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APA Ethics Code – Study Notes (Principles and Standards)

Introduction and Applicability

  • The American Psychological Association (APA) Ethical Principles of Psychologists and Code of Conduct (Ethics Code) comprises an Introduction, a Preamble, five General Principles (A–E), and specific Ethical Standards.
  • Purpose: provide guidance for psychologists’ professional conduct across scientific, educational, and clinical roles; cover areas like clinical practice, research, teaching, supervision, public service, policy development, organizational consulting, forensic activities, program design/evaluation, and administration.
  • Scope: applies to activities in person, by mail, telephone, Internet, and other electronic transmissions; distinguishes from purely private conduct outside professional purview.
  • Membership obligation: APA members and student affiliates agree to comply with the Ethics Code and enforcement rules; lack of awareness is not a defense to unethical conduct.
  • Procedures and sanctions: complaints are handled under the APA Ethics Committee Rules and Procedures; sanctions can include termination of APA membership and notification to other bodies; actions can influence licensure or employment regardless of APA membership (state associations, boards, payors, etc.).
  • Version history and dates:
    • Adopted Aug 21, 2002; Effective Jun 1, 2003.
    • 2010 Amendments to Introduction/Applicability and Standards 1.02 and 1.03; Effective Jun 1, 2010.
    • 2016 Amendment to Standard 3.04; Adopted Aug 3, 2016; Effective Jan 1, 2017.
  • Definitions of modifiers used in standards:
    • Modifiers (e.g., reasonably, appropriate, potentially) exist to (1) allow professional judgment, (2) eliminate injustice, (3) apply across diverse contexts, or (4) avoid rigid, outdated rules.
    • Reasonable means the prevailing professional judgment of psychologists in similar contexts with the knowledge available at the time.
    • If the Ethics Code sets a higher standard than law, psychologists must meet the higher ethical standard.
    • If ethical responsibilities conflict with law/regulations/other governing authority, psychologists should uphold the Ethics Code and seek responsible resolution; the Code is not a civil liability standard.
    • Inquiries about substance or interpretation should be addressed to the APA Office of Ethics; the Ethics Code can be found on the APA website.

Preamble and General Principles

  • Preamble: Psychologists aim to increase scientific knowledge and its use to improve the welfare of individuals, organizations, and society; they respect civil and human rights and support freedom of inquiry and expression; they seek to help the public make informed judgments about human behavior; they take on multiple roles (researcher, educator, diagnostician, therapist, supervisor, consultant, administrator, policy advocate, expert witness).
  • General Principles are aspirational, not enforceable rules, and should guide action but do not justify sanctions by themselves.
  • Principle A: Beneficence and Nonmaleficence
    • Strive to benefit those they work with and do no harm.
    • Safeguard welfare and rights of those treated or affected; protect welfare of animal subjects in research.
    • Resolve conflicts among obligations to minimize harm.
    • Be aware of personal, financial, social, organizational, or political factors that might bias actions or misuse influence.
    • Be mindful of personal health and its impact on professional duties.
  • Principle B: Fidelity and Responsibility
    • Establish trustworthy relationships; uphold professional standards; clarify roles and obligations; accept responsibility and manage conflicts of interest to prevent exploitation or harm.
    • Seek appropriate consultation or referral when needed to best serve clients/patients; cooperate with other professionals and institutions.
    • Be mindful of ethical compliance of colleagues and contribute time/effort when possible without undue financial or personal gain.
  • Principle C: Integrity
    • Promote accuracy, honesty, and truthfulness in science, teaching, and practice; avoid deception or misrepresentation.
    • If deception is ethically justifiable to maximize benefits/minimize harm, consider consequences and address mistrust or harm arising from its use.
  • Principle D: Justice
    • Strive for fairness and equal access to the benefits of psychology; ensure processes and services are fair.
    • Exercise prudent judgment to prevent biases and domain limitations from resulting in unjust practices.
  • Principle E: Respect for People’s Rights and Dignity
    • Respect dignity, privacy, confidentiality, and self-determination; safeguard rights of vulnerable individuals/communities.
    • Respect cultural, individual, and role differences (age, gender, gender identity, race, ethnicity, culture, religion, sexual orientation, disability, language, socioeconomic status);
    • Strive to eliminate bias from work and avoid participating in prejudice or discriminatory activities.

Ethical Standards (selected highlights with key subsections)

  • 1. Resolving Ethical Issues
    • 1.01 Misuse of Psychologists’ Work: take reasonable steps to correct misrepresentation or misuse.
    • 1.02 Conflicts Between Ethics and Law, Regulations, or Other Governing Legal Authority: when conflicts arise, clarify the conflict, uphold the Ethics Code, and resolve conflicts consistent with General Principles and Standards; cannot justify violating human rights.
    • 1.03 Conflicts Between Ethics and Organizational Demands: clarify conflict, uphold Ethics Code, and resolve consistently; cannot justify violation of human rights.
    • 1.04 Informal Resolution of Ethical Violations: attempt to resolve by informing the other psychologist if appropriate and within confidentiality limits.
    • 1.05 Reporting Ethical Violations: if informal resolution fails or harm is substantial, take further action (e.g., state ethics committees, licensing boards); confidentiality exceptions apply.
    • 1.06 Cooperating With Ethics Committees: cooperate with ethics investigations; confidentiality upheld; noncooperation is itself an ethics violation.
    • 1.07 Improper Complaints: do not file ethics complaints with reckless disregard for facts.
    • 1.08 Unfair Discrimination Against Complainants and Respondents: not to deny opportunities solely due to an ethics complaint; outcomes of proceedings may be used in appropriate ways.
  • 2. Competence
    • 2.01 Boundaries of Competence: provide services within boundaries of competence; obtain necessary knowledge/experience for specialized populations; seek training/supervision; use referrals when needed.
    • 2.02 Providing Services in Emergencies: in emergencies with unavailable services, provide services if necessary, and discontinue when emergency ends.
    • 2.03 Maintaining Competence: engage in ongoing development to maintain competence.
    • 2.04 Bases for Scientific and Professional Judgments: base work on established scientific knowledge.
    • 2.05 Delegation of Work to Others: supervise/delegate responsibly; avoid exploiting relationships; ensure competent performance by others.
    • 2.06 Personal Problems and Conflicts: avoid initiating activities likely to be compromised by personal issues; seek help and adjust duties when needed.
  • 3. Human Relations
    • 3.01 Unfair Discrimination: do not discriminate in professional activities on protected bases; align with applicable law.
    • 3.02 Sexual Harassment: no sexual harassment in professional settings.
    • 3.03 Other Harassment: avoid harassing or demeaning behavior based on protected characteristics.
    • 3.04 Avoiding Harm: take reasonable steps to avoid harm and minimize harm when possible; no participation in torture or cruel inhumane treatment.
    • 3.05 Multiple Relationships: define and avoid multiple relationships that impair objectivity or cause harm; if arise unexpectedly, take steps to resolve in the client’s best interests.
    • 3.06 Conflict of Interest: avoid roles where personal or financial interests could impair objectivity or cause harm/exploitation.
    • 3.07 Third-Party Requests for Services: clarify the relationship and limitations when services are requested by third parties.
    • 3.08 Exploitative Relationships: do not exploit individuals in supervisory/evaluative roles; be mindful of power dynamics.
    • 3.09 Cooperation with Other Professionals: collaborate when appropriate to serve clients; standard 4.05 covers disclosures related to collaboration.
    • 3.10 Informed Consent: obtain informed consent for research, assessment, therapy, or consulting; provide explanations appropriate to language and comprehension; include limits of confidentiality; documentation of consent.
    • 3.11 Psychological Services Delivered to or Through Organizations: inform about nature/objectives, recipients, roles, confidentiality limits; provide results when feasible; inform if information cannot be shared due to law/organizational role.
    • 3.12 Interruption of Psychological Services: plan for continuity of care during interruptions (illness, death, relocation, etc.).
  • 4. Privacy and Confidentiality
    • 4.01 Maintaining Confidentiality: protect confidential information; consider legal/regulatory constraints.
    • 4.02 Discussing the Limits of Confidentiality: discuss limits and foreseeable uses of information at the outset and as needed; include electronic transmission risks.
    • 4.03 Recording: obtain consent before recording voices/images; exceptions for certain public/naturalistic contexts or deception-based research with appropriate consent.
    • 4.04 Minimizing Intrusions on Privacy: include only information germane to purpose; limit discussions of confidential information to necessary parties.
    • 4.05 Disclosures: disclose confidential information with consent or as legally mandated; disclosures should be limited to minimum necessary to achieve purpose; consider obligations to payors.
    • 4.06 Consultations: protect identities; disclose only necessary information for consultation.
    • 4.07 Use of Confidential Information for Didactic or Other Purposes: do not disclose identifiable information without disguising, consent, or legal authorization.
  • 5. Advertising and Other Public Statements
    • 5.01 Avoidance of False or Deceptive Statements: do not make false, deceptive, or fraudulent statements about research, practice, training, credentials, or outcomes; ensure accuracy of public claims.
    • 5.02 Statements by Others: hold those who create public statements for their practice responsible; do not compensate media for publicity in exchange for coverage; paid ads must be identifiable as such.
    • 5.03 Descriptions of Workshops and Non-Degree Programs: ensure descriptions accurately reflect audience, objectives, instructors, and fees.
    • 5.04 Media Presentations: public advice or commentary must be grounded in professional knowledge and literature; no implication of a formal therapist-client relationship.
    • 5.05 Testimonials: do not solicit testimonials from current therapy clients or others vulnerable to undue influence.
    • 5.06 In-Person Solicitation: avoid uninvited in-person solicitation of therapy clients; exceptions for collateral contacts to support an engaged client or disaster outreach.
  • 6. Record Keeping and Fees
    • 6.01 Documentation and Records Maintenance: create and maintain records to facilitate service provision, replication, institutional requirements, billing accuracy, and legal compliance.
    • 6.02 Confidential Records: secure confidentiality in storage, transfer, and disposal of records; use coding to protect identifiers in databases; plan for data transfer upon departure.
    • 6.03 Withholding Records for Nonpayment: cannot withhold records needed for emergency treatment due to nonpayment.
    • 6.04 Fees and Financial Arrangements: establish compensation and billing early; comply with law; avoid misrepresentation; discuss financing limitations as early as feasible.
    • 6.05 Barter with Clients/Patients: allowed only if not clinically contraindicated and not exploitative; consider relationship with 3.05 and 6.04.
    • 6.06 Accuracy in Reports to Payors and Funding Sources: ensure accurate reporting of services, charges, outcomes, and provider identity where applicable; protect confidentiality.
    • 6.07 Referrals and Fees: compensation based on services provided, not the act of referral; align with 3.09 cooperation with other professionals.
  • 7. Education and Training
    • 7.01 Design of Education and Training Programs: ensure programs provide appropriate knowledge and experiences; meet licensure/credentialing goals.
    • 7.02 Descriptions of Education and Training Programs: provide current descriptions of content, goals, stipends/benefits, and completion requirements; information available to interested parties.
    • 7.03 Accuracy in Teaching: ensure syllabi accuracy, prepare for evaluation; present information truthfully; allow pedagogical adjustments with clear communication.
    • 7.04 Student Disclosure of Personal Information: do not require disclosure of personal information unless clearly stated in admissions materials or necessary to assess/assist students whose problems affect performance or safety.
    • 7.05 Mandatory Individual or Group Therapy: allow students to choose therapy outside the program if therapy is required; avoid faculty providing that therapy.
    • 7.06 Assessing Student and Supervisee Performance: provide timely, explicit feedback; base evaluation on actual performance and program 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 approvals and conduct research per approved protocol.
    • 8.02 Informed Consent to Research: inform participants about purpose, duration, right to withdraw, risks/benefits, confidentiality, incentives, and contact for questions; include assent for those with questionable capacity; interpreter use requires consent and confidentiality assurances.
    • 8.03 Informed Consent for Recording Voices and Images in Research: obtain consent unless naturalistic public observation or deception-based consent is obtained during debriefing.
    • 8.04 Client/Patient, Student, and Subordinate Research Participants: protect participants from adverse consequences of declining/withdrawing; offer equitable alternatives when participation is part of coursework.
    • 8.05 Dispensing with Informed Consent for Research: allowed only in specific low-risk contexts (educational settings, anonymous questionnaires, archival data with confidentiality protection, organizational settings with confidentiality) or as permitted by law.
    • 8.06 Offering Inducements for Research Participation: avoid excessive inducements; clarify services/risks when offering services as incentive.
    • 8.07 Deception in Research: allowed only if justified by significant scientific/educational value and no feasible non-deceptive alternatives; inform participants about deception as early as possible and allow withdrawal of data.
    • 8.08 Debriefing: provide participants with information about the study and correct misunderstandings; delay/defer disclosure if there are compelling scientific/humane reasons, and minimize harm; offer to amend data if harm occurred.
    • 8.09 Humane Care and Use of Animals in Research: adhere to laws and professional standards; supervised by qualified personnel; minimize pain; use anesthesia when appropriate; terminate with minimal pain when necessary.
    • 8.10 Reporting Research Results: do not fabricate data; correct significant errors via erratum/retraction; maintain integrity of publishing.
    • 8.11 Plagiarism: do not present another’s work as own; proper attribution required.
    • 8.12 Publication Credit: credit only for work actually performed or substantially contributed to; authorship reflects contributions; student duty to be recognized; discuss credit early; guidelines for dissertations.
    • 8.13 Duplicate Publication of Data: do not publish previously published data as original data; may republish with proper acknowledgment.
    • 8.14 Sharing Research Data for Verification: share data after publication for verification if confidentiality is protected; costs may be required; data sharing by requestors requires prior written agreement for uses beyond verification.
    • 8.15 Reviewers: respect confidentiality and proprietary rights of submissions when reviewing.
  • 9. Assessment
    • 9.01 Bases for Assessments: opinions must be supported by information and techniques sufficient to substantiate findings; provide examination data when possible; document efforts and limitations if full examination is not feasible.
    • 9.02 Use of Assessments: administer and interpret assessments using validated and reliable methods; acknowledge limitations if validity/reliability is not established; ensure language compatibility.
    • 9.03 Informed Consent in Assessments: obtain informed consent unless mandated by law or educational/organizational setting or assessment purpose is to evaluate decisional capacity; explain nature and limits of confidentiality.
    • 9.04 Release of Test Data: define test data (raw/scaled scores, responses, notes) and provide to clients/patients with release; may withhold to prevent harm if legally justified.
    • 9.05 Test Construction: use appropriate psychometric procedures, standardization, bias reduction, and validity considerations.
    • 9.06 Interpreting Assessment Results: consider purpose, test factors, and individual differences (linguistic, cultural, situational) that affect interpretations; state significant limitations.
    • 9.07 Assessment by Unqualified Persons: do not promote use by unqualified persons except under supervision for training.
    • 9.08 Obsolete Tests and Outdated Test Results: avoid basing decisions on outdated data or obsolete tests.
    • 9.09 Test Scoring and Interpretation Services: describe purposes, norms, validity, and special qualifications; retain responsibility for interpretation even when using automated services.
    • 9.10 Explaining Assessment Results: provide explanations to the individual or designated representative; if the relationship precludes disclosure, explain the situation.
    • 9.11 Maintaining Test Security: protect test materials; ensure security and integrity per laws and contracts.
    1. Therapy
    • 10.01 Informed Consent to Therapy: discuss nature/course, fees, third-party involvement, and confidentiality limits early; provide opportunity for questions (cross-reference 4.02, 6.04).
    • 10.02 Therapy Involving Couples or Families: clarify at outset which individuals are clients and the role with each; manage role conflicts when they arise (e.g., family therapy with potential witness roles).
    • 10.03 Group Therapy: outline roles, responsibilities, and confidentiality limits at the outset.
    • 10.04 Providing Therapy to Those Served by Others: assess welfare and coordinate with other providers; discuss issues with client and other professionals when appropriate.
    • 10.05 Sexual Intimacies with Current Therapy Clients/Patients: strictly prohibited.
    • 10.06 Sexual Intimacies with Relatives or Significant Others of Current Therapy Clients/Patients: prohibited; do not terminate to enable such relationships.
    • 10.07 Therapy with Former Sexual Partners: not allowed.
    • 10.08 Sexual Intimacies with Former Therapy Clients/Patients: generally prohibited for at least two years after termination; exceptions require demonstrating no exploitation and considering factors such as duration and termination circumstances.
    • 10.09 Interruption of Therapy: plan for orderly transition of care if employment/relationship ends; prioritize client welfare.
    • 10.10 Terminating Therapy: terminate when client no longer benefits or therapy is harmful or unsafe; provide pre-termination counseling and refer to alternatives where possible.

Amendments to the 2002 Ethics Code (2010 and 2016)

  • 2010 Amendments: clarified approach to conflicts with law/regulations and organizational demands; language emphasizes commitment to the Ethics Code and steps to resolve conflicts; if unresolved, may adhere to law while maintaining human rights principles; 1.02 and 1.03 updated wording; presented as amendments to Introduction and Applicability.
  • 2016 Amendment: 3.04 (Avoiding Harm) updated to emphasize steps to avoid harm and explicitly prohibit torture/cruel treatment; reinforces the standard with subpoints (a) and (b).
  • Effective dates: Effective Jan 1, 2017 for the 2017 version.

Practical and Practical-Philosophical Implications

  • The Ethics Code is designed to guide everyday professional conduct across roles, not merely to punish; it emphasizes aspirational principles (General Principles) and enforceable standards (Ethical Standards).
  • Ethical decision-making often involves balancing competing duties (e.g., beneficence vs. respect for autonomy, confidentiality vs. safety, research integrity vs. openness).
  • Confidentiality and informed consent are central across practice areas (therapy, assessment, research, consultation, and organizational work), including modern contexts like electronic communication and organizational settings.
  • In research, special attention to deception, consent, data sharing, and animal care reflects a broad ethical concern for participant welfare, scientific integrity, and societal trust.
  • In clinical practice, boundaries, dual/multiple relationships, and conflicts of interest are critical for maintaining objectivity and avoiding exploitation.
  • The amendments illustrate the evolving nature of ethics to address contemporary concerns (e.g., digital communications, organizational demands, and manualization of consent).

Connections to Foundational Principles and Real-World Relevance

  • The General Principles A–E provide the philosophical foundation behind the more concrete Standards and are used to interpret and apply the Standards in ambiguous cases.
  • Real-world relevance includes: equitable access to psychology’s benefits (Justice), non-discrimination in professional settings, careful handling of third-party referrals and organizational influence, and rigorous protection of confidentiality in a digital age.
  • Ethical decision-making also intersects with legal systems; psychologists must navigate conflicts with law while upholding core ethical commitments, often seeking deconfliction without compromising fundamental rights.

Quick Reference (LaTeX-formatted section identifiers)

  • General Principles: A,B,C,D,E as discussed above.
  • Key Standards (examples): 1.01, 1.02, 2.01, 3.04, 4.02, 5.01, 6.04, 9.03, 10.01, 10.05, 10.08, 8.07, 8.08, 8.09, 8.15 as representative anchors across domains.
  • Important Dates: 2002, 2003, 2010, 2017 (effective dates for major amendments).