APA Ethical Principles of Psychologists & Code of Conduct PDF

ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE OF CONDUCT Adopted August 21, 2002 Effective June 1, 2003 (With the 2010 Amendments to Introduction and Applicability and Standards 1.02 and 1.03, Effective June 1, 2010) With the 2016 Amendment...

ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE OF CONDUCT Adopted August 21, 2002 Effective June 1, 2003 (With the 2010 Amendments to Introduction and Applicability and Standards 1.02 and 1.03, Effective June 1, 2010) With the 2016 Amendment to Standard 3.04 Adopted August 3, 2016 Effective January 1, 2017  ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE OF CONDUCT CONTENTS INTRODUCTION AND APPLICABILITY 4.02 Discussing the Limits of 8.04 Client/Patient, Student, and PREAMBLE Confidentiality Subordinate Research Participants 4.03 Recording 8.05 Dispensing With Informed Consent GENERAL PRINCIPLES 4.04 Minimizing Intrusions on Privacy for Research Principle A: Beneficence 4.05 Disclosures 8.06 Offering Inducements for Research and Nonmaleficence 4.06 Consultations Participation Principle B: Fidelity and Responsibility 4.07 Use of Confidential Information 8.07 Deception in Research Principle C: Integrity for Didactic or Other Purposes 8.08 Debriefing Principle D: Justice 8.09 Humane Care and Use of Animals 5. Advertising and Other Public Principle E: Respect for People’s Rights in Research Statements and Dignity 8.10 Reporting Research Results 5.01 Avoidance of False or Deceptive ETHICAL STANDARDS Statements 8.11 Plagiarism 1. Resolving Ethical Issues 5.02 Statements by Others 8.12 Publication Credit 1.01 Misuse of Psychologists’ Work 5.03 Descriptions of Workshops and 8.13 Duplicate Publication of Data 1.02 Conflicts Between Ethics and Law, Non-Degree-Granting Educational 8.14 Sharing Research Data for Verification Regulations, or Other Governing Programs 8.15 Reviewers Legal Authority 5.04 Media Presentations 9. Assessment 1.03 Conflicts Between Ethics and 5.05 Testimonials 9.01 Bases for Assessments Organizational Demands 5.06 In-Person Solicitation 9.02 Use of Assessments 1.04 Informal Resolution of Ethical 9.03 Informed Consent in Assessments 6. Record Keeping and Fees Violations 9.04 Release of Test Data 6.01 Documentation of Professional 1.05 Reporting Ethical Violations 9.05 Test Construction and Scientific Work and 1.06 Cooperating With Ethics Committees 9.06 Interpreting Assessment Results Maintenance of Records 1.07 Improper Complaints 9.07 Assessment by Unqualified Persons 6.02 Maintenance, Dissemination, 1.08 Unfair Discrimination Against 9.08 Obsolete Tests and Outdated Test and Disposal of Confidential Records Complainants and Respondents Results of Professional and Scientific Work 2. Competence 6.03 Withholding Records for 9.09 Test Scoring and Interpretation 2.01 Boundaries of Competence Nonpayment Services 2.02 Providing Services in Emergencies 6.04 Fees and Financial Arrangements 9.10 Explaining Assessment Results 2.03 Maintaining Competence 6.05 Barter With Clients/Patients 9.11 Maintaining Test Security 2.04 Bases for Scientific and Professional 6.06 Accuracy in Reports to Payors and 10. Therapy Judgments Funding Sources 10.01 Informed Consent to Therapy 2.05 Delegation of Work to Others 6.07 Referrals and Fees 10.02 Therapy Involving Couples or 2.06 Personal Problems and Conflicts Families 7. Education and Training 3. Human Relations 7.01 Design of Education and Training 10.03 Group Therapy 3.01 Unfair Discrimination Programs 10.04 Providing Therapy to Those Served 3.02 Sexual Harassment 7.02 Descriptions of Education and by Others 3.03 Other Harassment Training Programs 10.05 Sexual Intimacies With Current 3.04 Avoiding Harm 7.03 Accuracy in Teaching Therapy Clients/Patients 3.05 Multiple Relationships 7.04 Student Disclosure of Personal 10.06 Sexual Intimacies With Relatives 3.06 Conflict of Interest Information or Significant Others of Current 3.07 Third-Party Requests for Services 7.05 Mandatory Individual or Group Therapy Clients/Patients 3.08 Exploitative Relationships Therapy 10.07 Therapy With Former Sexual Partners 3.09 Cooperation With Other 7.06 Assessing Student and Supervisee 10.08 Sexual Intimacies With Former Professionals Performance Therapy Clients/Patients 3.10 Informed Consent 7.07 Sexual Relationships With 10.09 Interruption of Therapy 3.11 Psychological Services Delivered to Students and Supervisees 10.10 Terminating Therapy or Through Organizations 8. Research and Publication amendments to the 2002 3.12 Interruption of Psychological Services 8.01 Institutional Approval “ethical principles of 4. Privacy and Confidentiality 8.02 Informed Consent to Research psychologists and code of 4.01 Maintaining Confidentiality 8.03 Informed Consent for Recording conduct” in 2010 and 2016 Voices and Images in Research Effective June 1, 2003 (as amended 2010, 2016). Effective January 1, 2017 1 Copyright © 2017 by the American Psychological Association. 0003-066X Introduction and Applicability In addition, APA may take action against a member after his The American Psychological Association’s (APA’s) or her conviction of a felony, expulsion or suspension from Ethical Principles of Psychologists and Code of Conduct an affiliated state psychological association, or suspension or (hereinafter referred to as the Ethics Code) consists of an loss of licensure. When the sanction to be imposed by APA Introduction, a Preamble, five General Principles (A-E), is less than expulsion, the 2001 Rules and Procedures do not and specific Ethical Standards. The Introduction discusses guarantee an opportunity for an in-person hearing, but gen- the intent, organization, procedural considerations, and erally provide that complaints will be resolved only on the scope of application of the Ethics Code. The Preamble and basis of a submitted record. General Principles are aspirational goals to guide psycholo- The Ethics Code is intended to provide guidance for gists toward the highest ideals of psychology. Although the psychologists and standards of professional conduct that can Preamble and General Principles are not themselves en- be applied by the APA and by other bodies that choose to forceable rules, they should be considered by psychologists adopt them. The Ethics Code is not intended to be a basis of in arriving at an ethical course of action. The Ethical Stan- civil liability. Whether a psychologist has violated the Eth- dards set forth enforceable rules for conduct as psycholo- ics Code standards does not by itself determine whether gists. Most of the Ethical Standards are written broadly, in the psychologist is legally liable in a court action, whether a order to apply to psychologists in varied roles, although the contract is enforceable, or whether other legal consequences application of an Ethical Standard may vary depending on occur. the context. The Ethical Standards are not exhaustive. The fact that a given conduct is not specifically addressed by an The American Psychological Association’s Council of Representatives ad- Ethical Standard does not mean that it is necessarily either opted this version of the APA Ethics Code during its meeting on August 21, ethical or unethical. 2002. The Code became effective on June 1, 2003. The Council of Represen- tatives amended this version of the Ethics Code on February 20, 2010, effec- This Ethics Code applies only to psychologists’ ac- tive June 1, 2010, and on August 3, 2016, effective January 1, 2017. (see p. 16 tivities that are part of their scientific, educational, or profes- of this pamphlet). Inquiries concerning the substance or interpretation of sional roles as psychologists. Areas covered include but are the APA Ethics Code should be addressed to the Office of Ethics, American Psychological Association, 750 First St. NE, Washington, DC 20002-4242. not limited to the clinical, counseling, and school practice This Ethics Code and information regarding the Code can be found on the of psychology; research; teaching; supervision of trainees; APA website, http://www.apa.org/ethics. The standards in this Ethics Code public service; policy development; social intervention; will be used to adjudicate complaints brought concerning alleged conduct occurring on or after the effective date. Complaints will be adjudicated on development of assessment instruments; conducting as- the basis of the version of the Ethics Code that was in effect at the time the sessments; educational counseling; organizational consult- conduct occurred. The APA has previously published its Ethics Code, or amendments there- ing; forensic activities; program design and evaluation; and to, as follows: administration. This Ethics Code applies to these activities across a variety of contexts, such as in person, postal, tele- American Psychological Association. (1953). Ethical standards of psycholo- gists. Washington, DC: Author. phone, Internet, and other electronic transmissions. These American Psychological Association. (1959). Ethical standards of psycholo- activities shall be distinguished from the purely private con- gists. American Psychologist, 14, 279-282. duct of psychologists, which is not within the purview of the American Psychological Association. (1963). Ethical standards of psycholo- gists. American Psychologist, 18, 56-60. Ethics Code. American Psychological Association. (1968). Ethical standards of psycholo- Membership in the APA commits members and stu- gists. American Psychologist, 23, 357-361. American Psychological Association. (1977, March). Ethical standards of dent affiliates to comply with the standards of the APA Ethics psychologists. APA Monitor, 22-23. Code and to the rules and procedures used to enforce them. American Psychological Association. (1979). Ethical standards of psycholo- Lack of awareness or misunderstanding of an Ethical Stan- gists. Washington, DC: Author. American Psychological Association. (1981). Ethical principles of psycholo- dard is not itself a defense to a charge of unethical conduct. gists. American Psychologist, 36, 633-638. The procedures for filing, investigating, and resolving American Psychological Association. (1990). Ethical principles of psycholo- complaints of unethical conduct are described in the current gists (Amended June 2, 1989). American Psychologist, 45, 390-395. American Psychological Association. (1992). Ethical principles of psycholo- Rules and Procedures of the APA Ethics Committee. APA gists and code of conduct. American Psychologist, 47, 1597-1611. may impose sanctions on its members for violations of the American Psychological Association. (2002). Ethical principles of psycholo- standards of the Ethics Code, including termination of APA gists and code of conduct. American Psychologist, 57, 1060-1073. American Psychological Association. (2010). 2010 amendments to the 2002 membership, and may notify other bodies and individuals of “Ethical Principles of Psychologists and Code of Conduct.” American Psycholo- its actions. Actions that violate the standards of the Ethics gist, 65, 493. American Psychological Association. (2016). Revision of ethical standard Code may also lead to the imposition of sanctions on psy- 3.04 of the “Ethical Principles of Psychologists and Code of Conduct” (2002, chologists or students whether or not they are APA mem- as amended 2010). American Psychologist, 71, 900. bers by bodies other than APA, including state psychological Request copies of the APA’s Ethical Principles of Psychologists and Code of Conduct from the APA Order Department, 750 First St. NE, Washington, associations, other professional groups, psychology boards, DC 20002-4242, or phone (202) 336-5510. other state or federal agencies, and payors for health services. 2 Introduction and Applicability Effective January 1, 2017  The modifiers used in some of the standards of this personal commitment and lifelong effort to act ethically; Ethics Code (e.g., reasonably, appropriate, potentially) are in- to encourage ethical behavior by students, supervisees, cluded in the standards when they would (1) allow profes- employees, and colleagues; and to consult with others con- sional judgment on the part of psychologists, (2) eliminate cerning ethical problems. injustice or inequality that would occur without the modi- fier, (3) ensure applicability across the broad range of ac- General Principles tivities conducted by psychologists, or (4) guard against a This section consists of General Principles. General set of rigid rules that might be quickly outdated. As used in Principles, as opposed to Ethical Standards, are aspiration- this Ethics Code, the term reasonable means the prevailing al in nature. Their intent is to guide and inspire psycholo- professional judgment of psychologists engaged in similar gists toward the very highest ethical ideals of the profes- activities in similar circumstances, given the knowledge the sion. General Principles, in contrast to Ethical Standards, psychologist had or should have had at the time. do not represent obligations and should not form the basis In the process of making decisions regarding their for imposing sanctions. Relying upon General Principles professional behavior, psychologists must consider this for either of these reasons distorts both their meaning and Ethics Code in addition to applicable laws and psychol- purpose. ogy board regulations. In applying the Ethics Code to their professional work, psychologists may consider other ma- Principle A: Beneficence and Nonmaleficence terials and guidelines that have been adopted or endorsed Psychologists strive to benefit those with whom by scientific and professional psychological organizations they work and take care to do no harm. In their profession- and the dictates of their own conscience, as well as consult al actions, psychologists seek to safeguard the welfare and with others within the field. If this Ethics Code establishes rights of those with whom they interact professionally and a higher standard of conduct than is required by law, psy- other affected persons, and the welfare of animal subjects of chologists must meet the higher ethical standard. If psy- research. When conflicts occur among psychologists’ obli- chologists’ ethical responsibilities conflict with law, regu- gations or concerns, they attempt to resolve these conflicts lations, or other governing legal authority, psychologists in a responsible fashion that avoids or minimizes harm. Be- make known their commitment to this Ethics Code and cause psychologists’ scientific and professional judgments take steps to resolve the conflict in a responsible manner in and actions may affect the lives of others, they are alert to keeping with basic principles of human rights. and guard against personal, financial, social, organizational, or political factors that might lead to misuse of their influ- Preamble ence. Psychologists strive to be aware of the possible effect Psychologists are committed to increasing scientific of their own physical and mental health on their ability to and professional knowledge of behavior and people’s un- help those with whom they work. derstanding of themselves and others and to the use of such knowledge to improve the condition of individuals, organi- Principle B: Fidelity and Responsibility zations, and society. Psychologists respect and protect civil Psychologists establish relationships of trust with and human rights and the central importance of freedom of those with whom they work. They are aware of their pro- inquiry and expression in research, teaching, and publica- fessional and scientific responsibilities to society and to the tion. They strive to help the public in developing informed specific communities in which they work. Psychologists judgments and choices concerning human behavior. In do- uphold professional standards of conduct, clarify their pro- ing so, they perform many roles, such as researcher, edu- fessional roles and obligations, accept appropriate respon- cator, diagnostician, therapist, supervisor, consultant, ad- sibility for their behavior, and seek to manage conflicts of ministrator, social interventionist, and expert witness. This interest that could lead to exploitation or harm. Psycholo- Ethics Code provides a common set of principles and stan- gists consult with, refer to, or cooperate with other profes- dards upon which psychologists build their professional sionals and institutions to the extent needed to serve the and scientific work. best interests of those with whom they work. They are con- This Ethics Code is intended to provide specific cerned about the ethical compliance of their colleagues’ standards to cover most situations encountered by psy- scientific and professional conduct. Psychologists strive to chologists. It has as its goals the welfare and protection of contribute a portion of their professional time for little or the individuals and groups with whom psychologists work no compensation or personal advantage. and the education of members, students, and the public re- garding ethical standards of the discipline. Principle C: Integrity The development of a dynamic set of ethical stan- Psychologists seek to promote accuracy, honesty, dards for psychologists’ work-related conduct requires a and truthfulness in the science, teaching, and practice of Effective January 1, 2017 Preamble–Principle C 3 psychology. In these activities psychologists do not steal, steps to resolve the conflict consistent with the General cheat, or engage in fraud, subterfuge, or intentional mis- Principles and Ethical Standards of the Ethics Code. Under representation of fact. Psychologists strive to keep their no circumstances may this standard be used to justify or promises and to avoid unwise or unclear commitments. In defend violating human rights. situations in which deception may be ethically justifiable to maximize benefits and minimize harm, psychologists have 1.03 Conflicts Between Ethics and Organizational a serious obligation to consider the need for, the possible Demands consequences of, and their responsibility to correct any re- If the demands of an organization with which psy- sulting mistrust or other harmful effects that arise from the chologists are affiliated or for whom they are working are use of such techniques. in conflict with this Ethics Code, psychologists clarify the nature of the conflict, make known their commitment to the Principle D: Justice Ethics Code, and take reasonable steps to resolve the con- Psychologists recognize that fairness and justice flict consistent with the General Principles and Ethical Stan- entitle all persons to access to and benefit from the con- dards of the Ethics Code. Under no circumstances may this tributions of psychology and to equal quality in the pro- standard be used to justify or defend violating human rights. cesses, procedures, and services being conducted by psy- chologists. Psychologists exercise reasonable judgment 1.04 Informal Resolution of Ethical Violations and take precautions to ensure that their potential biases, When psychologists believe that there may have the boundaries of their competence, and the limitations of been an ethical violation by another psychologist, they at- their expertise do not lead to or condone unjust practices. tempt to resolve the issue by bringing it to the attention of that individual, if an informal resolution appears appropri- Principle E: Respect for People’s Rights ate and the intervention does not violate any confidential- and Dignity ity rights that may be involved. (See also Standards 1.02, Psychologists respect the dignity and worth of all Conflicts Between Ethics and Law, Regulations, or Other people, and the rights of individuals to privacy, confiden- Governing Legal Authority, and 1.03, Conflicts Between tiality, and self-determination. Psychologists are aware that Ethics and Organizational Demands.) special safeguards may be necessary to protect the rights and welfare of persons or communities whose vulnerabili- 1.05 Reporting Ethical Violations ties impair autonomous decision making. Psychologists If an apparent ethical violation has substantially are aware of and respect cultural, individual, and role differ- harmed or is likely to substantially harm a person or organi- ences, including those based on age, gender, gender iden- zation and is not appropriate for informal resolution under tity, race, ethnicity, culture, national origin, religion, sexual Standard 1.04, Informal Resolution of Ethical Violations, orientation, disability, language, and socioeconomic status, or is not resolved properly in that fashion, psychologists and consider these factors when working with members of take further action appropriate to the situation. Such ac- such groups. Psychologists try to eliminate the effect on tion might include referral to state or national committees their work of biases based on those factors, and they do not on professional ethics, to state licensing boards, or to the knowingly participate in or condone activities of others appropriate institutional authorities. This standard does based upon such prejudices. not apply when an intervention would violate confidential- ity rights or when psychologists have been retained to re- ethical Standards view the work of another psychologist whose professional 1. Resolving Ethical Issues conduct is in question. (See also Standard 1.02, Conflicts Between Ethics and Law, Regulations, or Other Governing 1.01 Misuse of Psychologists’ Work Legal Authority.) If psychologists learn of misuse or misrepresenta- tion of their work, they take reasonable steps to correct or 1.06 Cooperating with Ethics Committees minimize the misuse or misrepresentation. Psychologists cooperate in ethics investigations, proceedings, and resulting requirements of the APA or any 1.02 Conflicts Between Ethics and Law, Regulations, affiliated state psychological association to which they be- or Other Governing Legal Authority long. In doing so, they address any confidentiality issues. If psychologists’ ethical responsibilities conflict Failure to cooperate is itself an ethics violation. However, with law, regulations, or other governing legal authority, making a request for deferment of adjudication of an eth- psychologists clarify the nature of the conflict, make known ics complaint pending the outcome of litigation does not their commitment to the Ethics Code, and take reasonable alone constitute noncooperation. 4 Principle D–Standard 1.06 Effective January 1, 2017 1.07 Improper Complaints or become reasonably familiar with the judicial or adminis- Psychologists do not file or encourage the filing of trative rules governing their roles. ethics complaints that are made with reckless disregard for or willful ignorance of facts that would disprove the allegation. 2.02 Providing Services in Emergencies In emergencies, when psychologists provide ser- 1.08 Unfair Discrimination Against Complainants vices to individuals for whom other mental health services and Respondents are not available and for which psychologists have not ob- Psychologists do not deny persons employment, tained the necessary training, psychologists may provide advancement, admissions to academic or other programs, such services in order to ensure that services are not denied. tenure, or promotion, based solely upon their having made The services are discontinued as soon as the emergency has or their being the subject of an ethics complaint. This does ended or appropriate services are available. not preclude taking action based upon the outcome of such proceedings or considering other appropriate information. 2.03 Maintaining Competence Psychologists undertake ongoing efforts to develop 2. Competence and maintain their competence. 2.01 Boundaries of Competence 2.04 Bases for Scientific and Professional Judgments (a) Psychologists provide services, teach, and con- Psychologists’ work is based upon established scien- duct research with populations and in areas only within the tific and professional knowledge of the discipline. (See also boundaries of their competence, based on their education, Standards 2.01e, Boundaries of Competence, and 10.01b, training, supervised experience, consultation, study, or Informed Consent to Therapy.) professional experience. (b) Where scientific or professional knowledge in 2.05 Delegation of Work to Others the discipline of psychology establishes that an understand- ing of factors associated with age, gender, gender identity, Psychologists who delegate work to employees, race, ethnicity, culture, national origin, religion, sexual ori- supervisees, or research or teaching assistants or who use entation, disability, language, or socioeconomic status is the services of others, such as interpreters, take reasonable essential for effective implementation of their services or steps to (1) avoid delegating such work to persons who research, psychologists have or obtain the training, experi- have a multiple relationship with those being served that ence, consultation, or supervision necessary to ensure the would likely lead to exploitation or loss of objectivity; (2) competence of their services, or they make appropriate re- authorize only those responsibilities that such persons can ferrals, except as provided in Standard 2.02, Providing Ser- be expected to perform competently on the basis of their vices in Emergencies. education, training, or experience, either independently or (c) Psychologists planning to provide services, with the level of supervision being provided; and (3) see teach, or conduct research involving populations, areas, that such persons perform these services competently. (See techniques, or technologies new to them undertake rel- also Standards 2.02, Providing Services in Emergencies; evant education, training, supervised experience, consulta- 3.05, Multiple Relationships; 4.01, Maintaining Confiden- tion, or study. tiality; 9.01, Bases for Assessments; 9.02, Use of Assess- (d) When psychologists are asked to provide servic- ments; 9.03, Informed Consent in Assessments; and 9.07, es to individuals for whom appropriate mental health ser- Assessment by Unqualified Persons.) vices are not available and for which psychologists have not 2.06 Personal Problems and Conflicts obtained the competence necessary, psychologists with closely related prior training or experience may provide (a) Psychologists refrain from initiating an activity such services in order to ensure that services are not denied when they know or should know that there is a substantial if they make a reasonable effort to obtain the competence likelihood that their personal problems will prevent them required by using relevant research, training, consultation, from performing their work-related activities in a compe- or study. tent manner. (e) In those emerging areas in which generally rec- (b) When psychologists become aware of personal ognized standards for preparatory training do not yet exist, problems that may interfere with their performing work- psychologists nevertheless take reasonable steps to ensure related duties adequately, they take appropriate measures, the competence of their work and to protect clients/pa- such as obtaining professional consultation or assistance, tients, students, supervisees, research participants, organi- and determine whether they should limit, suspend, or ter- zational clients, and others from harm. minate their work-related duties. (See also Standard 10.10, (f) When assuming forensic roles, psychologists are Terminating Therapy.) Effective January 1, 2017 Standard 1.07–Standard 2.06 5 3. Human Relations A psychologist refrains from entering into a mul- tiple relationship if the multiple relationship could reason- 3.01 Unfair Discrimination ably be expected to impair the psychologist’s objectivity, In their work-related activities, psychologists do competence, or effectiveness in performing his or her func- not engage in unfair discrimination based on age, gender, tions as a psychologist, or otherwise risks exploitation or gender identity, race, ethnicity, culture, national origin, re- harm to the person with whom the professional relation- ligion, sexual orientation, disability, socioeconomic status, ship exists. or any basis proscribed by law. Multiple relationships that would not reasonably be expected to cause impairment or risk exploitation or harm 3.02 Sexual Harassment are not unethical. Psychologists do not engage in sexual harassment. (b) If a psychologist finds that, due to unforeseen Sexual harassment is sexual solicitation, physical advances, factors, a potentially harmful multiple relationship has or verbal or nonverbal conduct that is sexual in nature, that arisen, the psychologist takes reasonable steps to resolve it occurs in connection with the psychologist’s activities or with due regard for the best interests of the affected person roles as a psychologist, and that either (1) is unwelcome, and maximal compliance with the Ethics Code. is offensive, or creates a hostile workplace or educational (c) When psychologists are required by law, insti- environment, and the psychologist knows or is told this or tutional policy, or extraordinary circumstances to serve in (2) is sufficiently severe or intense to be abusive to a rea- more than one role in judicial or administrative proceed- sonable person in the context. Sexual harassment can con- ings, at the outset they clarify role expectations and the ex- sist of a single intense or severe act or of multiple persistent tent of confidentiality and thereafter as changes occur. (See or pervasive acts. (See also Standard 1.08, Unfair Discrimi- also Standards 3.04, Avoiding Harm, and 3.07, Third-Party nation Against Complainants and Respondents.) Requests for Services.) 3.03 Other Harassment 3.06 Conflict of Interest Psychologists do not knowingly engage in behavior Psychologists refrain from taking on a professional that is harassing or demeaning to persons with whom they role when personal, scientific, professional, legal, financial, interact in their work based on factors such as those per- or other interests or relationships could reasonably be ex- sons’ age, gender, gender identity, race, ethnicity, culture, pected to (1) impair their objectivity, competence, or ef- national origin, religion, sexual orientation, disability, lan- fectiveness in performing their functions as psychologists guage, or socioeconomic status. or (2) expose the person or organization with whom the professional relationship exists to harm or exploitation. 3.04 Avoiding Harm (a) Psychologists take reasonable steps to avoid 3.07 Third-Party Requests for Services harming their clients/patients, students, supervisees, re- When psychologists agree to provide services to a search participants, organizational clients, and others with person or entity at the request of a third party, psycholo- whom they work, and to minimize harm where it is foresee- gists attempt to clarify at the outset of the service the na- able and unavoidable. ture of the relationship with all individuals or organizations (b) Psychologists do not participate in, facilitate, as- involved. This clarification includes the role of the psychol- sist, or otherwise engage in torture, defined as any act by ogist (e.g., therapist, consultant, diagnostician, or expert which severe pain or suffering, whether physical or mental, witness), an identification of who is the client, the probable is intentionally inflicted on a person, or in any other cruel, uses of the services provided or the information obtained, inhuman, or degrading behavior that violates 3.04a. and the fact that there may be limits to confidentiality. (See also Standards 3.05, Multiple relationships, and 4.02, Dis- 3.05 Multiple Relationships cussing the Limits of Confidentiality.) (a) A multiple relationship occurs when a psycholo- gist is in a professional role with a person and (1) at the 3.08 Exploitative Relationships same time is in another role with the same person, (2) at Psychologists do not exploit persons over whom the same time is in a relationship with a person closely as- they have supervisory, evaluative or other authority such sociated with or related to the person with whom the psy- as clients/patients, students, supervisees, research partici- chologist has the professional relationship, or (3) promises pants, and employees. (See also Standards 3.05, Multiple to enter into another relationship in the future with the Relationships; 6.04, Fees and Financial Arrangements; person or a person closely associated with or related to the 6.05, Barter with Clients/Patients; 7.07, Sexual Relation- person. ships with Students and Supervisees; 10.05, Sexual Intima- 6 Standard 3.01–Standard 3.08 Effective January 1, 2017 cies with Current Therapy Clients/Patients; 10.06, Sexual provided and information obtained, (6) who will have ac- Intimacies with Relatives or Significant Others of Current cess to the information, and (7) limits of confidentiality. As Therapy Clients/Patients; 10.07, Therapy with Former soon as feasible, they provide information about the results Sexual Partners; and 10.08, Sexual Intimacies with Former and conclusions of such services to appropriate persons. Therapy Clients/Patients.) (b) If psychologists will be precluded by law or by organizational roles from providing such information to 3.09 Cooperation with Other Professionals particular individuals or groups, they so inform those indi- When indicated and professionally appropriate, viduals or groups at the outset of the service. psychologists cooperate with other professionals in order to serve their clients/patients effectively and appropriately. 3.12 Interruption of Psychological Services (See also Standard 4.05, Disclosures.) Unless otherwise covered by contract, psycholo- gists make reasonable efforts to plan for facilitating services 3.10 Informed Consent in the event that psychological services are interrupted by (a) When psychologists conduct research or pro- factors such as the psychologist’s illness, death, unavailabil- vide assessment, therapy, counseling, or consulting servic- ity, relocation, or retirement or by the client’s/patient’s re- es in person or via electronic transmission or other forms location or financial limitations. (See also Standard 6.02c, of communication, they obtain the informed consent of Maintenance, Dissemination, and Disposal of Confidential the individual or individuals using language that is reason- Records of Professional and Scientific Work.) ably understandable to that person or persons except when 4. Privacy and Confidentiality conducting such activities without consent is mandated by law or governmental regulation or as otherwise provided in 4.01 Maintaining Confidentiality this Ethics Code. (See also Standards 8.02, Informed Con- Psychologists have a primary obligation and take sent to Research; 9.03, Informed Consent in Assessments; reasonable precautions to protect confidential information and 10.01, Informed Consent to Therapy.) obtained through or stored in any medium, recognizing (b) For persons who are legally incapable of giving that the extent and limits of confidentiality may be regu- informed consent, psychologists nevertheless (1) provide an lated by law or established by institutional rules or profes- appropriate explanation, (2) seek the individual’s assent, (3) sional or scientific relationship. (See also Standard 2.05, consider such persons’ preferences and best interests, and Delegation of Work to Others.) (4) obtain appropriate permission from a legally authorized person, if such substitute consent is permitted or required 4.02 Discussing the Limits of Confidentiality by law. When consent by a legally authorized person is not (a) Psychologists discuss with persons (including, permitted or required by law, psychologists take reasonable to the extent feasible, persons who are legally incapable of steps to protect the individual’s rights and welfare. giving informed consent and their legal representatives) (c) When psychological services are court ordered and organizations with whom they establish a scientific or or otherwise mandated, psychologists inform the indi- professional relationship (1) the relevant limits of confi- vidual of the nature of the anticipated services, including dentiality and (2) the foreseeable uses of the information whether the services are court ordered or mandated and generated through their psychological activities. (See also any limits of confidentiality, before proceeding. Standard 3.10, Informed Consent.) (d) Psychologists appropriately document written (b) Unless it is not feasible or is contraindicated, the or oral consent, permission, and assent. (See also Stan- discussion of confidentiality occurs at the outset of the rela- dards 8.02, Informed Consent to Research; 9.03, Informed tionship and thereafter as new circumstances may warrant. Consent in Assessments; and 10.01, Informed Consent to (c) Psychologists who offer services, products, or Therapy.) information via electronic transmission inform clients/pa- tients of the risks to privacy and limits of confidentiality. 3.11 Psychological Services Delivered to or Through Organizations 4.03 Recording (a) Psychologists delivering services to or through Before recording the voices or images of individuals organizations provide information beforehand to clients to whom they provide services, psychologists obtain per- and when appropriate those directly affected by the services mission from all such persons or their legal representatives. about (1) the nature and objectives of the services, (2) the (See also Standards 8.03, Informed Consent for Recording intended recipients, (3) which of the individuals are clients, Voices and Images in Research; 8.05, Dispensing with In- (4) the relationship the psychologist will have with each per- formed Consent for Research; and 8.07, Deception in Re- son and the organization, (5) the probable uses of services search.) Effective January 1, 2017 Standard 3.09–Standard 4.03 7 4.04 Minimizing Intrusions on Privacy 5. Advertising and Other Public Statements (a) Psychologists include in written and oral reports 5.01 Avoidance of False or Deceptive Statements and consultations, only information germane to the pur- pose for which the communication is made. (a) Public statements include but are not limited to (b) Psychologists discuss confidential information paid or unpaid advertising, product endorsements, grant obtained in their work only for appropriate scientific or applications, licensing applications, other credentialing professional purposes and only with persons clearly con- applications, brochures, printed matter, directory listings, cerned with such matters. personal resumes or curricula vitae, or comments for use in media such as print or electronic transmission, statements 4.05 Disclosures in legal proceedings, lectures and public oral presentations, and published materials. Psychologists do not knowingly (a) Psychologists may disclose confidential infor- make public statements that are false, deceptive, or fraud- mation with the appropriate consent of the organizational ulent concerning their research, practice, or other work client, the individual client/patient, or another legally au- activities or those of persons or organizations with which thorized person on behalf of the client/patient unless pro- they are affiliated. hibited by law. (b) Psychologists do not make false, deceptive, or (b) Psychologists disclose confidential information fraudulent statements concerning (1) their training, ex- without the consent of the individual only as mandated by perience, or competence; (2) their academic degrees; (3) law, or where permitted by law for a valid purpose such as their credentials; (4) their institutional or association affili- to (1) provide needed professional services; (2) obtain ations; (5) their services; (6) the scientific or clinical ba- appropriate professional consultations; (3) protect the cli- sis for, or results or degree of success of, their services; (7) ent/patient, psychologist, or others from harm; or (4) ob- their fees; or (8) their publications or research findings. tain payment for services from a client/patient, in which (c) Psychologists claim degrees as credentials for instance disclosure is limited to the minimum that is neces- their health services only if those degrees (1) were earned sary to achieve the purpose. (See also Standard 6.04e, Fees from a regionally accredited educational institution or and Financial Arrangements.) (2) were the basis for psychology licensure by the state in 4.06 Consultations which they practice. When consulting with colleagues, (1) psychologists 5.02 Statements by Others do not disclose confidential information that reasonably (a) Psychologists who engage others to create or could lead to the identification of a client/patient, research place public statements that promote their professional participant, or other person or organization with whom practice, products, or activities retain professional respon- they have a confidential relationship unless they have ob- sibility for such statements. tained the prior consent of the person or organization or (b) Psychologists do not compensate employees of the disclosure cannot be avoided, and (2) they disclose in- press, radio, television, or other communication media in formation only to the extent necessary to achieve the pur- return for publicity in a news item. (See also Standard 1.01, poses of the consultation. (See also Standard 4.01, Main- Misuse of Psychologists’ Work.) taining Confidentiality.) (c) A paid advertisement relating to psychologists’ 4.07 Use of Confidential Information for Didactic or activities must be identified or clearly recognizable as such. Other Purposes 5.03 Descriptions of Workshops and Psychologists do not disclose in their writings, lec- Non-Degree-Granting Educational Programs tures, or other public media, confidential, personally iden- To the degree to which they exercise control, psy- tifiable information concerning their clients/patients, stu- chologists responsible for announcements, catalogs, bro- dents, research participants, organizational clients, or other chures, or advertisements describing workshops, seminars, recipients of their services that they obtained during the or other non-degree-granting educational programs ensure course of their work, unless (1) they take reasonable steps that they accurately describe the audience for which the to disguise the person or organization, (2) the person or program is intended, the educational objectives, the pre- organization has consented in writing, or (3) there is legal senters, and the fees involved. authorization for doing so. 5.04 Media Presentations When psychologists provide public advice or com- ment via print, Internet, or other electronic transmission, 8 Standard 4.04–Standard 5.04 Effective January 1, 2017 they take precautions to ensure that statements (1) are (c) Psychologists make plans in advance to facilitate based on their professional knowledge, training, or expe- the appropriate transfer and to protect the confidentiality rience in accord with appropriate psychological literature of records and data in the event of psychologists’ withdraw- and practice; (2) are otherwise consistent with this Ethics al from positions or practice. (See also Standards 3.12, In- Code; and (3) do not indicate that a professional relation- terruption of Psychological Services, and 10.09, Interrup- ship has been established with the recipient. (See also Stan- tion of Therapy.) dard 2.04, Bases for Scientific and Professional Judgments.) 6.03 Withholding Records for Nonpayment 5.05 Testimonials Psychologists may not withhold records under Psychologists do not solicit testimonials from cur- their control that are requested and needed for a client’s/ rent therapy clients/patients or other persons who because patient’s emergency treatment solely because payment has of their particular circumstances are vulnerable to undue not been received. influence. 6.04 Fees and Financial Arrangements 5.06 In-Person Solicitation (a) As early as is feasible in a professional or scientif- Psychologists do not engage, directly or through ic relationship, psychologists and recipients of psychologi- agents, in uninvited in-person solicitation of business from cal services reach an agreement specifying compensation actual or potential therapy clients/patients or other per- and billing arrangements. sons who because of their particular circumstances are vul- (b) Psychologists’ fee practices are consistent with law. nerable to undue influence. However, this prohibition does (c) Psychologists do not misrepresent their fees. not preclude (1) attempting to implement appropriate (d) If limitations to services can be anticipated be- collateral contacts for the purpose of benefiting an already cause of limitations in financing, this is discussed with the engaged therapy client/patient or (2) providing disaster or recipient of services as early as is feasible. (See also Stan- community outreach services. dards 10.09, Interruption of Therapy, and 10.10, Terminat- ing Therapy.) 6. Record Keeping and Fees (e) If the recipient of services does not pay for ser- 6.01 Documentation of Professional and Scientific vices as agreed, and if psychologists intend to use collection Work and Maintenance of Records agencies or legal measures to collect the fees, psychologists Psychologists create, and to the extent the records first inform the person that such measures will be taken and are under their control, maintain, disseminate, store, retain, provide that person an opportunity to make prompt pay- and dispose of records and data relating to their profession- ment. (See also Standards 4.05, Disclosures; 6.03, With- al and scientific work in order to (1) facilitate provision of holding Records for Nonpayment; and 10.01, Informed services later by them or by other professionals, (2) allow Consent to Therapy.) for replication of research design and analyses, (3) meet in- stitutional requirements, (4) ensure accuracy of billing and 6.05 Barter with Clients/Patients payments, and (5) ensure compliance with law. (See also Barter is the acceptance of goods, services, or other Standard 4.01, Maintaining Confidentiality.) nonmonetary remuneration from clients/patients in return for psychological services. Psychologists may barter only if 6.02 Maintenance, Dissemination, and Disposal of (1) it is not clinically contraindicated, and (2) the resulting Confidential Records of Professional and arrangement is not exploitative. (See also Standards 3.05, Scientific Work Multiple Relationships, and 6.04, Fees and Financial Ar- (a) Psychologists maintain confidentiality in creat- rangements.) ing, storing, accessing, transferring, and disposing of records under their control, whether these are written, automated, or 6.06 Accuracy in Reports to Payors and Funding in any other medium. (See also Standards 4.01, Maintaining Sources Confidentiality, and 6.01, Documentation of Professional In their reports to payors for services or sources of and Scientific Work and Maintenance of Records.) research funding, psychologists take reasonable steps to (b) If confidential information concerning recipi- ensure the accurate reporting of the nature of the service ents of psychological services is entered into databases or provided or research conducted, the fees, charges, or pay- systems of records available to persons whose access has ments, and where applicable, the identity of the provider, not been consented to by the recipient, psychologists use the findings, and the diagnosis. (See also Standards 4.01, coding or other techniques to avoid the inclusion of per- Maintaining Confidentiality; 4.04, Minimizing Intrusions sonal identifiers. on Privacy; and 4.05, Disclosures.) Effective January 1, 2017 Standard 5.05–Standard 6.06 9 6.07 Referrals and Fees sexual history, history of abuse and neglect, psychologi- When psychologists pay, receive payment from, or cal treatment, and relationships with parents, peers, and divide fees with another professional, other than in an em- spouses or significant others except if (1) the program or ployer-employee relationship, the payment to each is based training facility has clearly identified this requirement in its on the services provided (clinical, consultative, administra- admissions and program materials or (2) the information tive, or other) and is not based on the referral itself. (See is necessary to evaluate or obtain assistance for students also Standard 3.09, Cooperation with Other Profession- whose personal problems could reasonably be judged to be als.) preventing them from performing their training- or profes- sionally related activities in a competent manner or posing 7. Education and Training a threat to the students or others. 7.01 Design of Education and Training Programs 7.05 Mandatory Individual or Group Therapy Psychologists responsible for education and train- ing programs take reasonable steps to ensure that the pro- (a) When individual or group therapy is a program grams are designed to provide the appropriate knowledge or course requirement, psychologists responsible for that and proper experiences, and to meet the requirements for program allow students in undergraduate and graduate licensure, certification, or other goals for which claims are programs the option of selecting such therapy from prac- made by the program. (See also Standard 5.03, Descrip- titioners unaffiliated with the program. (See also Standard tions of Workshops and Non-Degree-Granting Education- 7.02, Descriptions of Education and Training Programs.) al Programs.) (b) Faculty who are or are likely to be responsible for evaluating students’ academic performance do not 7.02 Descriptions of Education and themselves provide that therapy. (See also Standard 3.05, Training Programs Multiple Relationships.) Psychologists responsible for education and train- 7.06 Assessing Student and Supervisee Performance ing programs take reasonable steps to ensure that there is a current and accurate description of the program content (a) In academic and supervisory relationships, psy- (including participation in required course- or program-re- chologists establish a timely and specific process for pro- lated counseling, psychotherapy, experiential groups, con- viding feedback to students and supervisees. Information sulting projects, or community service), training goals and regarding the process is provided to the student at the be- objectives, stipends and benefits, and requirements that ginning of supervision. must be met for satisfactory completion of the program. (b) Psychologists evaluate students and supervisees This information must be made readily available to all in- on the basis of their actual performance on relevant and es- terested parties. tablished program requirements. 7.03 Accuracy in Teaching 7.07 Sexual Relationships with Students and Supervisees (a) Psychologists take reasonable steps to ensure that course syllabi are accurate regarding the subject matter Psychologists do not engage in sexual relationships to be covered, bases for evaluating progress, and the nature with students or supervisees who are in their department, of course experiences. This standard does not preclude an agency, or training center or over whom psychologists have instructor from modifying course content or requirements or are likely to have evaluative authority. (See also Standard when the instructor considers it pedagogically necessary or 3.05, Multiple Relationships.) desirable, so long as students are made aware of these mod- 8. Research and Publication ifications in a manner that enables them to fulfill course re- quirements. (See also Standard 5.01, Avoidance of False or 8.01 Institutional Approval Deceptive Statements.) When institutional approval is required, psycholo- (b) When engaged in teaching or training, psychol- gists provide accurate information about their research ogists present psychological information accurately. (See proposals and obtain approval prior to conducting the re- also Standard 2.03, Maintaining Competence.) search. They conduct the research in accordance with the approved research protocol. 7.04 Student Disclosure of Personal Information Psychologists do not require students or super- 8.02 Informed Consent to Research visees to disclose personal information in course- or pro- (a) When obtaining informed consent as required gram-related activities, either orally or in writing, regarding in Standard 3.10, Informed Consent, psychologists inform participants about (1) the purpose of the research, expect- 10 Standard 6.07–Standard 8.02 Effective January 1, 2017 ed duration, and procedures; (2) their right to decline to 8.05 Dispensing with Informed Consent for participate and to withdraw from the research once par- Research ticipation has begun; (3) the foreseeable consequences of Psychologists may dispense with informed consent declining or withdrawing; (4) reasonably foreseeable fac- only (1) where research would not reasonably be assumed tors that may be expected to influence their willingness to to create distress or harm and involves (a) the study of nor- participate such as potential risks, discomfort, or adverse mal educational practices, curricula, or classroom manage- effects; (5) any prospective research benefits; (6) limits of ment methods conducted in educational settings; (b) only confidentiality; (7) incentives for participation; and (8) anonymous questionnaires, naturalistic observations, or whom to contact for questions about the research and re- archival research for which disclosure of responses would search participants’ rights. They provide opportunity for not place participants at risk of criminal or civil liability or the prospective participants to ask questions and receive damage their financial standing, employability, or reputa- answers. (See also Standards 8.03, Informed Consent for tion, and confidentiality is protected; or (c) the study of Recording Voices and Images in Research; 8.05, Dispens- factors related to job or organization effectiveness conduct- ing with Informed Consent for Research; and 8.07, Decep- ed in organizational settings for which there is no risk to tion in Research.) participants’ employability, and confidentiality is protected (b) Psychologists conducting intervention research or (2) where otherwise permitted by law or federal or insti- involving the use of experimental treatments clarify to par- tutional regulations. ticipants at the outset of the research (1) the experimental nature of the treatment; (2) the services that will or will 8.06 Offering Inducements for Research not be available to the control group(s) if appropriate; (3) Participation the means by which assignment to treatment and control (a) Psychologists make reasonable efforts to avoid groups will be made; (4) available treatment alternatives if offering excessive or inappropriate financial or other in- an individual does not wish to participate in the research or ducements for research participation when such induce- wishes to withdraw once a study has begun; and (5) com- ments are likely to coerce participation. pensation for or monetary costs of participating including, (b) When offering professional services as an in- if appropriate, whether reimbursement from the partici- ducement for research participation, psychologists clarify pant or a third-party payor will be sought. (See also Stan- the nature of the services, as well as the risks, obligations, dard 8.02a, Informed Consent to Research.) and limitations. (See also Standard 6.05, Barter with Cli- ents/Patients.) 8.03 Informed Consent for Recording Voices and Images in Research 8.07 Deception in Research Psychologists obtain informed consent from re- (a) Psychologists do not conduct a study involv- search participants prior to recording their voices or images ing deception unless they have determined that the use of for data collection unless (1) the research consists solely deceptive techniques is justified by the study’s significant of naturalistic observations in public places, and it is not prospective scientific, educational, or applied value and anticipated that the recording will be used in a manner that that effective nondeceptive alternative procedures are not could cause personal identification or harm, or (2) the re- feasible. search design includes deception, and consent for the use (b) Psychologists do not deceive prospective partic- of the recording is obtained during debriefing. (See also ipants about research that is reasonably expected to cause Standard 8.07, Deception in Research.) physical pain or severe emotional distress. (c) Psychologists explain any deception that is an 8.04 Client/Patient, Student, and Subordinate integral feature of the design and conduct of an experiment Research Participants to participants as early as is feasible, preferably at the con- (a) When psychologists conduct research with cli- clusion of their participation, but no later than at the con- ents/patients, students, or subordinates as participants, clusion of the data collection, and permit participants to psychologists take steps to protect the prospective par- withdraw their data. (See also Standard 8.08, Debriefing.) ticipants from adverse consequences of declining or with- drawing from participation. 8.08 Debriefing (b) When research participation is a course require- (a) Psychologists provide a prompt opportunity for ment or an opportunity for extra credit, the prospective participants to obtain appropriate information about the participant is given the choice of equitable alternative ac- nature, results, and conclusions of the research, and they tivities. take reasonable steps to correct any misconceptions that participants may have of which the psychologists are aware. Effective January 1, 2017 Standard 8.03–Standard 8.08 11  (b) If scientific or humane values justify delaying or cluding authorship credit, only for work they have actually withholding this information, psychologists take reason- performed or to which they have substantially contributed. able measures to reduce the risk of harm. (See also Standard 8.12b, Publication Credit.) (c) When psychologists become aware that research (b) Principal authorship and other publication procedures have harmed a participant, they take reasonable credits accurately reflect the relative scientific or profes- steps to minimize the harm. sional contributions of the individuals involved, regardless of their relative status. Mere possession of an institutional 8.09 Humane Care and Use of Animals in Research position, such as department chair, does not justify author- (a) Psychologists acquire, care for, use, and dispose ship credit. Minor contributions to the research or to the of animals in compliance with current federal, state, and lo- writing for publications are acknowledged appropriately, cal laws and regulations, and with professional standards. such as in footnotes or in an introductory statement. (b) Psychologists trained in research methods and (c) Except under exceptional circumstances, a stu- experienced in the care of laboratory animals supervise all dent is listed as principal author on any multiple-authored procedures involving animals and are responsible for en- article that is substantially based on the student’s doctoral suring appropriate consideration of their comfort, health, dissertation. Faculty advisors discuss publication credit and humane treatment. with students as early as feasible and throughout the re- (c) Psychologists ensure that all individuals under search and publication process as appropriate. (See also their supervision who are using animals have received Standard 8.12b, Publication Credit.) instruction in research methods and in the care, mainte- nance, and handling of the species being used, to the extent 8.13 Duplicate Publication of Data appropriate to their role. (See also Standard 2.05, Delega- Psychologists do not publish, as original data, data tion of Work to Others.) that have been previously published. This does not pre- (d) Psychologists make reasonable efforts to mini- clude republishing data when they are accompanied by mize the discomfort, infection, illness, and pain of animal proper acknowledgment. subjects. (e) Psychologists use a procedure subjecting ani- 8.14 Sharing Research Data for Verification mals to pain, stress, or privation only when an alternative (a) After research results are published, psycholo- procedure is unavailable and the goal is justified by its pro- gists do not withhold the data on which their conclusions spective scientific, educational, or applied value. are based from other competent professionals who seek to (f) Psychologists perform surgical procedures un- verify the substantive claims through reanalysis and who der appropriate anesthesia and follow techniques to avoid intend to use such data only for that purpose, provided that infection and minimize pain during and after surgery. the confidentiality of the participants can be protected and (g) When it is appropriate that an animal’s life be unless legal rights concerning proprietary data preclude terminated, psychologists proceed rapidly, with an effort their release. This does not preclude psychologists from re- to minimize pain and in accordance with accepted proce- quiring that such individuals or groups be responsible for dures. costs associated with the provision of such information. (b) Psychologists who request data from other psy- 8.10 Reporting Research Results chologists to verify the substantive claims through reanaly- (a) Psychologists do not fabricate data. (See also sis may use shared data only for the declared purpose. Re- Standard 5.01a, Avoidance of False or Deceptive State- questing psychologists obtain prior written agreement for ments.) all other uses of the data. (b) If psychologists discover significant errors in their published data, they take reasonable steps to correct 8.15 Reviewers such errors in a correction, retraction, erratum, or other ap- Psychologists who review material submitted for propriate publication means. presentation, publication, grant, or research proposal re- view respect the confidentiality of and the proprietary 8.11 Plagiarism rights in such information of those who submitted it. Psychologists do not present portions of another’s 9. Assessment work or data as their own, even if the other work or data source is cited occasionally. 9.01 Bases for Assessments (a) Psychologists base the opinions contained in 8.12 Publication Credit their recommendations, reports, and diagnostic or evalu- (a) Psychologists take responsibility and credit, in- ative statements, including forensic testimony, on informa- 12 Standard 8.09–Standard 9.01 Effective January 1, 2017 tion and techniques sufficient to substantiate their findings. capacity to consent or for whom testing is mandated by law (See also Standard 2.04, Bases for Scientific and Profes- or governmental regulations about the nature and purpose sional Judgments.) of the proposed assessment services, using language that is (b) Except as noted in 9.01c, psychologists provide reasonably understandable to the person being assessed. opinions of the psychological characteristics of individuals (c) Psychologists using the services of an inter- only after they have conducted an examination of the in- preter obtain informed consent from the client/patient to dividuals adequate to support their statements or conclu- use that interpreter, ensure that confidentiality of test re- sions. When, despite reasonable efforts, such an examina- sults and test security are maintained, and include in their tion is not practical, psychologists document the efforts recommendations, reports, and diagnostic or evaluative they made and the result of those efforts, clarify the prob- statements, including forensic testimony, discussion of any able impact of their limited information on the reliability limitations on the data obtained. (See also Standards 2.05, and validity of their opinions, and appropriately limit the Delegation of Work to Others; 4.01, Maintaining Confi- nature and extent of their conclusions or recommenda- dentiality; 9.01, Bases for Assessments; 9.06, Interpreting tions. (See also Standards 2.01, Boundaries of Compe- Assessment Results; and 9.07, Assessment by Unqualified tence, and 9.06, Interpreting Assessment Results.) Persons.) (c) When psychologists conduct a record review or provide consultation or supervision and an individual 9.04 Release of Test Data examination is not warranted or necessary for the opinion, (a) The term test data refers to raw and scaled scores, psychologists explain this and the sources of information on client/patient responses to test questions or stimuli, and which they based their conclusions and recommendations. psychologists’ notes and recordings concerning client/ patient statements and behavior during an examination. 9.02 Use of Assessments Those portions of test materials that include client/pa- (a) Psychologists administer, adapt, score, interpret, tient responses are included in the definition of test data. or use assessment techniques, interviews, tests, or instru- Pursuant to a client/patient release, psychologists provide ments in a manner and for purposes that are appropriate in test data to the client/patient or other persons identified light of the research on or evidence of the usefulness and in the release. Psychologists may refrain from releasing test proper application of the techniques. data to protect a client/patient or others from substantial (b) Psychologists use assessment instruments harm or misuse or misrepresentation of the data or the test, whose validity and reliability have been established for use recognizing that in many instances release of confidential with members of the population tested. When such valid- information under these circumstances is regulated by law. ity or reliability has not been established, psychologists (See also Standard 9.11, Maintaining Test Security.) describe the strengths and limitations of test results and (b) In the absence of a client/patient release, psy- interpretation. chologists provide test data only as required by law or court (c) Psychologists use assessment methods that are order. appropriate to an individual’s language preference and competence, unless the use of an alternative language is rel- 9.05 Test Construction evant to the assessment issues. Psychologists who develop tests and other assess- ment techniques use appropriate psychometric procedures 9.03 Informed Consent in Assessments and current scientific or professional knowledge for test de- (a) Psychologists obtain informed consent for as- sign, standardization, validation, reduction or elimination sessments, evaluations, or diagnostic services, as described of bias, and recommendations for use. in Standard 3.10, Informed Consent, except when (1) test- ing is mandated by law or governmental regulations; (2) 9.06 Interpreting Assessment Results informed consent is implied because testing is conducted When interpreting assessment results, including as a routine educational, institutional, or organizational automated interpretations, psychologists take into account activity (e.g., when participants voluntarily agree to assess- the purpose of the assessment as well as the various test ment when applying for a job); or (3) one purpose of the factors, test-taking abilities, and other characteristics of the testing is to evaluate decisional capacity. Informed consent person being assessed, such as situational, personal, linguis- includes an explanation of the nature and purpose of the tic, and cultural differences, that might affect psychologists’ assessment, fees, involvement of third parties, and limits of judgments or reduce the accuracy of their interpretations. confidentiality and sufficient opportunity for the client/pa- They indicate any significant limitations of their interpreta- tient to ask questions and receive answers. tions. (See also Standards 2.01b and c, Boundaries of Com- (b) Psychologists inform persons with questionable petence, and 3.01, Unfair Discrimination.) Effective January 1, 2017 Standard 9.02–Standard 9.06 13 9.07 Assessment by Unqualified Persons 10. Therapy Psychologists do not promote the use of psycholog- 10.01 Informed Consent to Therapy ical assessment techniques by unqualified persons, except when such use is conducted for training purposes with ap- (a) When obtaining informed consent to therapy propriate supervision. (See also Standard 2.05, Delegation as required in Standard 3.10, Informed Consent, psychol- of Work to Others.) ogists inform clients/patients as early as is feasible in the therapeutic relationship about the nature and anticipated 9.08 Obsolete Tests and Outdated Test Results course of therapy, fees, involvement of third parties, and limits of confidentiality and provide sufficient opportunity (a) Psychologists do not base their assessment or for the client/patient to ask questions and receive answers. intervention decisions or recommendations on data or test (See also Standards 4.02, Discussing the Limits of Confi- results that are outdated for the current purpose. dentiality, and 6.04, Fees and Financial Arrangements.) (b) Psychologists do not base such decisions or rec- (b) When obtaining informed consent for treat- ommendations on tests and measures that are obsolete and ment for which generally recognized techniques and proce- not useful for the current purpose. dures have not been established, psychologists inform their 9.09 Test Scoring and Interpretation Services clients/patients of the developing nature of the treatment, the potential risks involved, alternative treatments that may (a) Psychologists who offer assessment or scor- be available, and the voluntary nature of their participation. ing services to other professionals accurately describe the (See also Standards 2.01e, Boundaries of Competence, and purpose, norms, validity, reliability, and applications of 3.10, Informed Consent.) the procedures and any special qualifications applicable to (c) When the therapist is a trainee and the legal re- their use. sponsibility for the treatment provided resides with the su- (b) Psychologists select scoring and interpretation pervisor, the client/patient, as part of the informed consent services (including automated services) on the basis of evi- procedure, is informed that the therapist is in training and dence of the validity of the program and procedures as well is being supervised and is given the name of the supervisor. as on other appropriate considerations. (See also Standard 2.01b and c, Boundaries of Competence.) 10.02 Therapy Involving Couples or Families (c) Psychologists retain responsibility for the ap- (a) When psychologists agree to provide services to propriate application, interpretation, and use of assessment several persons who have a relationship (such as spouses, instruments, whether they score and interpret such tests significant others, or parents and children), they take rea- themselves or use automated or other services. sonable steps to clarify at the outset (1) which of the in- 9.10 Explaining Assessment Results dividuals are clients/patients and (2) the relationship the psychologist will have with each person. This clarification Regardless of whether the scoring and interpreta- includes the psychologist’s role and the probable uses of tion are done by psychologists, by employees or assistants, the services provided or the information obtained. (See or by automated or other outside services, psychologists also Standard 4.02, Discussing the Limits of Confidential- take reasonable steps to ensure that explanations of results ity.) are given to the individual or designated representative un- (b) If it becomes apparent that psychologists may less the nature of the relationship precludes provision of be called on to perform potentially conflicting roles (such an explanation of results (such as in some organizational as family therapist and then witness for one party in di- consulting, preemployment or security screenings, and fo- vorce proceedings), psychologists take reasonable steps to rensic evaluations), and this fact has been clearly explained clarify and modify, or withdraw from, roles appropriately. to the person being assessed in advance. (See also Standard 3.05c, Multiple Relationships.) 9.11 Maintaining Test Security 10.03 Group Therapy The term test materials refers to manuals, instru- When psychologists provide services to several per- ments, protocols, and test questions or stimuli and does sons in a group setting, they describe at the outset the roles not include test data as defined in Standard 9.04, Release of and responsibilities of all parties and the limits of confiden- Test Data. Psychologists make reasonable efforts to main- tiality. tain 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. 14 Standard 9.07–Standard 10.03 Effective January 1, 2017 10.04 Providing Therapy to Those Served by Others 10.09 Interruption of Therapy In deciding whether to offer or provide services to When entering into employment or contractual re- those already receiving mental health services elsewhere, lationships, psychologists make reasonable efforts to pro- psychologists carefully consider the treatment issues and vide for orderly and appropriate resolution of responsibil- the potential client’s/patient’s welfare. Psychologists dis- ity for client/patient care in the event that the employment cuss these issues with the client/patient or another legally or contractual relationship ends, with paramount consid- authorized person on behalf of the client/patient in order eration given to the welfare of the client/patient. (See also to minimize the risk of confusion and conflict, consult with Standard 3.12, Interruption of Psychological Services.) the other service providers when appropriate, and proceed with caution and sensitivity to the therapeutic issues. 10.10 Terminating Therapy (a) Psychologists terminate therapy when it be- 10.05 Sexual Intimacies with Current Therapy comes reasonably clear that the client/patient no longer Clients/Patients needs the service, is not likely to benefit, or is being harmed Psychologists do not engage in sexual intimacies by continued service. with current therapy clients/patients. (b) Psychologists may terminate therapy when threatened or otherwise endangered by the client/patient 10.06 Sexual Intimacies with Relatives or Significant or another person with whom the client/patient has a re- Others of Current Therapy Clients/Patients lationship. Psychologists do not engage in sexual intimacies (c) Except where precluded by the actions of cli- with individuals they know to be close relatives, guardians, ents/patients or third-party payors, prior to termination or significant others of current clients/patients. Psycholo- psychologists provide pretermination counseling and sug- gists do not terminate therapy to circumvent this standard. gest alternative service providers as appropriate. 10.07 Therapy with Former Sexual Partners Psychologists do not accept as therapy clients/pa- tients persons with whom they have engaged in sexual in- timacies. 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 ces- sation 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, dura- tion, 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 likeli- hood 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 Relation- ships.) Effective January 1, 2017 Standard 10.04–Standard 10.10 15  AMENDMENTS TO THE 2002 “ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND CODE OF CONDUCT” IN 2010 AND 2016 2010 Amendments 1.03 Conflicts Between Ethics and Organizational Demands Introduction and Applicability If the demands of an organization with which psy- If psychologists’ ethical responsibilities conflict chologists are affiliated or for whom they are working are with law, regulations, or other governing legal authority, in conflict with this Ethics Code, psychologists clarify the psychologists make known their commitment to this Eth- nature of the conflict, make known their commitment to ics Code and take steps to resolve the conflict in a respon- the Ethics Code, and to the extent feasible, resolve the con- sible manner. If the conflict is unresolvable via such means, flict in a way that permits adherence to the Ethics Code. psychologists may adhere to the requirements of the law, take reasonable steps to resolve the conflict consistent with regulations, or other governing authority in keeping with the General Principles and Ethical Standards of the Ethics basic principles of human rights. Code. Under no circumstances may this standard be used to justify or defend violating human rights. 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 clarify the nature of the conflict, make known their commitment to the Ethics Code, and take reasonable steps to resolve the conflict consistent with the General P