Ethical Principles of Psychologists and Code of Conduct
APA Ethical Principles of Psychologists and Code of Conduct
Introduction and Applicability
Effective Date: June 1, 2003 (amended June 1, 2010, and January 1, 2017).
Copyright: © 2017 American Psychological Association.
Components:
Introduction
Preamble
Five General Principles (A-E)
Specific Ethical Standards
Purpose of Introduction: Discusss intent, organization, procedures, and scope of Ethics Code.
Preamble & General Principles: Aspirational goals guiding psychologists towards ethical practices; not enforceable rules but should guide ethical decisions.
Ethical Standards: Enforceable rules for conduct.
Written broadly to apply to various psychologist roles.
Not exhaustive; unaddressed conduct may not be inherently ethical or unethical.
Scope of the Ethics Code
Applicable to psychologists' activities linked to their scientific, educational, or professional roles.
Areas covered:
Clinical and counseling psychology
School psychology
Research
Teaching
Supervision of trainees
Public service
Policy development
Social intervention
Assessment instruments development
Organizational consulting
Forensic activities
Program design and evaluation
Administration
Applies in various contexts: in-person, postal, telephone, Internet, and electronic transmission.
Private conduct, unrelated to professional roles, is outside this Ethics Code.
Membership & Compliance
APA membership commits members and student affiliates to comply with the Ethics Code.
Lack of awareness or misunderstanding of an Ethical Standard is not a valid defense against unethical conduct.
Procedures for filing and resolving unethical conduct complaints are detailed in the current Rules and Procedures of the APA Ethics Committee.
Potential sanctions for violations:
Termination of APA membership.
Notifications to relevant bodies.
Sanctions imposed by other professional groups, state psychology boards, etc.
Actions taken based on felony convictions or licensing issues.
Guidance and Legal Considerations
Ethics Code Use: Provides guidance and standards; do not establish civil liability.
Professional Judgment: Terms like "reasonable" allow for professional judgment and avoid rigid outdated rules.
Definitions: The term reasonable is defined as the prevailing professional judgment given the circumstances and knowledge at the time.
Conflicts & Ethical Responsibilities
Psychologists must consider both the Ethics Code and applicable laws/regulations.
In case of conflict:
Clarify commitment to the Ethics Code.
Pursue responsible resolution.
If unresolvable, adhere to legal standards aligned with human rights principles.
Professional Conduct & Respect for Rights
Psychologists are dedicated to enhancing understanding of behavior and promoting ethical research practices.
Commit to respect civil and human rights.
Address biases based on various factors (age, gender, ethnicity, culture, etc.).
Roles of Psychologists: Includes researcher, educator, therapist, consultant, etc.
Aiming for the welfare of individuals and groups involved.
Introduction and Applicability
Effective Date: June 1, 2003 (amended June 1, 2010, and January 1, 2017).
Copyright:
© 2017 American Psychological Association.
Components: - Introduction
Preamble
Five General Principles (A-E)
Specific Ethical Standards
Purpose of Introduction: Discusss intent, organization, procedures, and scope of Ethics Code.
Preamble & General Principles: Aspirational goals guiding psychologists towards ethical practices; not enforceable rules but should guide ethical decisions.
Ethical Standards: Enforceable rules for conduct.- Written broadly to apply to various psychologist roles.
Not exhaustive; unaddressed conduct may not be inherently ethical or unethical.
Scope of the Ethics Code
Applicable to psychologists' activities linked to their scientific, educational, or professional roles.
Areas covered:- Clinical and counseling psychology
School psychology
Research
Teaching
Supervision of trainees
Public service
Policy development
Social intervention
Assessment instruments development
Organizational consulting
Forensic activities
Program design and evaluation
Administration
Applies in various contexts: in-person, postal, telephone, Internet, and electronic transmission.
Private conduct, unrelated to professional roles, is outside this Ethics Code.
Membership & Compliance
APA membership commits members and student affiliates to comply with the Ethics Code.
Lack of awareness or misunderstanding of an Ethical Standard is not a valid defense against unethical conduct.
Procedures for filing and resolving unethical conduct complaints are detailed in the current Rules and Procedures of the APA Ethics Committee.
Potential sanctions for violations:- Termination of APA membership.
Notifications to relevant bodies.
Sanctions imposed by other professional groups, state psychology boards, etc.
Actions taken based on felony convictions or licensing issues.
Guidance and Legal Considerations
Ethics Code Use: Provides guidance and standards; do not establish civil liability.
Professional Judgment: Terms like "reasonable" allow for professional judgment and avoid rigid outdated rules.
Definitions: The term reasonable is defined as the prevailing professional judgment given the circumstances and knowledge at the time.
Conflicts & Ethical Responsibilities
Psychologists must consider both the Ethics Code and applicable laws/regulations.
In case of conflict:- Clarify commitment to the Ethics Code.
Pursue responsible resolution.
If unresolvable, adhere to legal standards aligned with human rights principles.
Professional Conduct & Respect for Rights
Psychologists are dedicated to enhancing understanding of behavior and promoting ethical research practices.
Commit to respect civil and human rights.
Address biases based on various factors (age, gender, ethnicity, culture, etc.).
Roles of Psychologists: Includes researcher, educator, therapist, consultant, etc.- Aiming for the welfare of individuals and groups involved.
Ethical Standards
1. Resolving Ethical Issues
Misuse of Psychologists' Work: Psychologists address misinterpretations or misuses of their work.
Conflicts Between Ethics and Law/Regulations/Authority: Psychologists clarify the nature of the conflict, state their commitment to the Ethics Code, and take reasonable steps to resolve the conflict in a manner consistent with the General Principles.
Conflicts Between Ethics and Organizational Demands: Psychologists clarify the nature of the conflict, state their commitment to the Ethics Code, and take reasonable steps to resolve the conflict while adhering to the General Principles.
Informal Resolution of Ethical Violations: When appropriate, psychologists attempt to resolve ethical issues informally if it does not violate confidentiality.
Reporting Ethical Violations: If an informal resolution is not appropriate or fails, psychologists take further action, which may include referral to the APA Ethics Committee, state licensing boards, or institutional authorities.
Cooperating with Ethics Committees: Psychologists cooperate in ethics investigations and proceedings.
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.
Unfair Discrimination Against Complainants and Respondents: Psychologists do not deny persons employment, advancement, admission to academic or other programs, tenure, or promotion, solely based upon their having made or their being the subject of an ethics complaint.
2. Competence
Boundaries of Competence: Psychologists provide services, teach, and conduct research only within the boundaries of their competence, based on their education, training, supervised experience, consultation, study, or professional experience.
Providing Services in Emergencies: In emergencies, psychologists may provide services even if they lack specialized training, to ensure that mental health services are not denied.
Maintaining Competence: Psychologists undertake ongoing efforts to develop and maintain their competence.
Bases for Scientific and Professional Judgments: Psychologists' work is based upon established scientific and professional knowledge of the discipline.
Delegation of Work to Others: Psychologists delegate to their supervisees, employees, research assistants, etc., only those responsibilities that such persons can be expected to perform competently.
Personal Problems and Conflicts: Psychologists refrain from initiating an activity when they know or should know that their personal problems will prevent them from performing their work competently.
3. Human Relations
Unfair Discrimination: 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.
Sexual Harassment: Psychologists do not engage in sexual harassment.
Other Harassment: Psychologists do not knowingly engage in behavior that is harassing or demeaning to persons with whom they interact in their work.
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.
Multiple Relationships: Psychologists refrain 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.
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, or (2) expose the person or organization with whom the professional relationship exists to harm or exploitation.
Third-Party Requests for Services: When psychologists agree to provide services to any person or entity at the request of a third party, they attempt to clarify at the outset of the service the nature of the relationship with all individuals or organizations involved.
Exploitative Relationships: Psychologists do not exploit persons over whom they have supervisory, evaluative, or other authority.
Cooperation with Other Professionals: When indicated and professionally appropriate, psychologists cooperate with other professionals in order to serve their clients/patients effectively and appropriately.
Informed Consent: 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.
Psychological Services Delivered to or Through Organizations: Psychologists providing services to or through organizations provide information beforehand to clients and, when appropriate, to those directly affected by the services about the nature and objectives of the services and the limits of confidentiality.
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.
4. Privacy and Confidentiality
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.
Discussing the Limits of Confidentiality: Psychologists discuss with persons 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.
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.
Minimizing Intrusions on Privacy: Psychologists include in written and oral reports and consultations, only information germane to the purpose for which the communication is made.
Disclosures: Psychologists may disclose confidential information without the consent of the individual only as mandated by law, or where permitted by law for a valid purpose.
Consultations: When consulting with colleagues, 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.
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
Avoidance of False or Deceptive Statements: Psychologists do not 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.
Statements by Others: Psychologists who engage others to create or place public statements that promote their professional practice, products, or activities retain professional responsibility for such statements.
Descriptions of Workshops and Non-Degree-Granting Educational Programs: Psychologists accurately describe the audience for which the program is intended, educational objectives, presenters' qualifications, and the fees involved.
Media Presentations: When psychologists provide public advice or comment via print, internet, or other electronic transmission, they take precautions to ensure that statements are based on their professional knowledge and are consistent with the Ethics Code.
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.
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.
6. Record Keeping and Fees
Documentation of Professional and Scientific Work and Maintenance of Records: Psychologists create, and to the extent that 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 other professionals, (2) allow for replication and evaluation of their research, (3) meet institutional requirements, (4) ensure accuracy of billing and payments, and (5) ensure compliance with law.
Maintenance, Dissemination, and Disposal of Confidential Records of Professional and Scientific Work: 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.
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.
Fees and Financial Arrangements: 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.
Barter with Clients/Patients: Psychologists may barter only if it is not clinically contraindicated, and the resulting arrangement is not exploitative.
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.
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.
7. Education and Training
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.
Descriptions of Education and Training Programs: Psychologists responsible for education and training programs ensure that there is a current and accurate description of the program content (including required course or program-related supervision), training goals and objectives, stipends and benefits, and requirements for successful completion that is readily available to all interested parties.
Accuracy in Teaching: 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.
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.Mandatory Individual or Group Therapy: 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.
Assessing Student and Supervisee Performance: In academic and supervisory relationships, psychologists establish a timely and specific process for providing feedback to students and supervisees and evaluate students and supervisees on the basis of their actual performance on relevant and established program requirements.
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.
8. Research and Publication
Institutional Approval: When institutional approval is required, psychologists provide accurate information about their research proposals and obtain approval prior to conducting the research.
Informed Consent to Research: When obtaining 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.
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 causes personal identification or harm, or (2) the research design includes deception, and consent for the use of the recording is obtained during debriefing.
Client/Patient, Student, and Subordinate Research Participants: When psychologists conduct research with clients/patients, students, or subordinates as participants, they take steps to protect the prospective participants from adverse consequences of declining or withdrawing from participation.
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; (b) 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.
Offering Inducements for Research Participation: 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.
Deception in Research: (1) 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) Psychologists do not deceive prospective participants about research that is reasonably expected to cause physical pain or severe emotional distress. (3) 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.
Debriefing: 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.
Humane Care and Use of Animals in Research: Psychologists acquire, care for, use, and dispose of animals in compliance with current federal, state, and local laws and regulations, and with professional standards.
Reporting Research Results: Psychologists do not fabricate data. If psychologists discover significant errors in their published data, they take reasonable steps to correct such errors in a retraction, erratum, or other appropriate publication means.
Plagiarism: Psychologists do not present portions of another's work or data as their own, even if the other work or source is cited occasionally.
Publication Credit: Psychologists take responsibility and credit, including authorship credit, only for work they have actually performed or to which they have substantially contributed.
Duplicate Publication of Data: Psychologists do not publish, as original data, data that have been previously published.
Sharing Research Data for Verification: 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.
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
Bases for Assessments: 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.
Use of Assessments: 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.
Informed Consent in Assessments: Psychologists obtain informed consent for assessments, evaluations, or diagnostic services, except when (1) testing is mandated by law or governmental regulations; (2) consent is implied because testing is conducted as a routine educational, institutional, or organizational activity; or (3) one purpose of the testing is to evaluate decisional capacity.
Release of Test Data: 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. 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.
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.
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.
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.
Obsolete Test and Outdated Test Results: Psychologists do not base their assessment or intervention decisions or recommendations on data or test results that are outdated for the current purpose.
Test Scoring and Interpretation Services: 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.
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, pre-employment or security screenings, and forensic evaluations), and that fact has been clearly explained to the person being assessed in advance.
10. Therapy
Informed Consent to Therapy: 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.
Therapy Involving Couples or Families: When psychologists provide services to several persons in a group, marital, or family setting, 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.
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.
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.
Sexual Intimacies with Current Therapy Clients/Patients: Psychologists do not engage in sexual intimacies with current therapy clients/patients.
Sexual Intimacies with Relatives or Significant Others of Current Therapy Clients/Patients: Psychologists do not engage in sexual intimacies with individuals a psychologist knows to be close relatives, guardians, or significant others of current clients/patients.
Therapy with Former Sexual Partners: Psychologists do not accept as therapy clients/patients persons with whom they have engaged in sexual intimacies.
Sexual Intimacies with Former Therapy Clients/Patients: Psychologists do not engage in sexual intimacies with former clients/patients for at least two years after cessation or termination of therapy.
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.
Terminating Therapy: (1) 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) 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) 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.