APA Ethics Code — Summary Notes (Ethical Principles of Psychologists and Code of Conduct)

APA Ethics Code — Summary Notes

Introduction and Applicability

• The Ethics Code of the American Psychological Association (APA) consists of an Introduction, a Preamble, five General Principles (A–E), and specific Ethical Standards.

• Purpose: provide guidance for psychologists and establish standards of professional conduct used by APA, and by other bodies that adopt them. It is not a basis for civil liability, and violations do not by themselves determine legal liability.

• Modifiers (e.g., reasonably, appropriate, potentially) are included to: (a) allow professional judgment, (b) prevent injustice or inequality, (c) ensure applicability across activities, (d) guard against rigid, outdated rules.

• Reasonable: the prevailing professional judgment of psychologists in similar activities under similar circumstances.

• History: APA Council of Representatives adopted this version on Aug 21, 2002; effective Jun 1, 2003; 2010 amendments adopted Feb 20, 2010; amendments effective Jun 1, 2010.

• The Ethics Code covers psychologists’ professional activities (clinical, counseling, school practice, research, teaching, supervision, public service, policy development, social intervention, instrument development, forensic work, program design/evaluation, administration) across in-person, postal, telephone, Internet, and other electronic contexts. Purely private conduct is outside the Code.

• Membership in APA commits members and student affiliates to comply with the Ethics Code and enforcement procedures; lack of awareness is not a defense.

• Complaints are governed by the current Rules and Procedures of the APA Ethics Committee. Sanctions may be imposed by APA and by other bodies (state associations, psychology boards, payors, etc.).

• The Code applies to conduct on or after the effective date; complaints about conduct before that date may be governed by earlier standards.

• Inquiries about interpretation: Director, Office of Ethics, APA; information also on the APA website (http://www.apa.org/ethics).

• Introductory and Applicability notes also emphasize that when ethics conflicts with law/regulations, psychologists should resolve conflicts in keeping with the Code, and if unresolved, comply with law while upholding human rights.

Preamble

• Psychologists are committed to increasing scientific and professional knowledge of behavior and to using that knowledge to improve individuals, organizations, and society.

• They respect civil and human rights and value freedom of inquiry and expression in research, teaching, and publication.

• Roles of psychologists include researcher, educator, diagnostician, therapist, supervisor, consultant, administrator, social interventionist, and expert witness.

• The Code provides a common set of principles and standards for professional and scientific work and aims to protect welfare and educate the public about ethical standards.

• Developing and maintaining ethical conduct is a lifelong commitment that includes consulting with others about problems and encouraging ethical behavior by students, supervisees, employees, and colleagues.

General Principles (A–E)

• These are aspirational and not enforceable rules; they guide toward the highest ethical ideals and do not by themselves establish obligations or sanctions.

• Principle A: Beneficence and Nonmaleficence

  • Strive to benefit those with whom they work and do no harm.

  • Safeguard welfare and rights of those interacted with professionally and animal welfare in research.

  • Resolve conflicts among obligations to minimize harm; guard against misuse of influence due to personal, financial, social, organizational, or political factors.

  • Be aware of how personal health can affect professional effectiveness.

• Principle B: Fidelity and Responsibility

  • Establish relationships of trust; uphold professional standards; clarify roles and obligations.

  • Seek to manage conflicts of interest to avoid exploitation or harm.

  • Consult with, refer to, or cooperate with other professionals as needed to serve best interests.

  • Contribute part of professional time for little or no compensation where appropriate.

• Principle C: Integrity

  • Promote accuracy, honesty, and truthfulness in science, teaching, and practice.

  • Avoid fraud, deception, misrepresentation; keep promises; avoid unclear commitments.

  • In justified deception to maximize benefits/minimize harm, consider consequences and correct mistrust or harm arising from deceptive techniques.

• Principle D: Justice

  • Ensure fairness and equitable access to psychology’s benefits and services; equal quality in processes and procedures.

  • Exercise judgment to minimize biases; consider broader ethical and legal contexts; where higher ethical standards apply, meet them.

  • When ethics conflict with law or other authority, uphold human rights and seek to resolve conflicts responsibly.

• Principle E: Respect for People’s Rights and Dignity

  • Respect dignity, privacy, confidentiality, and self-determination; protect vulnerable individuals/communities.

  • Acknowledge and respect cultural, individual, and role differences (age, gender, race, ethnicity, culture, religion, sexual orientation, disability, language, socioeconomic status) and guard against bias; avoid participating in or condoning prejudices.

Ethical Standards (1–10)

• Standards are enforceable rules; they are applied across contexts but may be interpreted differently depending on setting.

• Standards 1–10 cover specific domains and procedures as follows:

1. Resolving Ethical Issues

• 1.01 Misuse of Psychologists’ Work

  • If misuse or misrepresentation of work is learned, take reasonable steps to correct or minimize it.

• 1.02 Conflicts Between Ethics and Law, Regulations, or Other Governing Legal Authority

  • When ethical responsibilities conflict with law/regulations, clarify the conflict and attempt to resolve consistent with General Principles and Standards; under no circumstances may this justify violating human rights.

• 1.03 Conflicts Between Ethics and Organizational Demands

  • When organizational demands conflict with the Code, clarify the conflict and attempt to resolve it consistent with the Code; do not justify violating human rights.

• 1.04 Informal Resolution of Ethical Violations

  • If possible, address potential ethical violations through informal means with the other psychologist (and consider confidentiality).

• 1.05 Reporting Ethical Violations

  • If an apparent violation has substantially harmed or is likely to harm and informal resolution failed or is inappropriate, take further action (e.g., refer to ethics committees or licensing boards); confidentiality rules apply.

• 1.06 Cooperating With Ethics Committees

  • Cooperate with ethics investigations; address confidentiality; failure to cooperate is itself a violation.

• 1.07 Improper Complaints

  • Do not file complaints with reckless disregard for facts that would disprove the allegation.

• 1.08 Unfair Discrimination Against Complainants and Respondents

  • Do not retaliate in employment, admissions, promotions, etc., based solely on making or being subjects of ethics complaints; outcomes may be considered.

2. Competence

• 2.01 Boundaries of Competence

  • Provide services, teaching, and research only within competence boundaries based on education, training, supervised experience, consultation, study, or experience.

• 2.02 Providing Services in Emergencies

  • In emergencies, you can provide services to those without access to other services, if not sufficiently trained; discontinue when the emergency ends or appropriate services are available.

• 2.03 Maintaining Competence

  • Engage in ongoing efforts to develop and sustain competence.

• 2.04 Bases for Scientific and Professional Judgments

  • Groundwork in established scientific and professional knowledge.

• 2.05 Delegation of Work to Others

  • When delegating, specify client identity, uses of services, and limits of confidentiality; ensure those to whom tasks are delegated perform competently (and avoid exploiting relationships).

• 2.06 Personal Problems and Conflicts

  • Do not commence work if personal problems are likely to impair performance; seek consultation or limit duties as needed.

3. Human Relations

• 3.01 Unfair Discrimination

  • Do not discriminate in work-related activities based on age, gender, gender identity, race, ethnicity, culture, national origin, religion, sexual orientation, disability, or socioeconomic status.

• 3.02 Sexual Harassment

  • No sexual solicitation, advances, or sexual conduct related to professional activities that are unwelcome or harmful.

• 3.03 Other Harassment

  • Do not engage in harassment or demeaning behavior based on age, gender, race, ethnicity, culture, etc.

• 3.04 Avoiding Harm

  • Take steps to avoid harm and minimize foreseeable harm to clients, students, supervisees, participants, organizational clients, etc.

• 3.05 Multiple Relationships

  • A multiple relationship involves multiple roles with the same person, or relationships with closely related persons, or promising future relationships; avoid if it impairs objectivity/competence or risks exploitation/harm; some non-impairing multiple relationships may be permissible.

  • If unforeseen, take steps to resolve in best interests of the person and overall compliance.

  • In judicial/administrative proceedings, clarify role expectations and confidentiality from the outset and adjust as needed.

• 3.06 Conflict of Interest

  • Refrain from taking on roles where personal/professional/financial interests could impair objectivity or harm others.

• 3.07 Third-Party Requests for Services

  • When following third-party requests, clarify at the outset the nature of the relationship and each party’s role.

• 3.08 Exploitative Relationships

  • Do not exploit individuals under supervision, evaluation, or other authority (clients, students, participants, employees).

• 3.09 Cooperation With Other Professionals

  • Cooperate with other professionals when indicated and appropriate to serve clients effectively; consider confidentiality.

• 3.10 Informed Consent

  • Obtain informed consent when conducting research or providing services (in person or via electronic means) in accessible, understandable language; exceptions apply when required by law or code; document consent.

• 3.11 Psychological Services Delivered to or Through Organizations

  • Provide information about nature, objectives, recipients, roles, confidentiality, and uses of services to clients and affected parties; share results when feasible.

• 3.12 Interruption of Psychological Services

  • Plan for service interruption due to illness, relocation, retirement, etc., and ensure feasible continuity or transfer of care.

4. Privacy and Confidentiality

• 4.01 Maintaining Confidentiality

  • Protect confidential information; take reasonable precautions; confidentiality scope may be set by law or institutional rules.

• 4.02 Discussing the Limits of Confidentiality

  • Discuss limits and foreseeable uses of information with clients/organizations at the outset and as new circumstances emerge.

• 4.03 Recording

  • Obtain permission before recording; exceptions apply when appropriate (e.g., public observations, deception in research may modify consent requirements).

• 4.04 Minimizing Intrusions on Privacy

  • Report only information germane to the purpose; discuss confidential information only with those who need to know.

• 4.05 Disclosures

  • May disclose confidential information with consent or as mandated by law for purposes like clinical service, consultation, protection from harm, or payment; disclosures should be minimized.

• 4.06 Consultations

  • In consultations, avoid identifying information unless consent is obtained; disclose only to the extent necessary.

• 4.07 Use of Confidential Information for Didactic or Other Purposes

  • Do not disclose confidential information in writings, lectures, or public media without proper protection of identities.

5. Advertising and Other Public Statements

• 5.01 Avoidance of False or Deceptive Statements

  • Public statements must be accurate, truthful, and not misrepresent training, experience, competence, degrees, credentials, affiliations, services, or research results; do not misrepresent fees.

• 5.02 Statements by Others

  • If others create statements promoting practice, psychologists retain responsibility for those statements and should not pay media for publicity; paid ads must be clearly identifiable.

• 5.03 Descriptions of Workshops and Non-Degree-Granting Programs

  • Ensure descriptions accurately reflect audience, objectives, presenters, and fees.

• 5.04 Media Presentations

  • Ensure public statements are based on professional knowledge and do not imply a therapeutic relationship.

• 5.05 Testimonials

  • Do not solicit testimonials from current therapy clients or other vulnerable individuals.

• 5.06 In-Person Solicitation

  • Refrain from uninvited in-person solicitation of therapy clients or vulnerable individuals; exceptions may include collateral contacts for an engaged client or disaster/community outreach.

6. Record Keeping and Fees

• 6.01 Documentation and Records

  • Create and maintain records to facilitate future care, replication, institutional requirements, accurate billing, and legal compliance.

• 6.02 Confidential Records

  • Maintain confidentiality in all records; use coding to avoid personal identifiers in centralized databases unless consent or legal authorization allows otherwise.

• 6.03 Withholding Records for Nonpayment

  • Withholding records for nonpayment is not permissible when records are needed for emergency treatment.

• 6.04 Fees and Financial Arrangements

  • Set compensation and billing arrangements early; comply with the law; do not misrepresent fees; discuss financing limitations early.

• 6.05 Barter With Clients/Patients

  • Barter allowed only if not clinically contraindicated and not exploitative.

• 6.06 Accuracy in Reports to Payors and Funding Sources

  • Ensure accuracy about services rendered, charges, payments, provider identity, findings, diagnoses where applicable.

• 6.07 Referrals and Fees

  • When paying/receiving fees with another professional, ensure arrangements are appropriate and not a disguised referral; follow applicable standards (avoid improper inducements).

7. Education and Training

• 7.01 Design of Education and Training Programs

  • Design programs to provide necessary knowledge and experiences and help meet licensure/certification goals.

• 7.02 Descriptions of Education and Training Programs

  • Provide current, accurate descriptions of content, goals, stipends/benefits, and completion requirements; make information readily available.

• 7.03 Accuracy in Teaching

  • Ensure syllabi accuracy regarding subject matter, evaluation bases, and course experiences; allow pedagogical adjustments with student notification; present information accurately.

• 7.04 Student Disclosure of Personal Information

  • Do not require students to disclose personal information unless clearly identified as a program requirement or necessary for safety/assessment.

• 7.05 Mandatory Individual or Group Therapy

  • If therapy is a program requirement, offer options with clinicians external to the program; faculty should not evaluate students in therapy.

• 7.06 Assessing Student and Supervisee Performance

  • Provide timely, specific feedback; evaluate based on established requirements.

• 7.07 Sexual Relationships With Students and Supervisees

  • No sexual relationships with students or supervisees under evaluative authority.

8. Research and Publication

• 8.01 Institutional Approval

  • Obtain required institutional approval; conduct research per approved protocol.

• 8.02 Informed Consent to Research

  • Obtain informed consent detailing purpose, duration, procedures, right to decline/withdraw, risks, benefits, confidentiality limits, incentives, and contacts; provide opportunity for questions.

• 8.03 Informed Consent for Recording Voices and Images in Research

  • Obtain consent for recording unless naturalistic public observation with no identifying use; deception cases require consent during debriefing.

• 8.04 Client/Patient, Student, and Subordinate Research Participants

  • Protect prospective participants from adverse consequences of declining participation; provide equitable alternatives if participation is a course requirement.

• 8.05 Dispensing With Informed Consent for Research

  • May dispense with consent in specific cases (e.g., educational settings for normal practices, anonymous questionnaires, archival research) or when allowed by law/regulations, with confidentiality protected.

• 8.06 Offering Inducements for Research Participation

  • Avoid excessive or coercive incentives; clarify services and related risks if services are offered as an inducement.

• 8.07 Deception in Research

  • Do not use deception unless justified by significant prospective value and no feasible nondeceptive alternatives; do not deceive about research that could cause physical pain or severe distress; disclose deception at earliest feasible time and allow withdrawal.

• 8.08 Debriefing

  • Provide prompt debriefing with results and conclusions; correct misconceptions; if necessary, delay information to minimize risk and reduce harm.

• 8.09 Humane Care and Use of Animals in Research

  • Adhere to laws and professional standards for animal care; ensure supervision and training of personnel; minimize suffering and ensure appropriate handling.

• 8.10 Reporting Research Results

  • Do not fabricate data; correct significant errors in published results via erratum/retraction as appropriate.

• 8.11 Plagiarism

  • Do not present others’ work as one’s own; proper attribution required.

• 8.12 Publication Credit

  • Credit only for work actually performed or substantially contributed to; reflect relative contributions; avoid credit based on title alone; students typically retain primary authorship on their substantial dissertation-based work under appropriate supervision.

• 8.13 Duplicate Publication of Data

  • Do not publish original data that have already been published; reuse allowed with proper acknowledgment.

• 8.14 Sharing Research Data for Verification

  • After publication, do not withhold data needed for verification, provided participant confidentiality is protected and legal rights permit sharing; costs may be borne by requesting party.

• 8.15 Reviewers

  • Respect confidentiality and proprietary rights of submission authors.

9. Assessment

• 9.01 Bases for Assessments

  • Opinions must be based on information and techniques sufficient to substantiate findings; provide adequate examination unless not feasible, in which case document efforts and note limitations.

• 9.02 Use of Assessments

  • Administer, adapt, score, interpret assessments appropriately per evidence; consider test usefulness and application through research.

• 9.03 Informed Consent in Assessments

  • Obtain informed consent for assessments; exceptions apply (law, routine educational/organizational activity, decisional capacity evaluation).

• 9.04 Release of Test Data

  • Define test data versus test materials; provide data per client release when appropriate; protect from harm or misuse; release governed by law.

• 9.05 Test Construction

  • Use rigorous psychometric procedures; ensure standardization and bias reduction; provide clear use recommendations.

• 9.06 Interpreting Assessment Results

  • Consider purpose, test factors, and individual differences (language, culture, etc.); acknowledge limitations.

• 9.07 Assessment by Unqualified Persons

  • Do not promote assessment techniques to unqualified individuals except for supervised training.

• 9.08 Obsolete Tests and Outdated Test Results

  • Do not base decisions on outdated data or tests; avoid obsolete measures.

• 9.09 Test Scoring and Interpretation Services

  • When using external scoring/interpretation, accurately describe norms, validity, reliability, and applications; retain responsibility for results.

• 9.10 Explaining Assessment Results

  • Provide explanations of results to clients and designated representatives, unless otherwise restricted by the professional relationship.

• 9.11 Maintaining Test Security

  • Maintain integrity and security of test materials and assessment techniques per law and contracts.

10. Therapy

• 10.01 Informed Consent to Therapy

  • Inform clients about nature and course of therapy, fees, third-party involvement, and confidentiality limits; provide opportunity to ask questions.

• 10.02 Therapy Involving Couples or Families

  • When treating multiple related individuals, clarify at outset who is a client and the role with each; anticipate potential conflicts in roles.

• 10.03 Group Therapy

  • Describe roles and confidentiality limits at outset in group settings.

• 10.04 Providing Therapy to Those Served by Others

  • Carefully consider issues when treating individuals already receiving services elsewhere; discuss with client and coordinate with other providers as appropriate; proceed with caution to minimize confusion.

• 10.05 Sexual Intimacies With Current Therapy Clients/Patients

  • Do not engage in sexual relationships with current clients/patients.

• 10.06 Sexual Intimacies With Relatives or Significant Others of Current Therapy Clients/Patients

  • Do not engage in sexual relationships with close relatives or significant others of current clients/patients; do not terminate to circumvent this rule.

• 10.07 Therapy With Former Sexual Partners

  • Do not treat former sexual partners.

• 10.08 Sexual Intimacies With Former Therapy Clients/Patients

  • Do not engage in sexual intimacies with former clients for at least two years after termination; after two years, it remains highly circumscribed and must be justified with no exploitation.

• 10.09 Interruption of Therapy

  • Plan for orderly transition care when employment/contractual relationships end; prioritize client welfare; see also 3.12 and 6.2.

• 10.10 Terminating Therapy

  • Terminate when client no longer benefits, or is harmed by continued therapy; provide pretermination counseling and refer to alternatives when appropriate.

2010 Amendments Summary (highlights)

• 1.02 and 1.03 amendments clarified how to handle conflicts when they cannot be resolved through standard means; added language about adhering to law only when unresolved and ensuring human rights protection.

• Amendments emphasize feasibility considerations and the ongoing commitment to the integrity of the Code in the face of organizational or legal conflicts.

• The amendments also include editorial changes to strengthen the language around resolving conflicts and adhering to human rights.

Practical and Conceptual Takeaways

• The Ethics Code is both a guide and a set of enforceable standards; aspirational principles orient behavior, while standards set obligations and potential sanctions.

• Always consider the broader context: cross-cutting issues like informed consent, confidentiality, dual/multiple relationships, and conflicts of interest appear across many standards.

• When in doubt: prioritize welfare, minimize harm, and consult relevant guidelines and colleagues; document decisions and consent; respect confidentiality and rights across diverse populations.

• For researchers and educators: balance scientific integrity with participant protection; ensure transparency, proper authorship, and data handling.

• For clinicians: maintain clear boundaries, ensure consent, and avoid exploitation or harm; be cautious with relationships that could impair objectivity (e.g., dual roles or relationships with students/participants).