Ethics Code: Standards on Assessment (9.01–9.11)

9.01 Bases for Assessments

9.01a: Opinions in recommendations, reports, diagnostic/evaluative statements (including forensic testimony) must be based on information and techniques sufficient to substantiate findings (see also Standard 2.04).
9.01b: Unless 9.01c applies, provide opinions of psychological characteristics only after an adequate examination. If examination is impractical, document efforts, clarify impact of limited information on reliability/validity, and appropriately limit conclusions.
9.01c: When record review or consultation/supervision is used without a warranted individual examination, explain this and the information sources used for conclusions/recommendations.

9.02 Use of Assessments

9.02a: Administer, adapt, score, interpret assessment techniques in a manner appropriate to the research/evidence basis of the techniques.
- Modifications for individuals with disabilities: may depart from standard administration if justified by research; accommodations not appropriate if disability relates to the ability/tests measure; document modifications and interpretation limitations.
- Presence of third parties: in rare cases, include third parties to control behavior; choose instruments least susceptible to distortion; discuss limitations in the written report.
- Trainees/interpreters as third parties: select evidence-based procedures; ensure adequate training; report limitations due to third parties.
9.02b: Use instruments whose validity/reliability are established for the tested population. If not established, describe strengths/limitations of results and interpretation.
- Be familiar with standardization samples and validity/reliability; know relevant nondiscrimination laws (e.g., IDEA, 34 CFR 300.30[c][1][i]).
- Culture-free tests: nonverbal tests can be culturally biased; interpret results cautiously.
9.02c: Use assessment methods appropriate to the individual's language preference/competence unless language difference is relevant to assessment issues.
- When language proficiency is essential (e.g., job performance, school placement), tests may be used in the language required to meet assessment goals.

9.03 Informed Consent in Assessments

9.03a: Obtain informed consent for assessments unless testing is mandated by law, conducted as routine educational/institutional/organizational activity, or when one purpose is to evaluate decisional capacity. Informed consent includes explanation of nature/purpose, fees, third-party involvement, confidentiality limits, and opportunity to ask questions.
Core elements include: nature of the assessment, purpose, fees, third-party statements, and confidentiality.
HIPAA implications: use HIPAA Notice of Privacy Practices; use HIPAA-compliant authorization forms for PHI release and Accounting of Disclosures.
Dispensing with informed consent: may be waived for routine educational/organizational activity or when mandated by law; or when the testing aims to determine the capacity to give consent.
9.03b: For persons with questionable capacity or when testing is mandated by law, inform about the nature/purpose in language understandable to the person.
9.03c: If interpreters are used, obtain consent to use the interpreter; maintain confidentiality; discuss any limitations on data in reports.

9.04 Release of Test Data

9.04a: Test data include raw/scaled scores, responses, and psychologist notes/recordings of examination. Release to the client/patient or others named in the release. May refrain from release to protect from substantial harm or misrepresentation; some releases may be regulated by law.
Definition: test data exclude test manuals, protocols, or items unless they include client responses/scores or contemporaneous notes on testing behavior.
Affirmative duty to provide test data to the client/patient or others in a release; exceptions apply if release could cause substantial harm or misuse.
HIPAA implications: release decisions may be influenced by PHI considerations. If test data cannot be separated from test materials protected by copyright, withholding may be consistent with HIPAA and Standard 9.04a.
9.04b: In the absence of a client/patient release, provide test data only as required by law or court order.
Organizations, courts, and government agencies: you are not required to provide test data to examinees when the examinee is not the client.
HIPAA vs. copyright: test materials may remain protected; withhold release accordingly.

9.05 Test Construction

9.05: Develop tests using appropriate psychometric procedures and current knowledge for design, standardization, validation, reduction/elimination of bias, and use recommendations.
Psychometric procedures include validity, reliability, standardization, bias reduction.
Recommendations for use should provide adequate guidance for standardized administration and scoring/interpreting criteria; validity reports should reflect sound validation research.
Test revisions: amend/revise tests when new data or changes affect validity; document substantial modifications.

9.06 Interpreting Assessment Results

When interpreting results, consider the purpose and factors influencing accuracy (test factors, test-taking abilities, situational/personal/linguistic/cultural differences).
Indicate significant limitations of interpretations; distinguish empirical evidence from professional judgment.
Resist bias from vested interests (e.g., parents, attorneys) and avoid pressure to interpret in a particular way.
Be cautious with automated interpretations; indicate limitations of automated/externally produced interpretations.

9.07 Assessment by Unqualified Persons

Do not promote use of psychological assessment techniques by unqualified persons, except for training with appropriate supervision.
Trainees: supervision allowed if the trainee is qualified (enrolled in a graduate/postgraduate program, externship, or internship) and supervision aligns with their training level.

9.08 Obsolete Tests and Outdated Test Results

9.08a: Do not base decisions or recommendations on data/tests that are outdated for the current purpose.
9.08b: Do not base decisions on tests that are obsolete/unusable for current purpose; the cost of updating is not justification if validity is compromised.
Obsolete versions may be used when there is a valid purpose (e.g., comparing past and current performance).

9.09 Test Scoring and Interpretation Services

9.09a: Providers of scoring/interpretation services must accurately describe purpose, norms, validity, reliability, applications, and any special qualifications.
9.09b: Select scoring/interpretation services based on evidence of validity and other appropriate considerations; consider Boundaries of Competence.
HIPAA implications: if PHI is involved, release/record practices require a Notice of Privacy Practices or valid authorization.
9.09c: Psychologists retain responsibility for appropriate application, interpretation, and use of instruments, regardless of who scores or interprets; avoid oversimplified interpretations that could mislead decisions or triers of fact.

9.10 Explaining Assessment Results

Psychologists must take reasonable steps to ensure explanations of results are provided to the individual or designated representative, unless precluded by the nature of the relationship (e.g., some organizational, preemployment, security screenings, forensic contexts) and this fact has been clearly explained in advance.
The responsibility to explain lies with the psychologist; exceptions apply in specified contexts.

9.11 Maintaining Test Security

Psychologists must maintain the integrity and security of test materials and other assessment techniques, in compliance with law and contractual obligations.
Test materials are defined as manuals, instruments, protocols, and test questions/stimuli; test data are separate.
Keep test materials separated from PHI in health records to avoid inclusion in HIPAA-designated record sets.
Laws governing release of records: HIPAA, FERPA for school records, and copyright considerations for test materials.
If PHI cannot be separated from copyrighted test materials, withholding release aligns with HIPAA and Standard 9.04a.