere with the psychologist's
effectively performing his or her functions as a
psychologist, or might harm or exploit the other party.
(b) Likewise, whenever feasible, a psychologist refrains
from taking on professional or scientific obligations when
pre-existing relationships would create a risk of such harm.
(c) If a psychologist finds that, due to unforeseen
factors, a potentially harmful multiple relationship has
arisen, the psychologist attempts to resolve it with due
regard for the best interests of the affected person and
maximal compliance with the Ethics Code.
1.18 Barter (With Patients or Clients).
Psychologists ordinarily refrain from accepting goods,
services, or other nonmonetary remuneration from patients or
clients in return for psychological services because such
arrangements create inherent potential for conflicts,
exploitation, and distortion of the professional
relationship. A psychologist may participate in bartering
only if (1) it is not clinically contraindicated, and (2)
the relationship is not exploitative. (See also Standards
1.17, Multiple Relationships, and 1.25, Fees and Financial
Arrangements.)
1.19 Exploitative Relationships.
(a) Psychologists do not exploit persons over whom they
have supervisory, evaluative, or other authority such as
students, supervisees, employees, research participants, and
clients or patients. (See also Standards 4.05 - 4.07
regarding sexual in- volvement with clients or patients.)
(b) Psychologists do not engage in sexual relationships
with students or supervisees in training over whom the
psychologist has evaluative or direct authority, because
such relationships are so likely to impair judgment or be
exploitative.
1.20 Consultations and Referrals.
(a) Psychologists arrange for appropriate consultations
and referrals based principally on the best interests of
their patients or clients, with appropriate consent, and
subject to other relevant considerations, including
applicable law and contractual obligations. (See also
Standards 5.01, Discussing the Limits of Confidentiality,
and 5.06, Consultations.)
(b) When indicated and professionally appropriate,
psychologists cooperate with other professionals in order to
serve their patients or clients effectively and
appropriately.
(c) Psychologists' referral practices are consistent with
law.
1.21 Third-Party Requests for Services.
(a) When a psychologist agrees to provide services to a
person or entity at the request of a third party, the
psychologist clarifies to the extent feasible, at the outset
of the service, the nature of the relationship with each
party. This clarification includes the role of the
psychologist (such as therapist, organizational consultant,
diagnostician, or expert witness), the probable uses of the
services provided or the information obtained, and the fact
that there may be limits to confidentiality.
(b) If there is a foreseeable risk of the psychologist's
being called upon to perform conflicting roles because of
the involvement of a third party, the psychologist clarifies
the nature and di- rection of his or her responsibilities,
keeps all parties appropriately informed as matters develop,
and resolves the situation in accordance with this Ethics
Code.
1.22 Delegation to and Supervision of
Subordinates.
(a) Psychologists delegate to their employees,
supervisees, and research assistants only those
responsibilities that such persons can reasonably be
expected to perform competently, on the basis of their
education, training, or experience, either independently or
with the level of supervision being provided.
(b) Psychologists provide proper training and supervision
to their employees or supervisees and take reasonable steps
to see that such persons perform services responsibly,
competently, and ethically.
(c) If institutional policies, procedures, or practices
prevent fulfillment of this obligation, psychologists
attempt to modify their role or to correct the situation to
the extent feasible.
1.23 Documentation of Professional and
Scientific Work.
(a) Psychologists appropriately document their
professional and scientific work in order to facilitate
provision of services later by them or by other
professionals, to ensure accountability, and to meet other
requirements of institutions or the law.
(b) When psychologists have reason to believe that
records of their professional services will be used in legal
proceedings involving recipients of or participants in their
work, they have a responsibility to create and maintain
documentation in the kind of detail and quality that would
be consistent with reasonable scrutiny in an adjudicative
forum. (See also Standard 7.01, Professionalism, under
Forensic Activities.)
1.24 Records and Data.
Psychologists create, maintain, disseminate, store,
retain, and dispose of records and data relating to their
research, practice, and other work in accordance with law
and in a manner that permits compliance with the
requirements of this Ethics Code. (See also Standard 5.04,
Maintenance of Records.)
1.25 Fees and Financial Arrangements.
(a) As early as is feasible in a professional or
scientific relationship, the psychologist and the patient,
client, or other appropriate recipient of psychological
services reach an agreement specifying the compensation and
the billing arrangements.
(b) Psychologists do not exploit recipients of services
or payors with respect to fees.
(c) Psychologists' fee practices are consistent with law.
(d) Psychologists do not misrepresent their fees.
(e) If limitations to services can be anticipated because
of limitations in financing, this is discussed with the
patient, client, or other appropriate recipient of services
as early as is feasible. (See also Standard 4.08,
Interruption of Services.)
(f) If the patient, client, or other recipient of
services does not pay for services as agreed, and if the
psychologist wishes to use collection agencies or legal
measures to collect the fees, the psychologist first informs
the person that such measures will be taken and provides
that person an opportunity to make prompt payment. (See also
Standard 5.11, Withholding Records for Nonpay- ment.)
1.26 Accuracy in Reports to Payors and
Funding Sources.
In their reports to payors for services or sources of
research funding, psychologists accurately state the nature
of the research or service provided, the fees or charges,
and where applicable, the identity of the provider, the
findings, and the diagnosis. (See also Standard 5.05,
Disclosures.)
1.27 Referrals and Fees.
When a psychologist pays, receives payment from, or
divides fees with another professional other than in an
employer - employee relationship, the payment to each is
based on the services (clinical, consultative,
administrative, or other) provided and is not based on the
referral itself.
2. EVALUATION,
ASSESSMENT, OR INTERVENTION
2.01 Evaluation, Diagnosis, and
Interventions in Professional Context.
(a) Psychologists perform evaluations, diagnostic
services, or interventions only within the context of a
defined professional relationship. (See also Standards 1.03,
Professional and Scien- tific Relationship.)
(b) Psychologists' assessments, recommendations, reports,
and psychological diagnostic or evaluative statements are
based on information and techniques (including personal
interviews of the individual when appropriate) sufficient to
provide appropriate substantiation for their findings. (See
also Standard 7.02, Forensic Assessments.)
2.02 Competence and Appropriate Use of
Assessments and Interventions.
(a) Psychologists who develop, administer, score,
interpret, or use psychological assessment techniques,
interviews, tests, or instruments do so 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 refrain from misuse of assessment
techniques, interventions, results, and interpretations and
take reasonable steps to prevent others from misusing the
information these tech- niques provide. This includes
refraining from releasing raw test results or raw data to
persons, other than to patients or clients as appropriate,
who are not qualified to use such information. (See also
Standards 1.02, Relationship of Ethics and Law, and 1.04,
Boundaries of Competence.)
2.03 Test Construction.
Psychologists who develop and conduct research with tests
and other assessment techniques use scientific procedures
and current professional knowledge for test design,
standardization, validation, reduction or elimination of
bias, and recommendations for use.
2.04 Use of Assessment in General and With
Special Populations.
(a) Psychologists who perform interventions or
administer, score, interpret, or use assessment techniques
are familiar with the reliability, validation, and related
standardization or outcome studies of, and proper
applications and uses of, the techniques they use.
(b) Psychologists recognize limits to the certainty with
which diagnoses, judgments, or predictions can be made about
individuals.
(c) Psychologists attempt to identify situations in which
particular interventions or assessment techniques or norms
may not be applicable or may require adjustment in
administration or inter- pretation because of factors such
as individuals' gender, age, race, ethnicity, national
origin, religion, sexual orientation, disability, language,
or socioeconomic status.
2.05 Interpreting Assessment Results.
When interpreting assessment results, including automated
interpretations, psychologists take into account the various
test factors and characteristics of the person being
assessed that might affect psychologists' judgments or
reduce the accuracy of their interpretations. They indicate
any significant reservations they have about the accuracy or
limitations of their interpretations.
2.06 Unqualified Persons.
Psychologists do not promote the use of psychological
assessment techniques by unqualified persons. (See also
Standard 1.22, Delegation to and Supervision of
Subordinates.)
2.07 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) Similarly, psychologists do not base such decisions
or recommendations on tests and measures that are obsolete
and not useful for the current purpose.
2.08 Test Scoring and Interpretation
Services.
(a) Psychologists who offer assessment or scoring
procedures 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.
(c) Psychologists retain appropriate 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.
2.09 Explaining Assessment Results.
Unless the nature of the relationship is clearly
explained to the person being assessed in advance and
precludes provision of an explanation of results (such as in
some organizational consulting, pre-employment or security
screenings, and forensic evaluations), psychologists ensure
that an explanation of the results is provided using
language that is reasonably understandable to the person
assessed or to another legally authorized person on behalf
of the client. Regardless of whether the scoring and
interpretation are done by the psychologist, by assistants,
or by automated or other outside services, psychologists
take reasonable steps to ensure that appropriate
explanations of results are given.
2.10 Maintaining Test Security.
Psychologists make reasonable efforts to maintain the
integrity and security of tests and other assessment
techniques consistent with law, contractual obligations, and
in a manner that permits compliance with the requirements of
this Ethics Code. (See also Standard 1.02, Relationship of
Ethics and Law.)
3. ADVERTISING AND
OTHER PUBLIC STATEMENTS
3.01 Definition of Public Statements.
Psychologists comply with this Ethics Code in public
statements relating to their professional services,
products, or publications or to the field of psychology.
Public statements include but are not limited to paid or
unpaid advertising, brochures, printed matter, directory
listings, personal resumes or curriculum vitae, interviews
or comments for use in media, statements in legal
proceedings, lectures and public oral presentations, and
published materials.
3.02 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) In addition, psychologists make reasonable efforts to
prevent others whom they do not control (such as employers,
publishers, sponsors, organizational clients, and
representatives of the print or broadcast media) from making
deceptive statements concerning psychologists' practice or
professional or scientific activities.
(c) If psychologists learn of deceptive statements about
their work made by others, psychologists make reasonable
efforts to correct such statements.
(d) Psychologists do not compensate employees of press,
radio, television, or other communication media in return
for publicity in a news item.
(e) A paid advertisement relating to the psychologist's
activities must be identified as such, unless it is already
apparent from the context.
3.03 Avoidance of False or Deceptive
Statements.
(a) Psychologists do not make public statements that are
false, deceptive, misleading, or fraudulent, either because
of what they state, convey, or suggest or because of what
they omit, concerning their research, practice, or other
work activities or those of per- sons or organizations with
which they are affiliated. As examples (and not in
limitation) of this standard, psychologists do not make
false or deceptive 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. (See also Standards 6.15, Deception in
Research, and 6.18, Providing Participants With Information
About the Study.)
(b) Psychologists claim as credentials for their
psychological work, only degrees that (1) were earned from a
regionally accredited educational institution or (2) were
the basis for psychology licensure by the state in which
they practice.
3.04 Media Presentations.
When psychologists provide advice or comment by means of
public lectures, demonstrations, radio or television
programs, prerecorded tapes, printed articles, mailed
material, or other media, they take reasonable precautions
to ensure that (1) the statements are based on appropriate
psychological literature and practice, (2) the statements
are otherwise consistent with this Ethics Code, and (3) the
recipients of the information are not encouraged to infer
that a relationship has been established with them
personally.
3.05 Testimonials.
Psychologists do not solicit testimonials from current
psychotherapy clients or patients or other persons who
because of their particular circumstances are vulnerable to
undue influence.
3.06 In-Person Solicitation.
Psychologists do not engage, directly or through agents,
in uninvited in-person solicitation of business from actual
or potential psychotherapy patients or clients or other
persons who because of their particular circumstances are
vulnerable to undue influence. However, this does not
preclude attempting to implement appropriate collateral
contacts with significant others for the purpose of
benefiting an already engaged therapy patient.
4. THERAPY
4.01 Structuring the Relationship.
(a) Psychologists discuss with clients or patients as
early as is feasible in the therapeutic relationship
appropriate issues, such as the nature and anticipated
course of therapy, fees, and con- fidentiality. (See also
Standards 1.25, Fees and Financial Arrangements, and 5.01,
Discussing the Limits of Confidentiality.)
(b) When the psychologist's work with clients or patients
will be supervised, the above discussion includes that fact,
and the name of the supervisor, when the supervisor has
legal responsibility for the case.
(c) When the therapist is a student intern, the client or
patient is informed of that fact.
(d) Psychologists make reasonable efforts to answer
patients' questions and to avoid apparent misunderstandings
about therapy. Whenever possible, psychologists provide oral
and/or written information, using language that is
reasonably understandable to the patient or client.
4.02 Informed Consent to Therapy.
(a) Psychologists obtain appropriate informed consent to
therapy or related procedures, using language that is
reasonably understandable to participants. The content of
informed consent will vary depending on many circumstances;
however, informed consent generally implies that the person
(1) has the capacity to consent, (2) has been informed of
significant information concerning the procedure, (3) has
freely and without undue influence expressed consent, and
(4) consent has been appropriately documented.
(b) When persons are legally incapable of giving informed
consent, psychologists obtain informed permission from a
legally authorized person, if such substitute consent is
permitted by law.
(c) In addition, psychologists (1) inform those persons
who are legally incapable of giving informed consent about
the proposed interventions in a manner commensurate with the
persons' psychological capacities, (2) seek their assent to
those interventions, and (3) consider such persons'
preferences and best interests.
4.03 Couple and Family Relationships.
(a) When a psychologist agrees to provide services to
several persons who have a relationship (such as husband and
wife or parents and children), the psychologist attempts to
clarify at the outset (1) which of the individuals are
patients or clients and (2) the relationship the
psychologist will have with each person. This clarification
includes the role of the psychologist and the probable uses
of the services provided or the information obtained. (See
also Standard 5.01, Discussing the Limits of
Confidentiality.)
(b) As soon as it becomes apparent that the psychologist
may be called on to perform potentially conflicting roles
(such as marital counselor to husband and wife, and then
witness for one party in a divorce proceeding), the
psychologist attempts to clarify and adjust, or withdraw
from, roles appropriately. (See also Standard 7.03,
Clarification of Role, under Forensic Activities.)
4.04 Providing Mental Health Services 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 patient's or client's welfare. The
psychologist discusses these issues with the patient or
client, or another legally authorized person on behalf of
the client, in order to minimize the risk of confusion and
conflict, consults with the other service providers when
appro- priate, and proceeds with caution and sensitivity to
the therapeutic issues.
4.05 Sexual Intimacies With Current Patients
or Clients.
Psychologists do not engage in sexual intimacies with
current patients or clients.
4.06 Therapy With Former Sexual
Partners.
Psychologists do not accept as therapy patients or
clients persons with whom they have engaged in sexual
intimacies.
4.07 Sexual Intimacies With Former Therapy
Patients.
(a) Psychologists do not engage in sexual intimacies with
a former therapy patient or client for at least two years
after cessation or termination of professional services.
(b) Because sexual intimacies with a former therapy
patient or client are so frequently harmful to the patient
or client, and because such intimacies undermine public
confidence in the psy- chology profession and thereby deter
the public's use of needed services, psychologists do not
engage in sexual intimacies with former therapy patients and
clients even after a two-year interval except in the most
unusual circumstances. The psychologist who engages in such
activity after the two years following cessation or
termination of treatment bears 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 and duration
of the therapy, (3) the circumstances of termination, (4)
the patient's or client's personal history, (5) the
patient's or client's current mental status, (6) the
likelihood of adverse impact on the patient or client and
others, and (7) any statements or actions made by the
therapist during the course of therapy suggesting or
inviting the possibility of a post-termination sexual or
romantic relationship with the patient or client. (See also
Standard 1.17, Multiple Relationships.)
4.08 Interruption of Services.
(a) Psychologists make reasonable efforts to plan for
facilitating care in the event that psychological services
are interrupted by factors such as the psychologist's
illness, death, unavailability, or relocation or by the
client's relocation or financial limi- tations. (See also
Standard 5.09, Preserving Records and Data.)
(b) When entering into employment or contractual
relationships, psychologists provide for orderly and
appropriate resolution of responsibility for patient or
client care in the event that the employment or contractual
relationship ends, with paramount con- sideration given to
the welfare of the patient or client.
4.09 Terminating the Professional
Relationship.
(a) Psychologists do not abandon patients or clients.
(See also Standard 1.25e, under Fees and Financial
Arrangements.)
(b) Psychologists terminate a professional relationship
when it becomes reasonably clear that the patient or client
no longer needs the service, is not benefiting, or is being
harmed by continued service.
(c) Prior to termination for whatever reason, except
where precluded by the patient's or client's conduct, the
psychologist discusses the patient's or client's views and
needs, provides ap- propriate pretermination counseling,
suggests alternative service providers as appropriate, and
takes other reasonable steps to facilitate transfer of
responsibility to another provider if the patient or client
needs one immediately.
5. PRIVACY AND
CONFIDENTIALITY
These Standards are potentially applicable to the
professional and scientific activities of all psychologists.
5.01 Discussing the Limits of
Confidentiality.
(a) Psychologists discuss with persons and organizations
with whom they establish a scientific or professional
relationship (including, to the extent feasible, minors and
their legal rep- resentatives) (1) the relevant limitations
on confidentiality, including limitations where applicable
in group, marital, and family therapy or in organizational
consulting, and (2) the foreseeable uses of the information
generated through their services.
(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) Permission for electronic recording of interviews is
secured from clients and patients.
5.02 Maintaining Confidentiality.
Psychologists have a primary obligation and take
reasonable precautions to respect the confidentiality rights
of those with whom they work or consult, recognizing that
confidentiality may be established by law, institutional
rules, or professional or scientific relationships. (See
also Standard 6.26, Professional Reviewers.)
5.03 Minimizing Intrusions on Privacy.
(a) In order to minimize intrusions on privacy,
psychologists include in written and oral reports,
consultations, and the like, only information germane to the
purpose for which the communication is made.
(b) Psychologists discuss confidential information
obtained in clinical or consulting relationships, or
evaluative data concerning patients, individual or
organizational clients, students, research participants,
supervisees, and employees, only for appropriate scientific
or professional purposes and only with persons clearly
concerned with such matters.
5.04 Maintenance of Records.
Psychologists maintain appropriate confidentiality in
creating, storing, accessing, transferring, and disposing of
records under their control, whether these are written,
automated, or in any other medium. Psychologists maintain
and dispose of records in accordance with law and in a
manner that permits compliance with the requirements of this
Ethics Code.
5.05 Disclosures.
(a) 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
(1) to provide needed professional services to the patient
or the individual or organizational client, (2) to obtain
appropriate professional consultations, (3) to protect the
patient or client or others from harm, or (4) to obtain
payment for services, in which instance disclosure is
limited to the minimum that is necessary to achieve the
purpose.
(b) Psychologists also may disclose confidential
information with the appropriate consent of the patient or
the individual or organizational client (or of another
legally authorized person on behalf of the patient or
client), unless prohibited by law.
5.06 Consultations.
When consulting with colleagues, (1) psychologists do not
share confidential information that reasonably could lead to
the identification of a patient, client, 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 share information
only to the extent necessary to achieve the purposes of the
consultation. (See also Standard 5.02, Maintaining
Confidentiality.)
5.07 Confidential Information in
Databases.
(a) If confidential information concerning recipients of
psychological services is to be entered into databases or
systems of records available to persons whose access has not
been consented to by the recipient, then psychologists use
coding or other techniques to avoid the inclusion of
personal identifiers.
(b) If a research protocol approved by an institutional
review board or similar body requires the inclusion of
personal identifiers, such identifiers are deleted before
the information is made accessible to persons other than
those of whom the subject was advised.
(c) If such deletion is not feasible, then before
psychologists transfer such data to others or review such
data collected by others, they take reasonable steps to
determine that appropriate consent of personally
identifiable individuals has been obtained.
5.08 Use of Confidential Information for
Didactic or Other Purposes.
(a) Psychologists do not disclose in their writings,
lectures, or other public media, confidential, personally
identifiable information concerning their patients,
individual or organizational clients, students, research
participants, or other recipients of their services that
they obtained during the course of their work, unless the
person or organization has consented in writing or unless
there is other ethical or legal authorization for doing so.
(b) Ordinarily, in such scientific and professional
presentations, psychologists disguise confidential
information concerning such persons or organizations so that
they are not individually identifiable to others and so that
discussions do not cause harm to subjects who might identify
themselves.
5.09 Preserving Records and Data.
A psychologist makes plans in advance so that
confidentiality of records and data is protected in the
event of the psychologist's death, incapacity, or withdrawal
from the position or practice.
5.10 Ownership of Records and Data.
Recognizing that ownership of records and data is
governed by legal principles, psychologists take reasonable
and lawful steps so that records and data remain available
to the extent needed to serve the best interests of
patients, individual or organizational clients, research
participants, or appropriate others.
5.11 Withholding Records for Nonpayment.
Psychologists may not withhold records under their
control that are requested and imminently needed for a
patient's or client's treatment solely because payment has
not been received, except as otherwise provided by
law.
6. TEACHING, TRAINING
SUPERVISION, RESEARCH, AND PUBLISHING
6.01 Design of Education and Training
Programs.
Psychologists who are responsible for education and
training programs seek to ensure that the programs are
competently designed, provide the proper experiences, and
meet the requirements for licensure, certification, or other
goals for which claims are made by the program.
6.02 Descriptions of Education and Training
Programs.
(a) Psychologists responsible for education and training
programs seek to ensure that there is a current and accurate
description of the program content, training goals and
objectives, and requirements that must be met for
satisfactory completion of the program. This information
must be made readily available to all interested parties.
(b) Psychologists seek to ensure that statements
concerning their course outlines are accurate and not
misleading, particularly regarding the subject matter to be
covered, bases for evaluating progress, and the nature of
course experiences. (See also Standard 3.03, Avoidance of
False or Deceptive Statements.)
(c) 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.
6.03 Accuracy and Objectivity in
Teaching.
(a) When engaged in teaching or training, psychologists
present psychological information accurately and with a
reasonable degree of objectivity.
(b) When engaged in teaching or training, psychologists
recognize the power they hold over students or supervisees
and therefore make reasonable efforts to avoid engaging in
conduct that is personally demeaning to students or
supervisees. (See also Standards 1.09, Respecting Others,
and 1.12, Other Harassment.)
6.04 Limitation on Teaching.
Psychologists do not teach the use of techniques or
procedures that require specialized training, licensure, or
expertise, including but not limited to hypnosis,
biofeedback, and projective techniques, to individuals who
lack the prerequisite training, legal scope of practice, or
expertise.
6.05 Assessing Student and Supervisee
Performance.
(a) In academic and supervisory relationships,
psychologists establish an appropriate process for providing
feedback to students and supervisees.
(b) Psychologists evaluate students and supervisees on
the basis of their actual performance on relevant and
established program requirements.
6.06 Planning Research.
(a) Psychologists design, conduct, and report research in
accordance with recognized standards of scientific
competence and ethical research.
(b) Psychologists plan their research so as to minimize
the possibility that results will be misleading.
(c) In planning research, psychologists consider its
ethical acceptability under the Ethics Code. If an ethical
issue is unclear, psychologists seek to resolve the issue
through consultation with institutional review boards,
animal care and use committees, peer consultations, or other
proper mechanisms.
(d) Psychologists take reasonable steps to implement
appropriate protections for the rights and welfare of human
participants, other persons affected by the research, and
the welfare of animal subjects.
6.07 Responsibility.
(a) Psychologists conduct research competently and with
due concern for the dignity and welfare of the participants.
(b) Psychologists are responsible for the ethical conduct
of research conducted by them or by others under their
supervision or control.
(c) Researchers and assistants are permitted to perform
only those tasks for which they are appropriately trained
and prepared.
(d) As part of the process of development and
implementation of research projects, psychologists consult
those with expertise concerning any special population under
investigation or most likely to be affected.
6.08 Compliance With Law and Standards.
Psychologists plan and conduct research in a manner
consistent with federal and state law and regulations, as
well as professional standards governing the conduct of
research, and particularly those standards governing
research with human participants and animal subjects.
6.09 Institutional Approval.
Psychologists obtain from host institutions or
organizations appropriate approval prior to conducting
research, and they provide accurate information about their
research proposals. They conduct the research in accordance
with the approved research protocol.
6.10 Research Responsibilities.
Prior to conducting research (except research involving
only anonymous surveys, naturalistic observations, or
similar research), psychologists enter into an agreement
with participants that clarifies the nature of the research
and the responsibilities of each party.
6.11 Informed Consent to Research.
(a) Psychologists use language that is reasonably
understandable to research participants in obtaining their
appropriate informed consent (except as provided in Standard
6.12, Dispensing with Informed Consent). Such informed
consent is appropriately documented.
(b) Using language that is reasonably understandable to
participants, psychologists inform participants of the
nature of the research; they inform participants that they
are free to participate or to decline to participate or to
withdraw from the research; they explain the foreseeable
consequences of declining or withdrawing; they inform
participants of significant factors that may be expected to
influence their willingness to participate (such as risks,
discomfort, adverse effects, or limitations on
confidentiality, except as provided in Standard 6.15,
Deception in Research); and they explain other aspects about
which the prospective participants inquire.
(c) When psychologists conduct research with individuals
such as students or subordinates, psychologists take special
care to protect the prospective participants from adverse
consequences of declining or withdrawing from participation.
(d) When research participation is a course requirement
or opportunity for extra credit, the prospective participant
is given the choice of equitable alternative activities.
(e) For persons who are legally incapable of giving
informed consent, psychologists nevertheless (1) provide an
appropriate explanation, (2) obtain the participant's
assent, and (3) obtain appropriate permission from a legally
authorized person, if such substitute consent is permitted
by law.
6.12 Dispensing With Informed Consent.
Before determining that planned research (such as
research involving only anonymous questionnaires,
naturalistic observations, or certain kinds of archival
research) does not require the informed consent of research
participants, psychologists consider applicable regulations
and institutional review board requirements, and they
consult with colleagues as appropriate.
6.13 Informed Consent in Research Filming or
Recording.
Psychologists obtain informed consent from research
participants prior to filming or recording them in any form,
unless the research involves simply 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.
6.14 Offering Inducements for Research
Participants.
(a) In offering professional services as an inducement to
obtain research participants, psychologists make clear the
nature of the services, as well as the risks, obligations,
and limitations. (See also Standard 1.18, Barter [With
Patients or Clients].)
(b) Psychologists do not offer excessive or inappropriate
financial or other inducements to obtain research
participants, particularly when it might tend to coerce
participation.
6.15 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 prospective
scientific, educational, or applied value and that equally
effective alternative procedures that do not use deception
are not feasible.
(b) Psychologists never deceive research participants
about significant aspects that would affect their
willingness to participate, such as physical risks,
discomfort, or unpleasant emotional experiences.
(c) Any other deception that is an integral feature of
the design and conduct of an experiment must be explained to
participants as early as is feasible, preferably at the
conclusion of their participation, but no later than at the
conclusion of the research. (See also Standard 6.18,
Providing Participants With Information About the Study.)
6.16 Sharing and Utilizing Data.
Psychologists inform research participants of their
anticipated sharing or further use of personally
identifiable research data and of the possibility of
unanticipated future uses.
6.17 Minimizing Invasiveness.
In conducting research, psychologists interfere with the
participants or milieu from which data are collected only in
a manner that is warranted by an appropriate research design
and that is consistent with psychologists' roles as
scientific investigators.
6.18 Providing Participants With Information
About the Study.
(a) Psychologists provide a prompt opportunity for
participants to obtain appropriate information about the
nature, results, and conclusions of the research, and
psychologists attempt to correct any misconceptions that
participants may have.
(b) If scientific or humane values justify delaying or
withholding this information, psychologists take reasonable
measures to reduce the risk of harm.
6.19 Honoring Commitments.
Psychologists take reasonable measures to honor all
commitments they have made to research participants.
6.20 Care and Use of Animals in
Research.
(a) Psychologists who conduct research involving animals
treat them humanely.
(b) Psychologists acquire, care for, use, and dispose of
animals in compliance with current federal, state, and local
laws and regulations, and with professional standards.
(c) 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.
(d) Psychologists ensure that all individuals using
animals under their supervision 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.
(e) Responsibilities and activities of individuals
assisting in a research project are consistent with their
respective competencies. (f) Psychologists make reasonable
efforts to minimize the discomfort, infection, illness, and
pain of animal subjects.
(g) A procedure subjecting animals to pain, stress, or
privation is used only when an alternative procedure is
unavailable and the goal is justified by its prospective
scientific, educational, or applied value.
(h) Surgical procedures are performed under appropriate
anesthesia; techniques to avoid infection and minimize pain
are followed during and after surgery.
(i) When it is appropriate that the animal's life be
terminated, it is done rapidly, with an effort to minimize
pain, and in accordance with accepted procedures.
6.21 Reporting of Results.
(a) Psychologists do not fabricate data or falsify
results in their publications.
(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.
6.22 Plagiarism.
Psychologists do not present substantial portions or
elements of another's work or data as their own, even if the
other work or data source is cited occasionally.
6.23 Publication Credit.
(a) Psychologists take responsibility and credit,
including authorship credit, only for work they have
actually performed or to which they have contributed.
(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 appropriately acknowledged,
such as in footnotes or in an introductory statement.
(c) A student is usually listed as principal author on
any multiple-authored article that is substantially based on
the student's dissertation or thesis.
6.24 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.
6.25 Sharing Data.
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.
6.26 Professional Reviewers.
Psychologists who review material submitted for publication,
grant, or other research proposal review respect the
confidentiality of and the proprietary rights in such
information of those who submitted it.
7. FORENSIC
ACTIVITIES
7.01 Professionalism.
Psychologists who perform forensic functions, such as
assessments, interviews, consultations, reports, or expert
testimony, must comply with all other provisions of this
Ethics Code to the extent that they apply to such
activities. In addition, psychologists base their forensic
work on appropriate knowledge of and competence in the areas
underlying such work, including specialized knowledge
concerning special populations. (See also Standards 1.06,
Basis for Scientific and Professional Judgments; 1.08, Human
Differences; 1.15, Misuse of Psychologists' Influence; and
1.23, Documentation of Professional and Scientific Work.)
7.02 Forensic Assessments.
(a) Psychologists' forensic assessments, recommendations,
and reports are based on information and techniques
(including personal interviews of the individual, when
appropriate) sufficient to provide appropriate
substantiation for their findings. (See also Standards 1.03,
Professional and Scientific Relationship; 1.23,
Documentation of Professional and Scientific Work; 2.01,
Evaluation, Diagnosis, and Interventions in Professional
Context; and 2.05, Interpreting Assessment Results.)
(b) Except as noted in (c), below, psychologists provide
written or oral forensic reports or testimony of the
psychological char- acteristics of an individual only after
they have conducted an examination of the individual
adequate to support their statements or conclusions.
(c) When, despite reasonable efforts, such an examination
is not feasible, psychologists clarify the impact of their
limited information on the reliability and validity of their
reports and testimony, and they appropriately limit the
nature and extent of their conclusions or recommendations.
7.03 Clarification of Role.
In most circumstances, psychologists avoid performing
multiple and potentially conflicting roles in forensic
matters. When psychologists may be called on to serve in
more than one role in a legal proceeding - for example, as
consultant or expert for one party or for the court and as a
fact witness - they clarify role expectations and the extent
of confidentiality in advance to the extent feasible, and
thereafter as changes occur, in order to avoid compromising
their professional judgment and objectivity and in order to
avoid misleading others regarding their role.
7.04 Truthfulness and Candor. (a) In
forensic testimony and reports, psychologists testify
truthfully, honestly, and candidly and, consistent with
applicable legal procedures, describe fairly the bases for
their testimony and conclusions. (b) Whenever necessary to
avoid misleading, psychologists acknowledge the limits of
their data or conclusions.
7.05 Prior Relationships.
A prior professional relationship with a party does not
preclude psychologists from testifying as fact witnesses or
from testifying to their services to the extent permitted by
applicable law. Psychologists appropriately take into
account ways in which the prior relationship might affect
their professional objectivity or opinions and disclose the
potential conflict to the relevant parties.
7.06 Compliance With Law and Rules.
In performing forensic roles, psychologists are
reasonably familiar with the rules governing their roles.
Psychologists are aware of the occasionally competing
demands placed upon them by these principles and the
requirements of the court system, and attempt to resolve
these conflicts by making known their commitment to this
Ethics Code and taking steps to resolve the conflict in a
responsible manner. (See also Standard 1.02, Relationship of
Ethics and Law.)
8. RESOLVING ETHICAL
ISSUES
8.01 Familiarity With Ethics Code.
Psychologists have an obligation to be familiar with this
Ethics Code, other applicable ethics codes, and their
application to psychologists' work. Lack of awareness or
misunderstanding of an ethical standard is not itself a
defense to a charge of unethical conduct.
8.02 Confronting Ethical Issues.
When a psychologist is uncertain whether a particular
situation or course of action would violate this Ethics
Code, the psychologist ordinarily consults with other
psychologists knowledgeable about ethical issues, with state
or national psychology ethics committees, or with other
appropriate authorities in order to choose a proper
response.
8.03 Conflicts Between Ethics and
Organizational Demands.
If the demands of an organization with which
psychologists are affiliated 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, seek to resolve the conflict in a way that permits
the fullest adherence to the Ethics Code.
8.04 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 in- formal resolution appears appropriate
and the intervention does not violate any confidentiality
rights that may be involved.
8.05 Reporting Ethical Violations.
If an apparent ethical violation is not appropriate for
informal resolution under Standard 8.04 or is not resolved
properly in that fashion, psychologists take further action
appropriate to the situation, unless such action conflicts
with confidentiality rights in ways that cannot be resolved.
Such action might include referral to state or national
committees on professional ethics or to state licensing
boards.
8.06 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 make reasonable efforts to resolve
any issues as to confidentiality. Failure to cooperate is
itself an ethics viola- tion.
8.07 Improper Complaints.
Psychologists do not file or encourage the filing of
ethics complaints that are frivolous and are intended to
harm the respondent rather than to protect the public.
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 13 and 16, 1992,
and is effective beginning December 1, 1992. 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.
This Code will be used to adjudicate complaints brought
concerning alleged conduct occurring after the effective date.
Complaints regarding conduct occurring prior to the effective
date will be adjudicated on the basis of the version of the
Code that was in effect at the time the conduct occurred,
except that no provisions repealed in June 1989, will be
enforced even if an earlier version contains the provision.
The Ethics Code will undergo continuing review and study for
future revisions; comments on the Code may be sent to the
above address.
The APA has previously published its Ethical Standards as
follows: American Psychological Association. (1953). Ethical
standards of psychologists. Washington, DC:
Author. American Psychological Association. (1958).
Standards of ethical behavior for psychologists. American
Psychologist, 13, 268- 271. 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.
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. Return
to beginning.
Footnote 1:
Professional materials that are most helpful in this regard
are guidelines and standards that have been adopted or
endorsed by professional psychological organizations. Such
guidelines and standards, whether adopted by the American
Psychological Association (APA) or its Divisions, are not
enforceable as such by this Ethics Code, but are of educative
value to psychologists, courts, and professional bodies. Such
materials include, but are not limited to, the APA's General
Guidelines for Providers of Psychological Services (1987),
Specialty Guidelines for the Delivery of Services by Clinical
Psychologists, Counseling Psychologists,
Industrial/Organizational Psychologists, and School
Psychologists (1981), Guidelines for Computer Based Tests and
Interpretations (1987), Standards for Educational and
Psychological Testing (1985), Ethical Principles in the
Conduct of Research With Human Participants (1982), Guidelines
for Ethical Conduct in the Care and Use of Animals (1986),
Guidelines for Providers of Psychological Services to Ethnic,
Linguistic, and Culturally Diverse Populations (1990), and
Publication Manual of the American Psychological Association
(3rd ed., 1983). Materials not adopted by APA as a whole
include the APA Division 41 (Forensic Psychology)/American
Psychology-Law Society's Specialty Guidelines for Forensic
Psychologists (1991). Return
to document.
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