(1) Resolving Ethical Issues.
(a) 1.01 Misuse of Psychologists' Work.
If psychologists learn of misuse or misrepresentation of their
work, they take reasonable steps to correct or minimize the misuse or
misrepresentation.
(b) 1.02
Conflicts Between Ethics and Law, Regulations, or Other Governing Legal
Authority.
If psychologists' ethical responsibilities conflict with law,
regulations, or other governing legal authority, psychologists make known their
commitment to the Ethics Code and take steps to resolve the conflict. If the
conflict is unresolvable via such means, psychologists may adhere to the
requirements of the law, regulations, or other governing legal
authority.
(c) 1.03
Conflicts Between Ethics and Organizational Demands.
If the demands of an organization with which psychologists are
affiliated or for whom they are working conflict with this Ethics Code,
psychologists clarify the nature of the conflict, make known their commitment
to the Ethics Code, and to the extent feasible, resolve the conflict in a way
that permits adherence to the Ethics Code.
(d) 1.04 Informal Resolution of Ethical
Violations.
When psychologists believe that there may have been an ethical
violation by another psychologist, they attempt to resolve the issue by
bringing it to the attention of that individual, if an informal resolution
appears appropriate and the intervention does not violate any confidentiality
rights that may be involved. (See also Standards 1.02, Conflicts Between Ethics
and Law, Regulations, or Other Governing Legal Authority, and 1.03, Conflicts
Between Ethics and Organizational Demands.)
(e) 1.05 Reporting Ethical Violations.
If an apparent ethical violation has substantially harmed or is
likely to substantially harm a person or organization and is not appropriate
for informal resolution under Standard 1.04, Informal Resolution of Ethical
Violations, or is not resolved properly in that fashion, psychologists take
further action appropriate to the situation. Such action might include referral
to state or national committees on professional ethics, to state licensing
boards, or to the appropriate institutional authorities. This standard does not
apply when an intervention would violate confidentiality rights or when
psychologists have been retained to review the work ofanother psychologist
whose professional conduct is in question. (See also Standard 1.02, Conflicts
Between Ethics and Law, Regulations, or Other Governing Legal
Authority.)
(f) 1.06
Cooperating With Ethics Committees.
Psychologists cooperate in ethics investigations, proceedings,
and resulting requirements of the APA or any affiliated state psychological
association to which they belong. In doing so, they address any confidentiality
issues. Failure to cooperate is itself an ethics violation. However, making a
request for deferment of adjudication of an ethics complaint pending the
outcome of litigation does not alone constitute noncooperation.
(g) 1.07 Improper Complaints.
Psychologists do not file or encourage the filing of ethics
complaints that are made with reckless disregard for or willful ignorance of
facts that would disprove the allegation.
(h) 1.08 Unfair Discrimination Against
Complainants and Respondents.
Psychologists do not deny persons employment, advancement,
admissions to academic or other programs, tenure, or promotion, based solely
upon their having made or their being the subject of an ethics complaint. This
does not preclude taking action based upon the outcome of such proceedings or
considering other appropriate information.
(2) Competence.
(a) 2.01 Boundaries of Competence.
1. Psychologists provide services, teach, and
conduct research with populations and in areas only within the boundaries of
their competence, based on their education, training, supervised experience,
consultation, study, or professional experience.
2. Where scientific or professional knowledge
in the discipline of psychology establishes that an understanding of factors
associated with age, gender, gender identity, race, ethnicity, culture,
national origin, religion, sexual orientation, disability, language, or
socioeconomic status is essential for effective implementation of their
services or research, psychologists have or obtain the training, experience,
consultation, or supervision necessary to ensure the competence of their
services, or they make appropriate referrals, except as provided in Standard
2.02, Providing Services in Emergencies.
3. Psychologists planning to provide
services, teach, or conduct research involving populations, areas, techniques,
or technologies new to them undertake relevant education, training, supervised
experience, consultation, or study.
4. When psychologists are asked to provide
services to individuals for whom appropriate mental health services are not
available and for which psychologists have not obtained the competence
necessary, psychologists with closely related prior training or experience may
provide such services in order to ensure that services are not denied if they
make a reasonable effort to obtain the competence required by using relevant
research, training, consultation, or study.
5. In those emerging areas in which generally
recognized standards for preparatory training do not yet exist, psychologists
nevertheless take reasonablesteps to ensure the competence of their work and to
protect clients/patients, students, supervisees, research participants,
organizational clients, and others from harm.
6. When assuming forensic roles,
psychologists are or become reasonably familiar with the judicial or
administrative rules governing their roles.
(b) 2.02 Providing Services in Emergencies.
In emergencies, when psychologists provide services to
individuals for whom other mental health services are not available and for
which psychologists have not obtained the necessary training, psychologists may
provide such services in order to ensure that services are not denied. The
services are discontinued as soon as the emergency has ended or appropriate
services are available.
(c)
2.03 Maintaining Competence.
Psychologists undertake ongoing efforts to develop and maintain
their competence.
(d) 2.04
Bases for Scientific and Professional Judgments.
Psychologists' work is based upon established scientific and
professional knowledge of the discipline. (See also Standards 2.01e, Boundaries
of Competence, and 10.01b, Informed Consent to Therapy.)
(e) 2.05 Delegation of Work to Others.
Psychologists who delegate work to employees, supervisees, or
research or teaching assistants or who use the services of others, such as
interpreters, take reasonable steps to (1) avoid delegating such work to
persons who have a multiple relationship with those being served that would
likely lead to exploitation or loss of objectivity; (2) authorize only those
responsibilities that such persons can be expected to perform competently on
the basis of their education, training, or experience, either independently or
with the level of supervision being provided; and (3) see that such persons
perform these services competently. (See also Standards 2.02, Providing
Services in Emergencies; 3.05, Multiple Relationships; 4.01, Maintaining
Confidentiality; 9.01, Bases for Assessments; 9.02, Use of Assessments; 9.03,
Informed Consent in Assessments; and 9.07, Assessment by Unqualified Persons.)
are responsible for
(f)
2.06 Personal Problems and Conflicts.
1.
(a) Psychologists refrain from initiating an
activity when they know or should know that there is a substantial likelihood
that their personal problems will prevent them from performing their
work-related activities in a competent manner.
2.
(b) When
psychologists become aware of personal problems that may interfere with their
performing work-related duties adequately, they take appropriate measures, such
as obtaining professional consultation or assistance, and determine whether
they should limit, suspend, or terminate their work-related duties. (See also
Standard 10.10, Terminating Therapy.)
(3) Human Relations.
(a) 3.01 Unfair Discrimination.
In their work-related activities, psychologists do not engage
in unfair discrimination based on age, gender, gender identity, race,
ethnicity, culture, national origin, religion, sexual orientation, disability,
socioeconomic status, or any basis proscribed by law.
(b) 3.02 Sexual Harassment.
Psychologists do not engage in sexual harassment. Sexual
harassment is sexual solicitation, physical advances, or verbal or nonverbal
conduct that is sexual in nature, that occurs in connection with the
psychologist's activities or roles as a psychologist, and that either (1) is
unwelcome, is offensive, or creates a hostile workplace or educational
environment, and the psychologist knows or is told this or (2) is sufficiently
severe or intense to be abusive to a reasonable person in the context. Sexual
harassment can consist of a single intense or severe act or of multiple
persistent or pervasive acts. (See also Standard 1.08, Unfair Discrimination
Against Complainants and Respondents.)
(c) 3.03 Other Harassment.
Psychologists do not knowingly engage in behavior that is
harassing or demeaning to persons with whom they interact in their work based
on factors such as those persons' age, gender, gender identity, race,
ethnicity, culture, national origin, religion, sexual orientation, disability,
language, or socioeconomic status.
(d) 3.04 Avoiding Harm.
Psychologists take reasonable steps to avoid harming their
clients/patients, students, supervisees, research participants, organizational
clients, and others with whom they work, and to minimize harm where it is
foreseeable and unavoidable.
(e) 3.05 Multiple Relationships.
1.
(a) A
multiple relationship occurs when a psychologist is in a professional role with
a person and (1) at the same time is in another role with the same person, (2)
at the same time is in a relationship with a person closely associated with or
related to the person with whom the psychologist has the professional
relationship, or (3) promises to enter into another relationship in the future
with the person or a person closely associated with or related to the person.
A psychologist refrains from entering into a multiple
relationship if the multiple relationship could reasonably be expected to
impair the psychologist's objectivity, competence, or effectiveness in
performing his or her functions as a psychologist, or otherwise risks
exploitation or harm to the person with whom the professional relationship
exists.
Multiple relationships that would not reasonably be expected to
cause impairment or risk exploitation or harm are not unethical.
2.
(b) If a psychologist finds that, due to
unforeseen factors, a potentially harmful multiple relationship has arisen, the
psychologist takes reasonable steps to resolve it with due regard for the best
interests of the affected person and maximal compliance with the Ethics
Code.
3.
(c) When psychologists are required by law,
institutional policy, or extraordinary circumstances to serve in more than one
role in judicial or administrative proceedings, at the outset they clarify role
expectations and the extent of confidentiality and thereafter as changes occur.
(See also Standards 3.04, Avoiding Harm, and 3.07, Third-Party Requests for
Services.)
(f) 3.06 Conflict of Interest.
Psychologists refrain from taking on a professional role when
personal, scientific, professional, legal, financial, or other interests or
relationships could reasonably be expected to (1) impair their objectivity,
competence, or effectiveness in performing their functions as psychologists or
(2) expose the person or organization with whom the professional relationship
exists to harm or exploitation.
(g) 3.07 Third-Party Requests for Services.
When psychologists agree to provide services to a person or
entity at the request of a third party, psychologists attempt to clarify at the
outset of the service the nature of the relationship with all individuals or
organizations involved. This clarification includes the role of the
psychologist (e.g., therapist, consultant, diagnostician, or expert witness),
an identification of who is the client, the probable uses of the services
provided or the information obtained, and the fact that there may be limits to
confidentiality. (See also Standards 3.05, Multiple Relationships, and 4.02,
Discussing the Limits of Confidentiality.)
(h) 3.08 Exploitative Relationships.
Psychologists do not exploit persons over whom they have
supervisory, evaluative, or other authority such as clients/patients, students,
supervisees, research participants, and employees. (See also Standards 3.05,
Multiple Relationships; 6.04, Fees and Financial Arrangements; 6.05, Barter
With Clients/Patients; 7.07, Sexual Relationships With Students and
Supervisees; 10.05, Sexual Intimacies With Current Therapy Clients/Patients;
10.06, Sexual Intimacies With Relatives or Significant Others of Current
Therapy Clients/Patients; 10.07, Therapy With Former Sexual Partners; and
10.08, Sexual Intimacies With Former Therapy Clients/Patients.)
(i) 3.09 Cooperation With Other
Professionals.
When indicated and professionally appropriate, psychologists
cooperate with other professionals in order to serve their clients/patients
effectively and appropriately. (See also Standard 4.05, Disclosures.)
(j) 3.10 Informed Consent.
1. When psychologists conduct research or
provide assessment, therapy, counseling, or consulting services in person or
via electronic transmission or other forms of communication, they obtain the
informed consent of the individual or individuals using language that is
reasonably understandable to that person or persons except when conducting such
activities without consent is mandated by law or governmental regulation or as
otherwise provided in this Ethics Code. (See also Standards 8.02, Informed
Consent to Research; 9.03, Informed Consent in Assessments; and 10.01, Informed
Consent to Therapy.)
2. For persons
who are legally incapable of giving informed consent, psychologists
nevertheless (1) provide an appropriate explanation, (2) seek the individual's
assent, (3) consider such persons' preferences and best interests, and (4)
obtain appropriate permission from a legally authorized person, if such
substitute consent is permitted or required by law. When consent by a legally
authorized person is not permitted or required by law, psychologists take
reasonable steps to protect the individual's rights and welfare.
3.
(c) When
psychological services are court ordered or otherwise mandated, psychologists
inform the individual of the nature of the anticipated services, including
whether the services are court ordered or mandated and any limits of
confidentiality, before proceeding.
4.
(d)
Psychologists appropriately document written or oral consent, permission, and
assent. (See also Standards 8.02, Informed Consent to Research; 9.03, Informed
Consent in Assessments; and 10.01, Informed Consent to Therapy.)
(k) 3.11 Psychological
Services Delivered To or Through Organizations.
1.
(a)
Psychologists delivering services to or through organizations provide
information beforehand to clients and when appropriate those directly affected
by the services about (1) the nature and objectives of the services, (2) the
intended recipients, (3) which of the individuals are clients, (4) the
relationship the psychologist will have with each person and the organization,
(5) the probable uses of services provided and information obtained, (6) who
will have access to the information, and (7) limits of confidentiality. As soon
as feasible, they provide information about the results and conclusions of such
services to appropriate persons.
2.
(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.
(l) 3.12 Interruption of
Psychological Services.
Unless otherwise covered by contract, psychologists make
reasonable efforts to plan for facilitating services in the event that
psychological services are interrupted by factors such as the psychologist's
illness, death, unavailability, relocation, or retirement or by the
client's/patient's relocation or financial limitations. (See also Standard
6.02c, Maintenance, Dissemination, and Disposal of Confidential Records of
Professional and Scientific Work.)
(4) Privacy And Confidentiality.
(a) 4.01 Maintaining Confidentiality.
Psychologists have a primary obligation and take reasonable
precautions to protect confidential information obtained through or stored in
any medium, recognizing that the extent and limits of confidentiality may be
regulated by law or established by institutional rules or professional or
scientific relationship. (See also Standard 2.05, Delegation of Work to
Others.)
(b) 4.02
Discussing the Limits of Confidentiality.
1.
(a) Psychologists discuss with persons
(including, to the extent feasible, persons who are legally incapable of giving
informed consent and their legal representatives) and organizations with whom
they establish a scientific or professional relationship (1) the relevant
limits of confidentiality and (2) the foreseeable uses of the information
generated through their psychological activities. (See also Standard 3.10,
Informed Consent.)
2.
(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.
3.
(c) Psychologists who offer services,
products, or information via electronic transmission inform clients/patients of
the risks to privacy and limits of confidentiality.
(c) 4.03 Recording.
Before recording the voices or images of individuals to whom
they provide services, psychologists obtain permission from all such persons or
their legal representatives. (See also Standards 8.03, Informed Consent for
Recording Voices and Images in Research; 8.05, Dispensing With Informed Consent
for Research; and 8.07, Deception in Research.)
(d) 4.04 Minimizing Intrusions on Privacy.
1.
(a)
Psychologists include in written and oral reports and consultations, only
information germane to the purpose for which the communication is
made.
2.
(b) Psychologists discuss confidential
information obtained in their work only for appropriate scientific or
professional purposes and only with persons clearly concerned with such
matters.
(e)
4.05 Disclosures.
1.
(a) Psychologists may disclose confidential
information with the appropriate consent of the organizational client, the
individual client/patient, or another legally authorized person on behalf of
the client/patient unless prohibited by law.
2.
(b)
Psychologists disclose confidential information without the consent of the
individual only as mandated by law, or where permitted by law for a valid
purpose such as to (1) provide needed professional services; (2) obtain
appropriate professional consultations; (3) protect the client/patient,
psychologist, or others from harm; or (4) obtain payment for services from a
client/patient, in which instance disclosure is limited to the minimum that is
necessary to achieve the purpose. (See also Standard 6.04e, Fees and Financial
Arrangements.)
(f) 4.06 Consultations.
When consulting with colleagues, (1) psychologists do not
disclose confidential information that reasonably could lead to the
identification of a client/patient, research participant, or other person or
organization with whom they have a confidential relationship unless they have
obtained the prior consent of the person or organization or the disclosure
cannot be avoided, and (2) they disclose information only to the extent
necessary to achieve the purposes of the consultation. (See also Standard 4.01,
Maintaining Confidentiality.)
(g) 4.07 Use of Confidential Information for
Didactic or Other Purposes.
Psychologists do not disclose in their writings, lectures, or
other public media, confidential, personally identifiable information
concerning their clients/patients, students, research participants,
organizational clients, or other recipients of their services that they
obtained during the course of their work, unless (1) they take reasonable steps
to disguise the person or organization, (2) the person or organization has
consented in writing, or (3) there is legal authorization for doing so.
(5) Advertising and
Other Public Statements.
(a) 5.01 Avoidance
of False or Deceptive Statements.
1.
(a) Public statements include but are not
limited to paid or unpaid advertising, product endorsements, grant
applications, licensing applications, other credentialing applications,
brochures, printed matter, directory listings, personal resumes or curricula
vitae, or comments for use in media such as print or electronic transmission,
statements in legal proceedings, lectures and public oral presentations, and
published materials. Psychologists do not knowingly make public statements that
are false, deceptive, or fraudulent concerning their research, practice, or
other work activities or those of persons or organizations with which they are
affiliated.
2.
(b) Psychologists do not make false,
deceptive, or fraudulent statements concerning (1) their training, experience,
or competence; (2) their academic degrees; (3) their credentials; (4) their
institutional or association affiliations; (5) their services; (6) the
scientific or clinical basis for, or results or degree of success of, their
services; (7) their fees; or (8) their publications or research findings.
3.
(c) Psychologists claim degrees as
credentials for their health services only if those degrees (1) were earned
from a regionally accredited educational institution or (2) were the basis for
psychology licensure by the state in which they practice.
(b) 5.02
Statements by Others.
1.
(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.
2.
(b) Psychologists do not compensate employees
of press, radio, television, or other communication media in return for
publicity in a news item. (See also Standard 1.01, Misuse of Psychologists'
Work.)
3.
(c) A paid advertisement relating to
psychologists' activities must be identified or clearly recognizable as
such.
(c)
5.03 Descriptions of Workshops and Non-Degree-Granting Educational Programs.
To the degree to which they exercise control, psychologists
responsible for announcements, catalogs, brochures, or advertisements
describing workshops, seminars, or other non-degree-granting educational
programs ensure that they accurately describe the audience for which the
program is intended, the educational objectives, the presenters, and the fees
involved.
(d) 5.04 Media
Presentations.
When psychologists provide public advice or comment via print,
internet, or other electronic transmission, they take precautions to ensure
that statements (1) are based on their professional knowledge, training, or
experience in accord with appropriate psychological literature and practice;
(2) are otherwise consistent with this Ethics Code; and (3) do not indicate
that a professional relationship has been established with the recipient. (See
also Standard 2.04, Bases for Scientific and Professional Judgments.)
(e) 5.05 Testimonials.
Psychologists do not solicit testimonials from current therapy
clients/patients or other persons who because of their particular circumstances
are vulnerable to undue influence.
(f) 5.06 In-Person Solicitation.
Psychologists do not engage, directly or through agents, in
uninvited in-person solicitation of business from actual or potential therapy
clients/patients or other persons who because of their particular circumstances
are vulnerable to undue influence. However, this prohibition does not preclude
(1) attempting to implement appropriate collateral contacts for the purpose of
benefiting an already engaged therapy client/patient or (2) providing disaster
or community outreach services.
(6) Record Keeping and Fees.
(a) 6.01 Documentation of Professional and
Scientific Work and Maintenance of Records.
Psychologists create, and to the extent the records are under
their control, maintain, disseminate, store, retain, and dispose of records and
data relating to their professional and scientific work in order to (1)
facilitate provision of services later by them or by other professionals, (2)
allow for replication of research design and analyses, (3) meet institutional
requirements, (4) ensure accuracy of billing and payments, and (5) ensure
compliance with law. (See also Standard 4.01, Maintaining
Confidentiality.)
(b) 6.02
Maintenance, Dissemination, and Disposal of Confidential Records of
Professional and Scientific Work.
1.
(a) Psychologists maintain confidentiality in
creating, storing, accessing, transferring, and disposing of records under
their control, whether these are written, automated, or in any other medium.
(See also, Standards 4.01, Maintaining Confidentiality, and 6.01
Documentation of Professional and Scientific Work and Maintenance of
Records.)
2.
(b) If confidential information concerning
recipients of psychological services is entered into databases or systems of
records available to persons whose access has not been consented to by the
recipient, psychologists use coding or other techniques to avoid the inclusion
of personal identifiers.
3.
(c)
Psychologists make plans in advance to facilitate the appropriate transfer and
to protect the confidentiality of records and data in the event of
psychologists' withdrawal from positions or practice. (See also Standards 3.12,
Interruption of Psychological Services, and 10.09, Interruption of
Therapy.)
(c)
6.03 Withholding Records for Nonpayment.
Psychologists may not withhold records under their control that
are requested and needed for a client's/patient's emergency treatment solely
because payment has not been received.
(d) 6.04 Fees and Financial Arrangements.
1.
(a) As
early as is feasible in a professional or scientific relationship,
psychologists and recipients of psychological services reach an agreement
specifying compensation and billing arrangements.
2.
(b)
Psychologists' fee practices are consistent with law.
3.
(c)
Psychologists do not misrepresent their fees.
4.
(d) If
limitations to services can be anticipated because of limitations in financing,
this is discussed with the recipient of services as early as is feasible. (See
also Standards 10.09, Interruption of Therapy, and 10.10, Terminating
Therapy.)
5.
(e) If the recipient of services does not pay
for services as agreed, and if psychologists intend to use collection agencies
or legal measures to collect the fees, psychologists first inform the person
that such measures will be taken and provide that person an opportunity to make
prompt payment. (See also Standards 4.05, Disclosures; 6.03, Withholding
Records for Nonpayment; and 10.01, Informed Consent to Therapy.)
(e) 6.05 Barter With
Clients/Patients.
Barter is the acceptance of goods, services, or other
nonmonetary remuneration from clients/patients in return for psychological
services. Psychologists may barter only if (1) it is not clinically
contraindicated, and (2) the resulting arrangement is not exploitative. (See
also Standards 3.05, Multiple Relationships, and 6.04, Fees and Financial
Arrangements.)
(f) 6.06
Accuracy in Reports to Payers and Funding Sources.
In their reports to payers for services or sources of research
funding, psychologists take reasonable steps to ensure the accurate reporting
of the nature of the service provided or research conducted, the fees, charges,
or payments, and where applicable, the identity of the provider, the findings,
and the diagnosis. (See also Standards 4.01, Maintaining Confidentiality; 4.04,
Minimizing Intrusions on Privacy; and 4.05, Disclosures.)
(g) 6.07 Referrals and Fees.
When psychologists pay, receive payment from, or divide fees
with another professional, other than in an employer-employee relationship, the
payment to each is based on the services provided (clinical, consultative,
administrative, or other) and is not based on the referral itself. (See also
Standard 3.09, Cooperation With Other Professionals.)
(7) Education and Training.
(a) 7.01 Design of Education and Training
Programs.
Psychologists responsible for education and training programs
take reasonable steps to ensure that the programs are designed to provide the
appropriate knowledge and proper experiences, and to meet the requirements for
licensure, certification, or other goals for which claims are made by the
program. (See also Standard 5.03, Descriptions of Workshops and
Non-Degree-Granting Educational Programs.)
(b) 7.02 Descriptions of Education and
Training Programs.
Psychologists responsible for education and training programs
take reasonable steps to ensure that there is a current and accurate
description of the program content (including participation in required course-
or program-related counseling, psychotherapy, experiential groups, consulting
projects, or community service), training goals and objectives, stipends and
benefits, and requirements that must be met for satisfactory completion of the
program. This information must be made readily available to all interested
parties.
(c) 7.03 Accuracy
in Teaching.
1.
(a) Psychologists take reasonable steps to
ensure that course syllabi are accurate regarding the subject matter to be
covered, bases for evaluating progress, and the nature of course experiences.
This standard does not preclude an instructor from modifying course content or
requirements when the instructor considers it pedagogically necessary or
desirable, so long as students are made aware of these modifications in a
manner that enables them to fulfill course requirements. (See also Standard
5.01, Avoidance of False or Deceptive Statements.)
2.
(b) When
engaged in teaching or training, psychologists present psychological
information accurately. (See also Standard 2.03, Maintaining
Competence.)
(d) 7.04 Student
Disclosure of Personal Information.
Psychologists do not require students or supervisees to
disclose personal information in course- or program-related activities, either
orally or in writing, regarding sexual history, history of abuse and neglect,
psychological treatment, and relationships with parents, peers, and spouses or
significant others except if (1) the program or training facility has clearly
identified this requirement in its admissions and program materials or (2) the
information is necessary to evaluate or obtain assistance for students whose
personal problems could reasonably be judged to be preventing them from
performing their training- or professionally related activities in a competent
manner or posing a threat to the students or others.
(e) 7.05 Mandatory Individual or Group
Therapy.
1.
(a) When individual or group therapy is a
program or course requirement, psychologists responsible for that program allow
students in undergraduate and graduate programs the option of selecting such
therapy from practitioners unaffiliated with the program. (See also Standard
7.02, Descriptions of Education and Training Programs.)
2.
(b)
Faculty who are or are likely to be responsible for evaluating students'
academic performance do not themselves provide that therapy. (See also Standard
3.05, Multiple Relationships.)
(f) 7.06 Assessing Student and Supervisee
Performance.
1.
(a) In academic and supervisory
relationships, psychologists establish a timely and specific process for
providing feedback to students and supervisees. Information regarding the
process is provided to the student at the beginning of supervision.
2.
(b) Psychologists evaluate students and
supervisees on the basis of their actual performance on relevant and
established program requirements.
(g) 7.07 Sexual Relationships With Students
and Supervisees.
Psychologists do not engage in sexual relationships with
students or supervisees who are in their department, agency, or training center
or over whom psychologists have or are likely to have evaluative authority.
(See also Standard 3.05, Multiple Relationships.)
(8) Research and
Publication.
(a) 8.01 Institutional Approval.
When institutional approval is required, psychologists provide
accurate information about their research proposals and obtain approval prior
to conducting the research. They conduct the research in accordance with the
approved research protocol.
(b) 8.02 Informed Consent to Research.
1.
(a) When
obtaining informed consent as required in Standard 3.10, Informed Consent,
psychologists inform participants about (1) the purpose of the research,
expected duration, and procedures; (2) their right to decline to participate
and to withdraw from the research once participation has begun; (3) the
foreseeable consequences of declining or withdrawing; (4) reasonably
foreseeable factors that may be expected to influence their willingness to
participate such as potential risks, discomfort, or adverse effects; (5) any
prospective research benefits; (6) limits of confidentiality; (7) incentives
for participation; and (8) whom to contact for questions about the research and
research participants' rights. They provide opportunity for the prospective
participants to ask questions and receive answers. (See also Standards 8.03,
Informed Consent for Recording Voices and Images in Research; 8.05, Dispensing
With Informed Consent for Research; and 8.07, Deception in Research.)
2.
(b) Psychologists conducting intervention
research involving the use of experimental treatments clarify to participants
at the outset of the research (1) the experimental nature of the treatment; (2)
the services that will or will not be available to the control group(s) if
appropriate; (3) the means by which assignment to treatment and control groups
will be made; (4) available treatment alternatives if an individual does not
wish to participate in the research or wishes to withdraw once a study has
begun; and (5) compensation for or monetary costs of participating including,
if appropriate, whether reimbursement from the participant or a third-party
payer will be sought. (See also Standard 8.02a, Informed Consent to
Research.)
(c) 8.03 Informed Consent for Recording
Voices and Images in Research.
Psychologists obtain informed consent from research
participants prior to recording their voices or images for data collection
unless (1) the research consists solely of naturalistic observations in public
places, and it is not anticipated that the recording will be used in a manner
that could cause personal identification or harm, or (2) the research design
includes deception, and consent for the use of the recording is obtained during
debriefing. (See also Standard 8.07, Deception in Research.)
(d) 8.04 Client/Patient, Student, and
Subordinate Research Participants.
1.
(a) When psychologists conduct research with
clients/patients, students, or subordinates as participants, psychologists take
steps to protect the prospective participants from adverse consequences of
declining or withdrawing from participation.
2.
(b) When
research participation is a course requirement or an opportunity for extra
credit, the prospective participant is given the choice of equitable
alternative activities.
(e) 8.05 Dispensing With Informed Consent for
Research.
Psychologists may dispense with informed consent only (1) where
research would not reasonably be assumed to create distress or harm and
involves (a) the study of normal educational practices, curricula, or classroom
management methods conducted in educational settings; (b) only anonymous
questionnaires, naturalistic observations, or archival research for which
disclosure of responses would not place participants at risk of criminal or
civil liability or damage their financial standing, employability, or
reputation, and confidentiality is protected; or (c) the study of factors
related to job or organization effectiveness conducted in organizational
settings for which there is no risk to participants' employability, and
confidentiality is protected or (2) where otherwise permitted by law or federal
or institutional regulations.
(f) 8.06 Offering Inducements for Research
Participation.
1.
(a) Psychologists make reasonable efforts to
avoid offering excessive or inappropriate financial or other inducements for
research participation when such inducements are likely to coerce
participation.
2.
(b) When offering professional services as an
inducement for research participation, psychologists clarify the nature of the
services, as well as the risks, obligations, and limitations. (See also
Standard 6.05, Barter With Clients/Patients.)
(g) 8.07 Deception in Research.
1.
(a)
Psychologists do not conduct a study involving deception unless they have
determined that the use of deceptive techniques is justified by the study's
significant prospective scientific, educational, or applied value and that
effective nondeceptive alternative procedures are not feasible.
2.
(b) Psychologists do not deceive prospective
participants about research that is reasonably expected to cause physical pain
or severe emotional distress.
3.
(c)
Psychologists explain any deception that is an integral feature of the design
and conduct of an experiment to participants as early as is feasible,
preferably at the conclusion of their participation, but no later than at the
conclusion of the data collection, and permit participants to withdraw their
data. (See also Standard 8.08, Debriefing.)
(h) 8.08 Debriefing.
1.
(a)
Psychologists provide a prompt opportunity for participants to obtain
appropriate information about the nature, results, and conclusions of the
research, and they take reasonable steps to correct any misconceptions that
participants may have of which the psychologists are aware.
2.
(b) If scientific or humane values justify
delaying or withholding this information, psychologists take reasonable
measures to reduce the risk of harm.
3.
(c) When
psychologists become aware that research procedures have harmed a participant,
they take reasonable steps to minimize the harm.
(i) 8.09 Humane Care and Use of
Animals in Research.
1.
(a) Psychologists acquire, care for, use, and
dispose of animals in compliance with current federal, state, and local laws
and regulations, and with professional standards.
2.
(b)
Psychologists trained in research methods and experienced in the care of
laboratory animals supervise all procedures involving animals and are
responsible for ensuring appropriate consideration of their comfort, health,
and humane treatment.
3.
(c) Psychologists ensure that all individuals
under their supervision who are using animals have received instruction in
research methods and in the care, maintenance, and handling of the species
being used, to theextent appropriate to their role. (See also Standard 2.05,
Delegation of Work to Others.)
4.
(d)
Psychologists make reasonable efforts to minimize the discomfort, infection,
illness, and pain of animal subjects.
5.
(e)
Psychologists use a procedure subjecting animals to pain, stress, or privation
only when an alternative procedure is unavailable and the goal is justified by
its prospective scientific, educational, or applied value.
6.
(f)
Psychologists perform surgical procedures under appropriate anesthesia and
follow techniques to avoid infection and minimize pain during and after
surgery.
7.
(g) When it is appropriate that an animal's
life be terminated, psychologists proceed rapidly, with an effort to minimize
pain and in accordance with accepted procedures.
(j) 8.10 Reporting Research Results.
1.
(a)
Psychologists do not fabricate data. (See also Standard 5.01a, Avoidance of
False or Deceptive Statements.)
2.
(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.
(k) 8.11 Plagiarism.
Psychologists do not present portions of another's work or data
as their own, even if the other work or data source is cited
occasionally.
(l) 8.12
Publication Credit.
1.
(a) Psychologists take responsibility and
credit, including authorship credit, only for work they have actually performed
or to which they have substantially contributed. (See also Standard 8.12b,
Publication Credit.)
2.
(b) Principal authorship and other
publication credits accurately reflect the relative scientific or professional
contributions of the individuals involved, regardless of their relative status.
Mere possession of an institutional position, such as department chair, does
not justify authorship credit. Minor contributions to the research or to the
writing for publications are acknowledged appropriately, such as in footnotes
or in an introductory statement.
3.
(c)
Except under exceptional circumstances, a student is listed as principal author
on any multiple-authored article that is substantially based on the student's
doctoral dissertation. Faculty advisors discuss publication credit with
students as early as feasible and throughout the research and publication
process as appropriate. (See also Standard 8.12b, Publication
Credit.)
(m)
8.13 Duplicate Publication of Data.
Psychologists do not publish, as original data, data that have
been previously published. This does not preclude republishing data when they
are accompanied by proper acknowledgment.
(n) 8.14 Sharing Research Data for
Verification.
1.
(a) After research results are published,
psychologists do not withhold the data on which their conclusions are based
from other competent professionals who seek to verify the substantive claims
through reanalysis and who intend to use such data only for that purpose,
provided that the confidentiality of the participants can be protected and
unless legal rights concerning proprietary data preclude their release. This
does not preclude psychologists from requiring that such individuals or groups
be responsible for costs associated with the provision of such
information.
2.
(b) Psychologists who request data from other
psychologists to verify the substantive claims through reanalysis may use
shared data only for the declared purpose. Requesting psychologists obtain
prior written agreement for all other uses of the data.
(o) 8.15 Reviewers.
Psychologists who review material submitted for presentation,
publication, grant, or research proposal review respect the confidentiality of
and the proprietary rights in such information of those who submitted
it.
(9)
Assessment.
(a) 9.01 Bases for Assessments.
1.
(a)
Psychologists base the opinions contained in their recommendations, reports,
and diagnostic or evaluative statements, including forensic testimony, on
information and techniques sufficient to substantiate their findings. (See also
Standard 2.04, Bases for Scientific and Professional Judgments.)
2.
(b) Except as noted in 9.01c, psychologists
provide opinions of the psychological characteristics of individuals only after
they have conducted an examination of the individuals adequate to support their
statements or conclusions. When, despite reasonable efforts, such an
examination is not practical, psychologists document the efforts they made and
the result of those efforts, clarify the probable impact of their limited
information on the reliability and validity of their opinions, and
appropriately limit the nature and extent of their conclusions or
recommendations. (See also Standards 2.01, Boundaries of Competence, and 9.06,
Interpreting Assessment Results.)
3.
(c) When
psychologists conduct a record review or provide consultation or supervision
and an individual examination is not warranted or necessary for the opinion,
psychologists explain this and the sources of information on which they based
their conclusions and recommendations.
(b) 9.02 Use of Assessments.
1.
(a)
Psychologists administer, adapt, score, interpret, or use assessment
techniques, interviews, tests, or instruments in a manner and for purposes that
are appropriate in light of the research on or evidence of the usefulness and
proper application of the techniques.
2.
(b)
Psychologists use assessment instruments whose validity and reliability have
been established for use with members of the population tested. When such
validity or reliability has not been established, psychologists describe the
strengths and limitations of test results and interpretation.
3.
(c) Psychologists use assessment methods that
are appropriate to an individual's language preference and competence, unless
the use of an alternative language is relevant to the assessment
issues.
(c)
9.03 Informed Consent in Assessments.
1.
(a) Psychologists obtain informed consent for
assessments, evaluations, or diagnostic services, as described in Standard
3.10, Informed Consent, except when (1) testing is mandated by law or
governmental regulations; (2) informed consent is implied because testing is
conducted as a routine educational, institutional, or organizational activity
(e.g., when participants voluntarily agree to assessment when applying for a
job); or (3) one purpose of the testing is to evaluate decisional capacity.
Informed consent includes an explanation of the nature and purpose of the
assessment, fees, involvement of third parties, and limits of confidentiality
and sufficient opportunity for the client/patient to ask questions and receive
answers.
2.
(b) Psychologists inform persons with
questionable capacity to consent or for whom testing is mandated by law or
governmental regulations about the nature and purpose of the proposed
assessment services, using language that is reasonably understandable to the
person being assessed.
3.
(c)
Psychologists using the services of an interpreter obtain informed consent from
the client/patient to use that interpreter, ensure that confidentiality of test
results and test security are maintained, and include in their recommendations,
reports, and diagnostic or evaluative statements, including forensic testimony,
discussion of any limitations on the data obtained. (See also Standards 2.05,
Delegation of Work to Others; 4.01, Maintaining Confidentiality; 9.01, Bases
for Assessments; 9.06, Interpreting Assessment Results; and 9.07, Assessment by
Unqualified Persons.)
(d) 9.04 Release of Test Data.
1.
(a) The
term test data refers to raw and scaled scores, client/patient
responses to test questions or stimuli, and psychologists' notes and recordings
concerning client/patient statements and behavior during an examination. Those
portions of test materials that include client/patient responses are included
in the definition of test data. Pursuant to a client/patient
release, psychologists provide test data to the client/patient or other persons
identified in the release. Psychologists may refrain from releasing test data
to protect a client/patient or others from substantial harm or misuse or
misrepresentation of the data or the test, recognizing that in many instances
release of confidential information under these circumstances is regulated by
law. (See also Standard 9.11, Maintaining Test Security.)
2.
(b) In
the absence of a client/patient release, psychologists provide test data only
as required by law or court order.
(e) 9.05 Test Construction.
Psychologists who develop tests and other assessment techniques
use appropriate psychometric procedures and current scientific or professional
knowledge for test design, standardization, validation, reduction or
elimination of bias, and recommendations for use.
(f) 9.06 Interpreting Assessment Results.
When interpreting assessment results, including automated
interpretations, psychologists take into account the purpose of the assessment
as well as the various test factors, test-taking abilities, and other
characteristics of the person being assessed, such as situational, personal,
linguistic, and cultural differences, that might affect psychologists'
judgments or reduce the accuracy of their interpretations. They indicate any
significant limitations of their interpretations. (See also Standards 2.01b and
c, Boundaries of Competence, and 3.01, Unfair Discrimination.)
(g) 9.07 Assessment by Unqualified
Persons.
Psychologists do not promote the use of psychological
assessment techniques by unqualified persons, except when such use is conducted
for training purposes with appropriate supervision. (See also Standard 2.05,
Delegation of Work to Others.)
(h) 9.08 Obsolete Tests and Outdated Test
Results.
1.
(a) Psychologists do not base their
assessment or intervention decisions or recommendations on data or test results
that are outdated for the current purpose.
2.
(b)
Psychologists do not base such decisions or recommendations on tests and
measures that are obsolete and not useful for the current purpose.
(i) 9.09 Test Scoring
and Interpretation Services.
1.
(a) Psychologists who offer assessment or
scoring services to other professionals accurately describe the purpose, norms,
validity, reliability, and applications of the procedures and any special
qualifications applicable to their use.
2.
(b)
Psychologists select scoring and interpretation services (including automated
services) on the basis of evidence of the validity of the program and
procedures as well as on other appropriate considerations. (See also Standard
2.01b and c, Boundaries of Competence.)
3.
(c)
Psychologists retain responsibility for the appropriate application,
interpretation, and use of assessment instruments, whether they score and
interpret such tests themselves or use automated or other services.
(j) 9.10 Explaining
Assessment Results.
Regardless of whether the scoring and interpretation are done
by psychologists, by employees or assistants, or by automated or other outside
services, psychologists take reasonable steps to ensure that explanations of
results are given to the individual or designated representative unless the
nature of the relationship precludes provision of an explanation of results
(such as in some organizational consulting, preemployment or security
screenings, and forensic evaluations), and this fact has been clearly explained
to the person being assessed in advance.
(k) 9.11. Maintaining Test Security.
The term test materials refers to manuals,
instruments, protocols, and test questions or stimuli and does not include
test data as defined in Standard 9.04, Release of Test Data.
Psychologists make reasonable efforts to maintain the integrity and security of
test materials and other assessment techniques consistent with law and
contractual obligations, and in a manner that permits adherence to this Ethics
Code.
(10)
Therapy.
(a) 10.01 Informed Consent to
Therapy.
1.
(a) When obtaining informed consent to
therapy as required in Standard 3.10, Informed Consent, psychologists inform
clients/patients as early as is feasible in the therapeutic relationship about
the nature and anticipated course of therapy, fees, involvement of third
parties, and limits of confidentiality and provide sufficient opportunity for
the client/patient to ask questions and receive answers. (See also Standards
4.02, Discussing the Limits of Confidentiality, and 6.04, Fees and Financial
Arrangements.)
2.
(b) When obtaining informed consent for
treatment for which generally recognized techniques and procedures have not
been established, psychologists inform their clients/patients of the developing
nature of the treatment, the potential risks involved, alternative treatments
that may be available, and the voluntary nature of their participation. (See
also Standards 2.01e, Boundaries of Competence, and 3.10, Informed Consent.)
3.
(c) When the therapist is a trainee and the
legal responsibility for the treatment provided resides with the supervisor,
the client/patient, as part of the informed consent procedure, is informed that
the therapist is in training and is being supervised and is given the name of
the supervisor.
(b) 10.02 Therapy Involving Couples or
Families.
1.
(a) When psychologists agree to provide
services to several persons who have a relationship (such as spouses,
significant others, or parents and children), they take reasonable steps to
clarify at the outset (1) which of the individuals are clients/patients and (2)
the relationship the psychologist will have with each person. This
clarification includes the psychologist's role and the probable uses of the
services provided or the information obtained. (See also Standard 4.02,
Discussing the Limits of Confidentiality.)
2.
(b) If
it becomes apparent that psychologists may be called on to perform potentially
conflicting roles (such as family therapist and then witness for one party in
divorce proceedings), psychologists take reasonable steps to clarify and
modify, or withdraw from, roles appropriately. (See also Standard 3.05c,
Multiple Relationships.)
(c) 10.03 Group Therapy.
When psychologists provide services to several persons in a
group setting, they describe at the outset the roles and responsibilities of
all parties and the limits of confidentiality.
(d) 10.04 Providing Therapy to Those Served
by Others.
In deciding whether to offer or provide services to those
already receiving mental health services elsewhere, psychologists carefully
consider the treatment issues and the potential client's/patient's welfare.
Psychologists discuss these issues with the client/patient or another legally
authorized person on behalf of the client/patient in order to minimize the risk
of confusion and conflict, consult with the other service providers when
appropriate, and proceed with caution and sensitivity to the therapeutic
issues.
(e) 10.05 Sexual
Intimacies With Current Therapy Clients/Patients.
Psychologists do not engage in sexual intimacies with current
therapy clients/patients.
(f) 0.06 Sexual Intimacies With Relatives or
Significant Others of Current Therapy Clients/Patients.
Psychologists do not engage in sexual intimacies with
individuals they know to be close relatives, guardians, or significant others
of current clients/patients.
(g) 10.07 Therapy With Former Sexual
Partners.
Psychologists do not accept as therapy clients/patients persons
with whom they have engaged in sexual intimacies.
(h) 10.08 Sexual Intimacies With Former
Therapy Clients/Patients.
1.
(a) Psychologists do not engage in sexual
intimacies with former clients/patients for at least two years after cessation
or termination of therapy.
2.
(b)
Psychologists do not engage in sexual intimacies with former clients/patients
even after a two-year interval except in the most unusual circumstances.
Psychologists who engage in such activity after the two years following
cessation or termination of therapy and of having no sexual contact with the
former client/patient bear the burden of demonstrating that there has been no
exploitation, in light of all relevant factors, including (1) the amount of
time that has passed since therapy terminated; (2) the nature, duration, and
intensity of the therapy; (3) the circumstances of termination; (4) the
client's/patient's personal history; (5) the client's/patient's current mental
status; (6) the likelihood of adverse impact on the client/patient; and (7) any
statements or actions made by the therapist during the course of therapy
suggesting or inviting the possibility of a posttermination sexual or romantic
relationship with the client/patient. (See also Standard 3.05, Multiple
Relationships.)
(i) 10.09 Interruption of Therapy.
When entering into employment or contractual relationships,
psychologists make reasonable efforts to provide for orderly and appropriate
resolution of responsibility for client/patient care in the event that the
employment or contractual relationship ends, with paramount consideration given
to the welfare of the client/patient. (See also Standard 3.12, Interruption of
Psychological Services.)
(j) 10.10 Terminating Therapy.
1.
(a)
Psychologists terminate therapy when it becomes reasonably clear that the
client/patient no longer needs the service, is not likely to benefit, or is
being harmed by continued service.
2.
(b)
Psychologists may terminate therapy when threatened or otherwise endangered by
the client/patient or another person with whom the client/patient has a
relationship.
3.
(c) Except where precluded by the actions of
clients/patients or third-party payers, prior to termination psychologists
provide pretermination counseling and suggest alternative service providers as
appropriate.1
1History and Effective Date
Footnote
This version of the APA Ethics Code was adopted by the American
Psychological Association's Council of Representatives during its meeting,
August 21, 2002, and is effective beginning June 1,
2003.
O.C.G.A Secs.
43-1-19, 43-1-25, 43-39-5, 43-39-6, 43-39-13.
