EHICAL PRINCIPLES PR INCIPLES OF PSYCHOLOGIS PSYCHOLOG ISS S AND CODE OF CONDUC Adopted August 21, 2002 2002 Effective June 1, 2003 With the 2010 Amendments Amendments Adopted Februar Februaryy 20, 2010 Effective June 1, 2010
EHICAL PRINCIPLES OF PSYCHOLOGISS AND CODE OF CONDUC CONTENTS INODUCION AND APPLICABILIY PEAMBLE GENERL PINCIPLES
Principle A: Beneficence and Nonmaleficence Principle B: Fideliy and Responsibiliy Principle C: Inegriy Principle D: Jusice Principle E: Respec or People’s Righs and Digniy EHICAL SANDADS 1. Resolving Ethical Issues
1.01 1.02 1.03 1.04 1.05 1.06 1.07 1.08
Misuse o Psychologiss’ Work Conflics Beween Ehics and Law, Regulaions, or Oher Governing Legal Auhoriy Conflics Beween Ehics and Organizaional Demands Inormal Resoluion o Ehical Violaions Reporing Ehical Violaions Cooperaing Wih Ehics Commitees Improper Complains Unair Discriminaion Agains Complainans and Respondens
2.
Competence
2.01 2.02 2.03 2.04 2.05 2.06
Boundaries o Compeence Providing Services in Emergencies Mainaining Compeence Bases or Scienific and Proessional Judgmens Delegaion o Work o Ohers Personal Problems and Conflics
3.
Human Relations
3.01 3.02 3.03 3.04 3.05 3.06 3.07 3.08 3.09
3.12
Unair Discriminaion Sexual Harassmen Oher Harassmen Avoiding Harm Muliple Relaionships Conflic o Ineres Tird-Pary Requess or Services Exploiaive Relaionships Cooperaion Wih Oher Proessionals Inormed Consen Psychological Services Delivered o or Trough Organizaions Inerrupion o Psychological Services
4.
Privacy and Confidentiality
4.01
Mainaining Confidenialiy
3.10 3.11
4.02 4.03 4.04 4.05 4.06 4.07
Discussing he Limis o Confidenialiy Recording Minimizing Inrusions on Privacy Disclosures Consulaions Use o Confidenial Inormaion or Didacic or Oher Purposes
5.
Advertising and Other Public Statements
5.01
Avoidance o False or Decepive Saemens Saemens by Ohers Descripions o Workshops and Non-Degree-Graning Educaional Programs Media Presenaions esimonials In-Person Soliciaion
5.02 5.03 5.04 5.05 5.06 6.
Record Keeping and Fees
6.01
Documenaion o Proessional and Scienific Work and Mainenance o Records Mainenance, Disseminaion, and Disposal o Confidenial Records o Proessional and Scienific Work Wihholding Records or Nonpaymen Fees and Financial Arrangemens Barer Wih Cliens/Paiens Accuracy in Repors o Payors and Funding Sources Reerrals and Fees
6.02 6.03 6.04 6.05 6.06 6.07 7.
Education and raining
7.01
Design o Educaion and raining Programs Descripions o Educaion and raining Programs Accuracy in eaching Suden Disclosure o Personal Inormaion Mandaory Individual or Group Terapy Assessing Suden and Supervisee Perormance Sexual Relaionships Wih Sudens and Supervisees
7.02 7.03 7.04 7.05 7.06 7.07 8.
Research and Publication
8.01 8.02 8.03
Insiuional Approval Inormed Consen o Research Inormed Consen or Recording Voices and Images in Research
Effective June 1, 2003, as amended 2010 Copyright © 2010 by the American Psychological Association. 0003-066X
8.04
8.10 8.11 8.12 8.13 8.14 8.15
Clien/Paien, Suden, and Subordinae Research Paricipans Dispensing Wih Inormed Consen or Research Offering Inducemens or Research Paricipaion Decepion in Research Debriefing Humane Care and Use o Animals in Research Reporing Research Resuls Plagiarism Publicaion Credi Duplicae Publicaion o Daa Sharing Research Daa or Verificaion Reviewers
9.
Assessment
9.01 9.02 9.03 9.04 9.05 9.06 9.07 9.08
9.10 9.11
Bases or Assessmens Use o Assessmens Inormed Consen in Assessmens Release o es Daa es Consrucion Inerpreing Assessmen Resuls Assessmen by Unqualified Persons Obsolee ess and Oudaed es Resuls es Scoring and Inerpreaion Services Explaining Assessmen Resuls Mainaining es Securiy
10.
Terapy
10.01 10.02
Inormed Consen o Terapy Terapy Involving Couples or Families Group Terapy Providing Terapy o Tose Served by Ohers Sexual Inimacies Wih Curren Terapy Cliens/Paiens Sexual Inimacies Wih Relaives or Significan Ohers o Curren Terapy Cliens/Paiens Terapy Wih Former Sexual Parners Sexual Inimacies Wih Former Terapy Cliens/Paiens Inerrupion o Terapy erminaing Terapy
8.05 8.06 8.07 8.08 8.09
9.09
10.03 10.04 10.05 10.06 10.07 10.08 10.09 10.10
2010 AMENDMENS O HE 2002 “EHICAL PINCIPLES OF PSYCHOLOGISS AND CODE OF CONDUC”
1
INODUCION AND APPLICABILIY Te American Psychological Associaion’s (APA’s) Ehical Principles o Psychologiss and Code o Conduc (hereinafer reerred o as he Ehics Code) consiss o an Inroducion, a Preamble, five General Principles (A–E), and specific Ehical Sandards. Te Inroducion discusses he inen, organizaion, procedural consideraions, and scope o applicaion o he Ehics Code. Te Preamble and General Principles are aspiraional goals o guide psychologiss oward he highes ideals o psychology. Alhough he Preamble and General Principles are no hemselves enorceable rules, hey should be considered by psychologiss in arriving a an ehical course o acion. Te Ehical Sandards se orh enorceable rules or conduc as psychologiss. Mos o he Ehical Sandards are writen broadly, in order o apply o psychologiss in varied roles, alhough he applicaion o an Ehical Sandard may vary depending on he conex. Te Ehical Sandards are no exhausive. Te ac ha a given conduc is no specifically addressed by an Ehical Sandard does no mean ha i is necessarily eiher ehical or unehical. Tis Ehics Code applies only o psychologiss’ aciviies ha are par o heir scienific, educaional, or proessional roles as psychologiss. Areas covered include bu are no limied o he clinical, counseling, and school pracice o psychology; research; eaching; supervision o rainees; public service; policy developmen; social inervenion; developmen o assessmen insrumens; conducing assessmens; educaional counseling; organizaional consuling; orensic aciviies; program design and evaluaion; and adminisraion. Tis Ehics Code applies o hese aciviies across a variey o conexs, such as in person, posal, elephone, Inerne, and oher elecronic ransmissions. Tese aciviies shall be disinguished rom he purely privae conduc o psychologiss, which is no wihin he purview o he Ehics Code. Membership in he APA commis members and suden affiliaes o comply wih he sandards o he APA Ehics Code and o he rules and procedures used o enorce hem. Lack o awareness or misundersanding o an Ehical Sandard is no isel a deense o a charge o unehical conduc. Te procedures or filing, invesigaing, and resolving complains o unehical conduc are described in he curren Rules and Procedures o he APA Ehics Commitee. APA may impose sancions on is members or violaions o he sandards o he Ehics Code, including erminaion o APA mem bership, and may noiy oher bodies and individuals o is acions. Acions ha violae he sandards o he Ehics Code may also lead o he imposiion o sancions on psychologiss or sudens wheher or no hey are APA members by bodies oher han APA, including sae psychological associaions, oher proessional groups, psychology boards, oher sae or ederal agencies, and payors or healh services. In addiion, APA may ake acion agains a member afer his or her convicion o a elony, expulsion or suspension rom an affiliaed sae psychological associaion, or suspension or loss o licensure. When he sancion o be imposed by APA is less han expulsion, he 2001 Rules and Procedures do no guaranee an op2
Introduction and Applicability
poruniy or an in-person hearing, bu generally provide ha complains will be resolved only on he basis o a submited record. Te Ehics Code is inended o provide guidance or psychologiss and sandards o proessional conduc ha can be applied by he APA and by oher bodies ha choose o adop hem. Te Ehics Code is no inended o be a basis o civil liabiliy. Wheher a psychologis has violaed he Ehics Code sandards does no by isel deermine wheher he psychologis is legally liable in a cour acion, wheher a conrac is enorceable, or wheher oher legal consequences occur. Te modifiers used in some o he sandards o his Ehics Code (e.g., reasonably, appropriate, potentially ) are included in he sandards when hey would (1) allow proessional judgmen on he par o psychologiss, (2) eliminae injusice or inequaliy ha would occur wihou he modifier, (3) ensure applicabiliy across he broad range o aciviies conduced by psychologiss, or (4) guard agains a se o rigid rules ha migh be quickly oudaed. As used in his Ehics Code, he erm reasonable means he prevailing proessional judgmen o psychologiss engaged in similar aciviies in similar circumsances, given he knowledge he psychologis had or should have had a he ime. Te American Psychological Associaion’s Council o Represenaives adoped his version o he APA Ehics Code during is meeing on Augus 21, 2002. Te Code became effecive on June 1, 2003. Te Council o Represenaives amended his version o he Ehics Code on February 20, 2010. Te amendmens became effecive on June 1, 2010 (see p. 15 o his pamphle). Inquiries concerning he subsance or inerpreaion o he APA Ehics Code should be addressed o he Direcor, Office o Ehics, American Psychological Associaion, 750 Firs Sree, NE, Washingon, DC 20002-4242. Te Ehics Code and inormaion regarding he Code can be ound on he APA websie, htp://www.apa.org/ehics. Te sandards in his Ehics Code wil l be used o adjudicae complains brough concerning alleged conduc occurring on or afer he effecive dae. Complains will be adjudicaed on he basis o he version o he Ehics Code ha was in effec a he ime he conduc occurred. Te APA has previously published is Ehics Code as ollows: American Psychological A ssociaion. (1953). Ethical standards of psycholo gists. Washingon, DC: Auhor. American Psychological Associaion. (1959). Ehical sandards o psychologiss. American Psychologist, 14, 279–282. American Psychological Associaion. (1963). Ehical sandards o psychologiss. American Psychologist, 18, 56–60. American Psychological Associaion. (1968). Ehical sandards o psychologiss. American Psychologist, 23, 357–361. American Psychological Associaion. (1977, March). Ehical sandards o psychologiss. APA Monitor, 22–23. American Psychological A ssociaion. (1979). Ethical standards of psycholo gists. Washingon, DC: Auhor. American Psychological Associaion. (1981). Ehical principles o psychologiss. American Psychologist, 36, 633–638. American Psychological Associaion. (1990). Ehical principles o psychologiss (Amended June 2, 1989). American Psychologist, 45, 390–395. American Psychological Associaion. (1992). Ehical principles o psychologiss and code o conduc. American Psychologist, 47, 1597–1611. American Psychological Associaion. (2002). Ehical principles o psychologiss and code o conduc. American Psychologist, 57, 1060-1073. Reques copies o he APA’s Ehical Principles o Psychologiss and Code o Conduc rom he APA Order Deparmen, 750 Firs Sree, NE, Washingon, DC 20002-4242, or phone (202) 336-5510.
Effective June 1, 2003, as amended 2010
In he process o making decisions regarding heir proessional behavior, psychologiss mus consider his Ehics Code in addiion o applicable laws and psychology board regulaions. In applying he Ehics Code o heir proessional work, psychologiss may consider oher maerials and guidelines ha have been adoped or endorsed by scienific and proessional psychological organizaions and he dicaes o heir own conscience, as well as consul wih ohers wihin he field. I his Ehics Code esablishes a higher sandard o conduc han is required by law, psychologiss mus mee he higher ehical sandard. I psychologiss’ ehical responsi biliies conflic wih law, regulaions, or oher governing legal auhoriy, psychologiss make known heir commimen o his Ehics Code and ake seps o resolve he conflic in a responsible manner in keeping wih basic principles o human righs.
Principle A: Beneficence and Nonmaleficence Psychologiss srive o benefi hose wih whom hey work and ake care o do no harm. In heir proessional acions, psychologiss seek o saeguard he welare and righs o hose wih whom hey inerac proessionally and oher aeced persons, and he welare o animal subjecs o research. When conflics occur among psychologiss’ obligaions or concerns, hey atemp o resolve hese conflics in a responsible ashion ha avoids or minimizes harm. Because psychologiss’ scienific and proessional judgmens and acions may affec he lives o ohers, hey are aler o and guard agains personal, financial, social, organizaional, or poliical acors ha migh lead o misuse o heir influence. Psychologiss srive o be aware o he possible effec o heir own physical and menal healh on heir abiliy o help hose wih whom hey work.
PEAMBLE Psychologiss are commited o increasing scienific and proessional knowledge o behavior and people’s undersanding o hemselves and ohers and o he use o such knowledge o improve he condiion o individuals, organizaions, and sociey. Psychologiss respec and proec civil and human righs and he cenral imporance o reedom o inquiry and expression in research, eaching, and publicaion. Tey srive o help he public in developing inormed judgmens and choices concerning human behavior. In doing so, hey perorm many roles, such as researcher, educaor, diagnosician, herapis, supervisor, consulan, adminisraor, social inervenionis, and exper winess. Tis Ehics Code pro vides a common se o principles and sandards upon which psychologiss build heir proessional and scienific work. Tis Ehics Code is inended o provide specific sandards o cover mos siuaions encounered by psychologiss. I has as is goals he welare and proecion o he individuals and groups wih whom psychologiss work and he educaion o members, sudens, and he public regarding ehical sandards o he discipline. Te developmen o a dynamic se o ehical sandards or psychologiss’ work-relaed conduc requires a personal commimen and lielong effor o ac ehically; o encourage ehical behavior by sudens, supervisees, employees, and colleagues; and o consul wih ohers concerning ehical problems.
Principle B: Fidelity and esponsibility Psychologiss esablish relaionships o rus wih hose wih whom hey work. Tey are aware o heir proessional and scienific responsibiliies o sociey and o he specific communiies in which hey work. Psychologiss uphold proessional sandards o conduc, clariy heir proessional roles and obligaions, accep appropriae responsibiliy or heir behavior, and seek o manage conflics o ineres ha could lead o exploiaion or harm. Psychologiss consul wih, reer o, or cooperae wih oher proessionals and insiuions o he exen needed o serve he bes ineress o hose wih whom hey work. Tey are concerned abou he ehical compliance o heir colleagues’ scienific and proessional conduc. Psychologiss srive o conribue a porion o heir proessional ime or litle or no compensaion or personal advanage.
GENERL PINCIPLES Tis secion consiss o General Principles. General Principles, as opposed o Ehical Sandards, are aspiraional in naure. Teir inen is o guide and inspire psychologiss o ward he very highes ehical ideals o he proession. General Principles, in conras o Ehical Sandards, do no represen obligaions and should no orm he basis or imposing sancions. Relying upon General Principles or eiher o hese reasons disors boh heir meaning and purpose.
Effective June 1, 2003, as amended 2010
Principle C: Integrity Psychologiss seek o promoe accuracy, honesy, and ruhulness in he science, eaching, and pracice o psychology. In hese aciviies psychologiss do no seal, chea, or engage in raud, suberuge, or inenional misrepresenaion o ac. Psychologiss srive o keep heir promises and o avoid unwise or unclear commimens. In siuaions in which decepion may be ehically jusifiable o maximize benefis and minimize harm, psychologiss have a serious obligaion o consider he need or, he possible consequences o, and heir responsibiliy o correc any resuling misrus or oher harmul effecs ha arise rom he use o such echniques. Principle D: Justice Psychologiss recognize ha airness and jusice enile all persons o access o and benefi rom he conribuions o psychology and o equal qualiy in he processes, procedures, and services being conduced by psychologiss. Psychologiss exercise reasonable judgmen and ake precauions o ensure ha heir poenial biases, he boundaries o
Preamble–Principle D
3
heir compeence, and he limiaions o heir experise do no lead o or condone unjus pracices.
Principle E: espect for People’s ights and Dignity Psychologiss respec he digniy and worh o all people, and he righs o individuals o privacy, confidenialiy, and sel-deerminaion. Psychologiss are aware ha special saeguards may be necessary o proec he righs and welare o persons or communiies whose vulnerabiliies impair auonomous decision making. Psychologiss are aware o and respec culural, individual, and role differences, including hose based on age, gender, gender ideniy, race, ehniciy, culure, naional origin, religion, sexual orienaion, disabiliy, language, and socioeconomic saus, and consider hese acors when working wih members o such groups. Psychologiss ry o eliminae he effec on heir work o biases based on hose acors, and hey do no knowingly paricipae in or condone aciviies o ohers based upon such prejudices.
EHICAL SANDADS 1. esolving Ethical Issues 1.01 Misuse of Psychologiss’ Work I psychologiss learn o misuse or misrepresenaion o heir work, hey ake reasonable seps o correc or minimize he misuse or misrepresenaion. 1.02 Conflics Beween Ehics and Law, Regulaions, or Oher Governing Legal Auhoriy I psychologiss’ ehical responsibiliies conflic wih law, regulaions, or oher governing legal auhoriy, psychologiss clariy he naure o he conflic, make known heir commimen o he Ehics Code, and ake reasonable seps o resolve he conflic consisen wih he General Principles and Ehical Sandards o he Ehics Code. Under no circumsances may his sandard be used o jusiy or deend violaing human righs. 1.03 Conflics Beween Ehics and Organizaional Demands I he demands o an organizaion wih which psychologiss are affiliaed or or whom hey are working are in conflic wih his Ehics Code, psychologiss clariy he naure o he conflic, make known heir commimen o he Ehics Code, and ake reasonable seps o resolve he conflic consisen wih he General Principles and Ehical Sandards o he Ehics Code. Under no circumsances may his sandard be used o jusiy or deend violaing human righs. 1.04 Informal Resoluion of Ehical Violaions When psychologiss believe ha here may have been an ehical violaion by anoher psychologis, hey atemp o resolve he issue by bringing i o he atenion o ha indi4
Principle E–Standard 2.01
vidual, i an inormal resoluion appears appropriae and he inervenion does no violae any confidenialiy righs ha may be involved. (See also Sandards 1.02, Conflics Beween Ehics and Law, Regulaions, or Oher Governing Legal Auhoriy, and 1.03, Conflics Beween Ehics and Organizaional Demands.)
1.05 Reporing Ehical Violaions I an apparen ehical violaion has subsanially harmed or is likely o subsanially harm a person or organizaion and is no appropriae or inormal resoluion under Sandard 1.04, Inormal Resoluion o Ehical Violaions, or is no resolved properly in ha ashion, psychologiss ake urher acion appropriae o he siuaion. Such acion migh include reerral o sae or naional commitees on proessional ehics, o sae licensing boards, or o he appropriae insiuional auhoriies. Tis sandard does no apply when an inervenion would violae confidenialiy righs or when psychologiss have been reained o review he work o anoher psychologis whose proessional conduc is in quesion. (See also Sandard 1.02, Conflics Beween Ehics and Law, Regulaions, or Oher Governing Legal Auhoriy.) 1.06 Cooperaing Wih Ehics Commitees Psychologiss cooperae in ehics invesigaions, proceedings, and resuling requiremens o he APA or any afiliaed sae psychological associaion o which hey belong. In doing so, hey address any confidenialiy issues. Failure o cooperae is isel an ehics violaion. However, making a reques or deermen o adjudicaion o an ehics complain pending he oucome o liigaion does no alone consiue noncooperaion. 1.07 Improper Complains Psychologiss do no file or encourage he filing o ehics complains ha are made wih reckless disregard or or willul ignorance o acs ha would disprove he allegaion. 1.08 Unfair Discriminaion Agains Complainans and Respondens Psychologiss do no deny persons employmen, ad vancemen, admissions o academic or oher programs, enure, or promoion, based solely upon heir having made or heir being he subjec o an ehics complain. Tis does no preclude aking acion based upon he oucome o such proceedings or considering oher appropriae inormaion. 2.
Competence
2.01 Boundaries of Compeence (a) Psychologiss provide services, each, and conduc research wih populaions and in areas only wihin he boundaries o heir compeence, based on heir educaion, raining, supervised experience, consulaion, sudy, or proessional experience.
Effective June 1, 2003, as amended 2010
(b) Where scienific or proessional knowledge in he discipline o psychology esablishes ha an undersanding o acors associaed wih age, gender, gender ideniy, race, ehniciy, culure, naional origin, religion, sexual orienaion, disabiliy, language, or socioeconomic saus is essenial or eecive implemenaion o heir services or research, psychologiss have or obain he raining, experience, consulaion, or supervision necessary o ensure he compeence o heir ser vices, or hey make appropriae reerrals, excep as provided in Sandard 2.02, Providing Services in Emergencies. (c) Psychologiss planning o provide services, each, or conduc research involving populaions, areas, echniques, or echnologies new o hem underake relevan educaion, raining, supervised experience, consulaion, or sudy. (d) When psychologiss are asked o provide services o individuals or whom appropriae menal healh services are no available and or which psychologiss have no obained he compeence necessary, psychologiss wih closely relaed prior raining or experience may provide such ser vices in order o ensure ha services are no denied i hey make a reasonable effor o obain he compeence required by using relevan research, raining, consulaion, or sudy. (e) In hose emerging areas in which generally recognized sandards or preparaory raining do no ye exis, psychologiss neverheless ake reasonable seps o ensure he compeence o heir work and o proec cliens/paiens, sudens, supervisees, research paricipans, organizaional cliens, and ohers rom harm. () When assuming orensic roles, psychologiss are or become reasonably amiliar wih he judicial or adminisraive rules governing heir roles.
2.02 Providing Services in Emergencies In emergencies, when psychologiss provide services o individuals or whom oher menal healh services are no available and or which psychologiss have no obained he necessary raining, psychologiss may provide such services in order o ensure ha services are no denied. Te services are disconinued as soon as he emergency has ended or appropriae services are available. 2.03 Mainaining Compeence Psychologiss underake ongoing effors o develop and mainain heir compeence. 2.04 Bases for Scienific and Professional Judgmens Psychologiss’ work is based upon esablished scienific and proessional knowledge o he discipline. (See also Sandards 2.01e, Boundaries o Compeence, and 10.01b, Inormed Consen o Terapy.) 2.05 Delegaion of Work o Ohers Psychologiss who delegae work o employees, super visees, or research or eaching assisans or who use he ser-
Effective June 1, 2003, as amended 2010
vices o ohers, such as inerpreers, ake reasonable seps o (1) avoid delegaing such work o persons who have a muliple relaionship wih hose being served ha would likely lead o exploiaion or loss o objeciviy; (2) auhorize only hose responsibiliies ha such persons can be expeced o perorm compeenly on he basis o heir educaion, raining, or experience, eiher independenly or wih he level o supervision being provided; and (3) see ha such persons perorm hese services compeenly. (See also Sandards 2.02, Providing Services in Emergencies; 3.05, Muliple Relaionships; 4.01, Mainaining Confidenialiy; 9.01, Bases or Assessmens; 9.02, Use o Assessmens; 9.03, Inormed Consen in Assessmens; and 9.07, Assessmen by Unqualified Persons.)
2.06 Personal Problems and Conflics (a) Psychologiss rerain rom iniiaing an aciviy when hey know or should know ha here is a subsanial likelihood ha heir personal problems will preven hem rom perorming heir work-relaed aciviies in a compeen manner. (b) When psychologiss become aware o personal problems ha may inerere wih heir perorming work-relaed duies adequaely, hey ake appropriae measures, such as obaining proessional consulaion or assisance, and deermine wheher hey should limi, suspend, or erminae heir work-relaed duies. (See also Sandard 10.10, erminaing Terapy.) 3.
Human elations
3.01 Unfair Discriminaion In heir work-relaed aciviies, psychologiss do no engage in unair discriminaion based on age, gender, gender ideniy, race, ehniciy, culure, naional origin, religion, sexual orienaion, disabiliy, socioeconomic saus, or any basis proscribed by law. 3.02 Sexual Harassmen Psychologiss do no engage in sexual harassmen. Sexual harassmen is sexual soliciaion, physical advances, or verbal or nonverbal conduc ha is sexual in naure, ha occurs in connecion wih he psychologis’s aciviies or roles as a psychologis, and ha eiher (1) is unwelcome, is offensive, or creaes a hosile workplace or educaional environmen, and he psychologis knows or is old his or (2) is sufficienly severe or inense o be abusive o a reasonable person in he conex. Sexual harassmen can consis o a single inense or severe ac or o muliple persisen or pervasive acs. (See also Sandard 1.08, Unair Discriminaion Agains Complainans and Respondens.) 3.03 Oher Harassmen Psychologiss do no knowingly engage in behavior ha is harassing or demeaning o persons wih whom hey inerac in heir work based on acors such as hose persons’ age, gender, gender ideniy, race, ehniciy, culure, naional
Standard 2.02–Standard 3.03
5
origin, religion, sexual orienaion, disabiliy, language, or socioeconomic saus.
3.04 Avoiding Harm Psychologiss ake reasonable seps o avoid harming heir cliens/paiens, sudens, supervisees, research paricipans, organizaional cliens, and ohers wih whom hey work, and o minimize harm where i is oreseeable and unavoidable. 3.05 Muliple Relaionships (a) A muliple relaionship occurs when a psychologis is in a proessional role wih a person and (1) a he same ime is in anoher role wih he same person, (2) a he same ime is in a relaionship wih a person closely associaed wih or relaed o he person wih whom he psychologis has he proessional relaionship, or (3) promises o ener ino anoher relaionship in he uure wih he person or a person closely associaed wih or relaed o he person. A psychologis rerains rom enering ino a muliple relaionship i he muliple relaionship could reasonably be expeced o impair he psychologis’s objeciviy, compeence, or effeciveness in perorming his or her uncions as a psychologis, or oherwise risks exploiaion or harm o he person wih whom he proessional relaionship exiss. Muliple relaionships ha would no reasonably be expeced o cause impairmen or risk exploiaion or harm are no unehical. (b) I a psychologis finds ha, due o unoreseen acors, a poenially harmul muliple relaionship has arisen, he psychologis akes reasonable seps o resolve i wih due regard or he bes ineress o he affeced person and maximal compliance wih he Ehics Code. (c) When psychologiss are required by law, insiuional policy, or exraordinary circumsances o serve in more han one role in judicial or adminisraive proceedings, a he ouse hey clariy role expecaions and he exen o confidenialiy and hereafer as changes occur. (See also Sandards 3.04, Avoiding Harm, and 3.07, Tird-Pary Requess or Services.) 3.06 Conflic of Ineres Psychologiss rerain rom aking on a proessional role when personal, scienific, proessional, legal, financial, or oher ineress or relaionships could reasonably be expeced o (1) impair heir objeciviy, compeence, or effeciveness in perorming heir uncions as psychologiss or (2) expose he person or organizaion wih whom he proessional relaionship exiss o harm or exploiaion. 3.07 Tird-Pary Requess for Services When psychologiss agree o provide services o a person or eniy a he reques o a hird pary, psychologiss atemp o clariy a he ouse o he service he naure o he relaionship wih all individuals or organizaions involved. Tis clarificaion includes he role o he psychologis (e.g., 6
Standard 3.04–Standard 3.10
herapis, consulan, diagnosician, or exper winess), an idenificaion o who is he clien, he probable uses o he services provided or he inormaion obained, and he ac ha here may be limis o confidenialiy. (See also Sandards 3.05, Muliple Relaionships, and 4.02, Discussing he L imis o Confidenialiy.)
3.08 Exploiaive Relaionships Psychologiss do no exploi persons over whom hey have supervisory, evaluaive, or oher auhoriy such as cliens/paiens, sudens, supervisees, research paricipans, and employees. (See also Sandards 3.05, Muliple Relaionships; 6.04, Fees and Financial Arrangemens; 6.05, Barer Wih Cliens/Paiens; 7.07, Sexual Relaionships Wih Sudens and Supervisees; 10.05, Sexual Inimacies Wih Curren Terapy Cliens/Paiens; 10.06, Sexual Inimacies Wih Relaives or Significan Ohers o Curren Terapy Cliens/ Paiens; 10.07, Terapy Wih Former Sexual Parners; and 10.08, Sexual Inimacies Wih Former Terapy Cliens/Paiens.) 3.09 Cooperaion Wih Oher Professionals When indicaed and proessionally appropriae, psychologiss cooperae wih oher proessionals in order o serve heir cliens/paiens effecively and appropriaely. (See also Sandard 4.05, Disclosures.) 3.10 Informed Consen (a) When psychologiss conduc research or provide assessmen, herapy, counseling, or consuling services in person or via elecronic ransmission or oher orms o communicaion, hey obain he inormed consen o he individual or individuals using language ha is reasonably undersandable o ha person or persons excep when conducing such aciviies wihou consen is mandaed by law or governmenal regulaion or as oherwise provided in his Ehics Code. (See also Sandards 8.02, Inormed Consen o Research; 9.03, Inormed Consen in Assessmens; and 10.01, Inormed Consen o Terapy.) (b) For persons who are legally incapable o giving inormed consen, psychologiss neverheless (1) provide an appropriae explanaion, (2) seek he individual’s assen, (3) consider such persons’ preerences and bes ineress, and (4) obain appropriae permission rom a legally auhorized person, i such subsiue consen is permited or required by law. When consen by a legally auhorized person is no permited or required by law, psychologiss ake reasonable seps o proec he individual’s righs and welare. (c) When psychological services are cour ordered or oherwise mandaed, psychologiss inorm he individual o he naure o he anicipaed services, including wheher he services are cour ordered or mandaed and any limis o confidenialiy, beore proceeding. (d) Psychologiss appropriaely documen writen or oral consen, permission, and assen. (See also Sandards 8.02,
Effective June 1, 2003, as amended 2010
Inormed Consen o Research; 9.03, Inormed Consen in Assessmens; and 10.01, Inormed Consen o Terapy.)
3.11 Psychological Services Delivered o or Trough Organizaions (a) Psychologiss delivering services o or hrough organizaions provide inormaion beorehand o cliens and when appropriae hose direcly affeced by he services abou (1) he naure and objecives o he services, (2) he inended recipiens, (3) which o he individuals are cliens, (4) he relaionship he psychologis will have wih each person and he organizaion, (5) he probable uses o services provided and inormaion obained, (6) who will have access o he inormaion, and (7) limis o confidenialiy. As soon as easible, hey provide inormaion abou he resuls and conclusions o such services o appropriae persons. (b) I psychologiss will be precluded by law or by organizaional roles rom providing such inormaion o paricular individuals or groups, hey so inorm hose individual s or groups a he ouse o he service. 3.12 Inerrupion of Psychological Services Unless oherwise covered by conrac, psychologiss make reasonable effors o plan or aciliaing services in he even ha psychological services are inerruped by acors such as he psychologis’s illness, deah, unavailabiliy, relocaion, or reiremen or by he clien’s/paien’s relocaion or financial limiaions. (See also Sandard 6.02c, Mainenance, Disseminaion, and Disposal o Confidenial Records o Proessional and Scienific Work.) 4.
Privacy and Confidentiality
4.01 Mainaining Confidenialiy Psychologiss have a primary obligaion and ake reasonable precauions o proec confidenial inormaion obained hrough or sored in any medium, recognizing ha he exen and limis o confidenialiy may be regulaed by law or esablished by insiuional rules or proessional or scienific relaionship. (See also Sandard 2.05, Delegaion o Work o Ohers.) 4.02 Discussing he Limis of Confidenialiy (a) Psychologiss discuss wih persons (including, o he exen easible, persons who are legally incapable o giving inormed consen and heir legal represenaives) and organizaions wih whom hey esablish a scienific or proessional relaionship (1) he relevan limis o confidenialiy and (2) he oreseeable uses o he inormaion generaed hrough heir psychological aciviies. (See also Sandard 3.10, Inormed Consen.) (b) Unless i is no easible or is conraindicaed, he discussion o confidenialiy occurs a he ouse o he relaionship and hereafer as new circumsances may warran.
Effective June 1, 2003, as amended 2010
(c) Psychologiss who offer services, producs, or inormaion via elecronic ransmission inorm cliens/paiens o he risks o privacy and limis o confidenialiy.
4.03 Recording Beore recording he voices or images o individuals o whom hey provide services, psychologiss obain permission rom all such persons or heir legal represenaives. (See also Sandards 8.03, Inormed Consen or Recording Voices and Images in Research; 8.05, Dispensing Wih Inormed Consen or Research; and 8.07, Decepion in Research.) 4.04 Minimizing Inrusions on Privacy (a) Psychologiss include in writen and oral repors and consulaions, only inormaion germane o he purpose or which he communicaion is made. (b) Psychologiss discuss confidenial inormaion obained in heir work only or appropriae scienific or proessional purposes and only wih persons clearly concerned wih such maters. 4.05 Disclosures (a) Psychologiss may disclose confidenial inormaion wih he appropriae consen o he organizaional clien, he individual clien/paien, or anoher legally auhorized person on behal o he clien/paien unless prohibied by law. (b) Psychologiss disclose confidenial inormaion wihou he consen o he individual only as mandaed by law, or where permited by law or a valid purpose such as o (1) provide needed proessional services; (2) obain appropriae proessional consulaions; (3) proec he clien/paien, psychologis, or ohers rom harm; or (4) obain paymen or services rom a clien/paien, in which insance disclosure is limied o he minimum ha is necessary o achieve he purpose. (See also Sandard 6.04e, Fees and Financial Arrangemens.) 4.06 Consulaions When consuling wih colleagues, (1) psychologiss do no disclose confidenial inormaion ha reasonably could lead o he idenificaion o a clien/paien, research paricipan, or oher person or organizaion wih whom hey have a confidenial relaionship unless hey have obained he prior consen o he person or organizaion or he disclosure canno be avoided, and (2) hey disclose inormaion only o he exen necessary o achieve he purposes o he consulaion. (See also Sandard 4.01, Mainaining Confidenialiy.) 4.07 Use of Confidenial Informaion for Didacic or Oher Purposes Psychologiss do no disclose in heir wriings, lecures, or oher public media, confidenial, personally idenifiable inormaion concerning heir cliens/paiens, sudens, research paricipans, organizaional cliens, or oher recipi-
Standard 3.11–Standard 4.07
7
ens o heir services ha hey obained during he course o heir work, unless (1) hey ake reasonable seps o disguise he person or organizaion, (2) he person or organizaion has consened in wriing, or (3) here is legal auhorizaion or doing so.
5.
Advertising and Other Public Statements
5.01 Avoidance of False or Decepive Saemens (a) Public saemens include bu are no limied o paid or unpaid adverising, produc endorsemens, gran applicaions, licensing applicaions, oher credenialing applicaions, brochures, prined mater, direcory lisings, personal resumes or curricula viae, or commens or use in media such as prin or elecronic ransmission, saemens in legal proceedings, lecures and public oral presenaions, and published maerials. Psychologiss do no knowingly make public saemens ha are alse, decepive, or raudulen concerning heir research, pracice, or oher work aciviies or hose o persons or organizaions wih which hey are affiliaed. (b) Psychologiss do no make alse, decepive, or raudulen saemens concerning (1) heir raining, experience, or compeence; (2) heir academic degrees; (3) heir credenials; (4) heir insiuional or associaion affiliaions; (5) heir services; (6) he scienific or clinical basis or, or resuls or degree o success o, heir services; (7) heir ees; or (8) heir publicaions or research findings. (c) Psychologiss claim degrees as credenials or heir healh services only i hose degrees (1) were earned rom a regionally accredied educaional insiuion or (2) were he basis or psychology licensure by he sae in which hey pracice. 5.02 Saemens by Ohers (a) Psychologiss who engage ohers o creae or place public saemens ha promoe heir proessional pracice, producs, or aciviies reain proessional responsibiliy or such saemens. (b) Psychologiss do no compensae employees o press, radio, elevision, or oher communicaion media in reurn or publiciy in a news iem. (See also Sandard 1.01, Misuse o Psychologiss’ Work.) (c) A paid adverisemen relaing o psychologiss’ aciviies mus be idenified or clearly recognizable as such. 5.03 Descripions of Workshops and Non-DegreeGraning Educaional Programs o he degree o which hey exercise conrol, psychologiss responsible or announcemens, caalogs, brochures, or adverisemens describing workshops, seminars, or oher non-degree-graning educaional programs ensure ha hey accuraely describe he audience or which he program is inended, he educaional objecives, he preseners, and he ees involved.
8
Standard 5.01–Standard 6.02
5.04 Media Presenaions When psychologiss provide public advice or commen via prin, Inerne, or oher elecronic ransmission, hey ake precauions o ensure ha saemens (1) are based on heir proessional knowledge, raining, or experience in accord wih appropriae psychological lieraure and pracice; (2) are oherwise consisen wih his Ehics Code; and (3) do no indicae ha a proessional relaionship has been esablished wih he recipien. (See also Sandard 2.04, Bases or Scienific and Proessional Judgmens.) 5.05 esimonials Psychologiss do no solici esimonials rom curren herapy cliens/paiens or oher persons who because o heir paricular circumsances are vulnerable o undue influence. 5.06 In-Person Soliciaion Psychologiss do no engage, direcly or hrough agens, in uninvied in-person soliciaion o business rom acual or poenial herapy cliens/paiens or oher persons who because o heir paricular circumsances are vulnerable o undue influence. However, his prohibiion does no preclude (1) atemping o implemen appropriae collaeral conacs or he purpose o benefiing an already engaged herapy clien/paien or (2) providing disaser or communiy oureach services. 6.
ecord Keeping and Fees
6.01 Documenaion of Professional and Scienific Work and Mainenance of Records Psychologiss creae, and o he exen he records are under heir conrol, mainain, disseminae, sore, reain, and dispose o records and daa relaing o heir proessional and scienific work in order o (1) aciliae provision o services laer by hem or by oher proessionals, (2) allow or replicaion o research design and analyses, (3) mee insiuional requiremens, (4) ensure accuracy o billing and paymens, and (5) ensure compliance wih law. (See also Sandard 4.01, Mainaining Confidenialiy.) 6.02 Mainenance, Disseminaion, and Disposal of Confidenial Records of Professional and Scienific Work (a) Psychologiss mainain confidenialiy in creaing, soring, accessing, ranserring, and disposing o records under heir conrol, wheher hese are writen, auomaed, or in any oher medium. (See also Sandards 4.01, Mainaining Confidenialiy, and 6.01, Documenaion o Proessional and Scienific Work and Mainenance o Records.) (b) I confidenial inormaion concerning recipiens o psychological services is enered ino daabases or sysems o records available o persons whose access has no been consened o by he recipien, psychologiss use coding or oher echniques o avoid he inclusion o personal idenifiers.
Effective June 1, 2003, as amended 2010
(c) Psychologiss make plans in advance o aciliae he appropriae ranser and o proec he confidenialiy o records and daa in he even o psychologiss’ wihdrawal rom posiions or pracice. (See also Sandards 3.12, Inerrupion o Psychological Services, and 10.09, Inerrupion o Terapy.)
er–employee relaionship, he paymen o each is based on he services provided (clinical, consulaive, adminisraive, or oher) and is no based on he reerral isel. (See also Sandard 3.09, Cooperaion Wih Oher Proessionals.)
6.03 Wihholding Records for Nonpaymen Psychologiss may no wihhold records under heir conrol ha are requesed and needed or a clien’s/paien’s emergency reamen solely because paymen has no been received.
7.01 Design of Educaion and raining Programs Psychologiss responsible or educaion and raining programs ake reasonable seps o ensure ha he programs are designed o provide he appropriae knowledge and proper experiences, and o mee he requiremens or licensure, cerificaion, or oher goals or which claims are made by he program. (See also Sandard 5.03, Descripions o Workshops and Non-Degree-Graning Educaional Programs.)
6.04 Fees and Financial Arrangemens (a) As early as is easible in a proessional or scienific relaionship, psychologiss and recipiens o psychological services reach an agreemen speciying compensaion and billing arrangemens. (b) Psychologiss’ ee pracices are consisen wih law. (c) Psychologiss do no misrepresen heir ees. (d) I limiaions o services can be anicipaed because o limiaions in financing, his is discussed wih he recipien o services as early as is easible. (See also Sandards 10.09, Inerrupion o Terapy, and 10.10, erminaing Terapy.) (e) I he recipien o services does no pay or services as agreed, and i psychologiss inend o use collecion agencies or legal measures o collec he ees, psychologiss firs inorm he person ha such measures will be aken and provide ha person an opporuniy o make promp paymen. (See also Sandards 4.05, Disclosures; 6.03, Wihholding Records or Nonpaymen; and 10.01, Inormed Consen o Terapy.) 6.05 Barer Wih Cliens/Paiens Barer is he accepance o goods, services, or oher nonmoneary remuneraion rom cliens/paiens in reurn or psychological services. Psychologiss may barer only i (1) i is no clinically conraindicaed, and (2) he resuling arrangemen is no exploiaive. (See also Sandards 3.05, Muliple Relaionships, and 6.04, Fees and Financial Arrangemens.) 6.06 Accuracy in Repors o Payors and Funding Sources In heir repors o payors or services or sources o research unding, psychologiss ake reasonable seps o ensure he accurae reporing o he naure o he service pro vided or research conduced, he ees, charges, or paymens, and where applicable, he ideniy o he provider, he findings, and he diagnosis. (See also Sandards 4.01, Mainaining Confidenialiy; 4.04, Minimizing Inrusions on Privacy; and 4.05, Disclosures.) 6.07 Referrals and Fees When psychologiss pay, receive paymen rom, or di vide ees wih anoher proessional, oher han in an employ-
Effective June 1, 2003, as amended 2010
7.
Education and raining
7.02 Descripions of Educaion and raining Programs Psychologiss responsible or educaion and raining programs ake reasonable seps o ensure ha here is a curren and accurae descripion o he program conen (including paricipaion in required course- or program-relaed counseling, psychoherapy, experienial groups, consuling projecs, or communiy service), raining goals and objecives, sipends and benefis, and requiremens ha mus be me or saisacory compleion o he program. Tis inormaion mus be made readily available o all ineresed paries. 7.03 Accuracy in eaching (a) Psychologiss ake reasonable seps o ensure ha course syllabi are accurae regarding he subjec mater o be covered, bases or evaluaing progress, and he naure o course experiences. Tis sandard does no preclude an insrucor rom modiying course conen or requiremens when he insrucor considers i pedagogically necessary or desirable, so long as sudens are made aware o hese modificaions in a manner ha enables hem o ulfill course requiremens. (See also Sandard 5.01, Avoidance o False or Decepive Saemens.) (b) When engaged in eaching or raining, psychologiss presen psychological inormaion accuraely. (See also Sandard 2.03, Mainaining Compeence.) 7.04 Suden Disclosure of Personal Informaion Psychologiss do no require sudens or supervisees o disclose personal inormaion in course- or program-relaed aciviies, eiher orally or in wriing, regarding sexual hisory, hisory o abuse and neglec, psychological reamen, and relaionships wih parens, peers, and spouses or significan ohers excep i (1) he program or raining aciliy has clearly idenified his requiremen in is admissions and program maerials or (2) he inormaion is necessary o evaluae or obain assisance or sudens whose personal problems could reasonably be judged o be prevening hem rom perorming heir raining- or proessionally relaed aciviies in a compeen manner or posing a hrea o he sudens or ohers.
Standard 6.03–Standard 7.04
9
7.05 Mandaory Individual or Group Terapy (a) When individual or group herapy is a program or course requiremen, psychologiss responsible or ha program allow sudens in undergraduae and graduae programs he opion o selecing such herapy rom praciioners unafiliaed wih he program. (See also Sandard 7.02, Descripions o Educaion and raining Programs.) (b) Faculy who are or are likely o be responsible or evaluaing sudens’ academic perormance do no hemselves provide ha herapy. (See also Sandard 3.05, Muliple Relaionships.) 7.06 Assessing Suden and Supervisee Performance (a) In academic and supervisory relaionships, psychologiss esablish a imely and specific process or providing eedback o sudens and supervisees. Inormaion regarding he process is provided o he suden a he beginning o supervision. (b) Psychologiss evaluae sudens and supervisees on he basis o heir acual perormance on relevan and esablished program requiremens. 7.07 Sexual Relaionships Wih Sudens and Supervisees Psychologiss do no engage in sexual relaionships wih sudens or supervisees who are in heir deparmen, agency, or raining cener or over whom psychologiss have or are likely o have evaluaive auhoriy. (See also Sandard 3.05, Muliple Relaionships.) 8.
esearch and Publication
8.01 Insiuional Approval When insiuional approval is required, psychologiss provide accurae inormaion abou heir research proposals and obain approval prior o conducing he research. Tey conduc he research in accordance wih he approved research proocol. 8.02 Informed Consen o Research (a) When obaining inormed consen as required in Sandard 3.10, Inormed Consen, psychologiss inorm paricipans abou (1) he purpose o he research, expeced duraion, and procedures; (2) heir righ o decline o paricipae and o wihdraw rom he research once paricipaion has begun; (3) he oreseeable consequences o declining or wihdrawing; (4) reasonably oreseeable acors ha may be expeced o influence heir willingness o paricipae such as poenial risks, discomor, or adverse effecs; (5) any prospecive research benefis; (6) limis o confidenialiy; (7) incenives or paricipaion; and (8) whom o conac or quesions abou he research and research paricipans’ righs. Tey pro vide opporuniy or he prospecive paricipans o ask quesions and receive answers. (See also Sandards 8.03, Inormed Consen or Recording Voices and Images in Research; 8.05, 10
Standard 7.05–Standard 8.05
Dispensing Wih Inormed Consen or Research; and 8.07, Decepion in Research.) (b) Psychologiss conducing inervenion research involving he use o experimenal reamens clariy o paricipans a he ouse o he research (1) he experimenal naure o he reamen; (2) he services ha will or will no be available o he conrol group(s) i appropriae; (3) he means by which assignmen o reamen and conrol groups will be made; (4) available reamen alernaives i an indi vidual does no wish o paricipae in he research or wishes o wihdraw once a sudy has begun; and (5) compensaion or or moneary coss o paricipaing including, i appropriae, wheher reimbursemen rom he paricipan or a hird-pary payor will be sough. (See also Sandard 8.02a, Inormed Consen o Research.)
8.03 Informed Consen for Recording Voices and Images in Research Psychologiss obain inormed consen rom research paricipans prior o recording heir voices or images or daa collecion unless (1) he research consiss solely o nauralisic observaions in public places, and i is no anicipaed ha he recording will be used in a manner ha could cause personal idenificaion or harm, or (2) he research design includes decepion, and consen or he use o he recording is obained during debriefing. (See also Sandard 8.07, Decepion in Research.) 8.04 Clien/Paien, Suden, and Subordinae Research Paricipans (a) When psychologiss conduc research wih cliens/paiens, sudens, or subordinaes as paricipans, psychologiss ake seps o proec he prospecive paricipans rom adverse consequences o declining or wihdrawing rom paricipaion. (b) When research paricipaion is a course requiremen or an opporuniy or exra credi, he prospecive paricipan is given he choice o equiable alernaive aciviies. 8.05 Dispensing Wih Informed Consen for Research Psychologiss may dispense wih inormed consen only (1) where research would no reasonably be assumed o creae disress or harm and involves (a) he sudy o normal educaional pracices, curricula, or classroom managemen mehods conduced in educaional setings; (b) only anonymous quesionnaires, nauralisic observaions, or archival research or which disclosure o responses would no place paricipans a risk o criminal or civil liabiliy or damage heir financial sanding, employabiliy, or repuaion, and confidenialiy is proeced; or (c) he sudy o acors relaed o job or organizaion effeciveness conduced in organizaional setings or which here is no risk o paricipans’ employabiliy, and confidenialiy is proeced or (2) where oherwise permited by law or ederal or insiuional regulaions.
Effective June 1, 2003, as amended 2010
8.06 Offering Inducemens for Research Paricipaion (a) Psychologiss make reasonable effors o avoid offering excessive or inappropriae financial or oher inducemens or research paricipaion when such inducemens are likely o coerce paricipaion. (b) When offering proessional services as an inducemen or research paricipaion, psychologiss clariy he naure o he services, as well as he risks, obligaions, and limiaions. (See also Sandard 6.05, Barer Wih Cliens/Paiens.) 8.07 Decepion in Research (a) Psychologiss do no conduc a sudy involving decepion unless hey have deermined ha he use o decepive echniques is jusified by he sudy’s significan prospecive scienific, educaional, or applied value and ha effecive nondecepive alernaive procedures are no easible. (b) Psychologiss do no deceive prospecive paricipans abou research ha is reasonably expeced o cause physical pain or severe emoional disress. (c) Psychologiss explain any decepion ha is an inegral eaure o he design and conduc o an experimen o paricipans as early as is easible, preerably a he conclusion o heir paricipaion, bu no laer han a he conclusion o he daa collecion, and permi paricipans o wihdraw heir daa. (See also Sandard 8.08, Debriefing.) 8.08 Debriefing (a) Psychologiss provide a promp opporuniy or paricipans o obain appropriae inormaion abou he naure, resuls, and conclusions o he research, and hey ake reasonable seps o correc any misconcepions ha paricipans may have o which he psychologiss are aware. (b) I scienific or humane values jusiy delaying or wihholding his inormaion, psychologiss ake reasonable measures o reduce he risk o harm. (c) When psychologiss become aware ha research procedures have harmed a paricipan, hey ake reasonable seps o minimize he harm. 8.09 Humane Care and Use of Animals in Research (a) Psychologiss acquire, care or, use, and dispose o animals in compliance wih curren ederal, sae, and local laws and regulaions, and wih proessional sandards. (b) Psychologiss rained in research mehods and experienced in he care o laboraory animals supervise all procedures involving animals and are responsible or ensuring appropriae consideraion o heir comor, healh, and humane reamen. (c) Psychologiss ensure ha all individuals under heir supervision who are using animals have received insrucion in research mehods and in he care, mainenance, and handling o he species being used, o he exen appropriae
Effective June 1, 2003, as amended 2010
o heir role. (See also Sandard 2.05, Delegaion o Work o Ohers.) (d) Psychologiss make reasonable effors o minimize he discomor, inecion, illness, and pain o animal subjecs. (e) Psychologiss use a procedure subjecing animals o pain, sress, or privaion only when an alernaive procedure is unavailable and he goal is jusified by is prospecive scienific, educaional, or applied value. () Psychologiss perorm surgical procedures under appropriae aneshesia and ollow echniques o avoid inecion and minimize pain during and afer surgery. (g) When i is appropriae ha an animal’s lie be erminaed, psychologiss proceed rapidly, wih an effor o minimize pain and in accordance wih acceped procedures.
8.10 Reporing Research Resuls (a) Psychologiss do no abricae daa. (See also Sandard 5.01a, Avoidance o False or Decepive Saemens.) (b) I psychologiss discover significan errors in heir published daa, hey ake reasonable seps o correc such errors in a correcion, reracion, erraum, or oher appropriae publicaion means. 8.11 Plagiarism Psychologiss do no presen porions o anoher’s work or daa as heir own, even i he oher work or daa source is cied occasionally. 8.12 Publicaion Credi (a) Psychologiss ake responsibiliy and credi, including auhorship credi, only or work hey have acually perormed or o which hey have subsanially conribued. (See also Sandard 8.12b, Publicaion Credi.) (b) Principal auhorship and oher publicaion credis accuraely reflec he relaive scienific or proessional conri buions o he individuals involved, regardless o heir relaive saus. Mere possession o an insiuional posiion, such as deparmen chair, does no jusiy auhorship credi. Minor conribuions o he research or o he wriing or publicaions are acknowledged appropriaely, such as in oonoes or in an inroducory saemen. (c) Excep under excepional circumsances, a suden is lised as principal auhor on any muliple-auhored aricle ha is subsanially based on he suden’s docoral disseraion. Faculy advisors discuss publicaion credi wih sudens as early as easible and hroughou he research and publicaion process as appropriae. (See also Sandard 8.12b, Publicaion Credi.) 8.13 Duplicae Publicaion of Daa Psychologiss do no publish, as original daa, daa ha have been previously published. Tis does no preclude republishing daa when hey are accompanied by proper acknowledgmen.
Standard 8.06–Standard 8.13
11
8.14 Sharing Research Daa for Verificaion (a) Afer research resuls are published, psychologiss do no wihhold he daa on which heir conclusions are based rom oher compeen proessionals who seek o veriy he subsanive claims hrough reanalysis and who inend o use such daa only or ha purpose, provided ha he confidenialiy o he paricipans can be proeced and unless legal righs concerning proprieary daa preclude heir release. Tis does no preclude psychologiss rom requiring ha such indi viduals or groups be responsible or coss associaed wih he provision o such inormaion. (b) Psychologiss who reques daa rom oher psychologiss o veriy he subsanive claims hrough reanalysis may use shared daa only or he declared purpose. Requesing psychologiss obain prior writen agreemen or all oher uses o he daa. 8.15 Reviewers Psychologiss who review maerial submited or presenaion, publicaion, gran, or research proposal review respec he confidenialiy o and he proprieary righs in such inormaion o hose who submited i. 9.
Assessment
9.01 Bases for Assessmens (a) Psychologiss base he opinions conained in heir recommendaions, repors, and diagnosic or evaluaive saemens, including orensic esimony, on inormaion and echniques sufficien o subsaniae heir findings. (See also Sandard 2.04, Bases or Scienific and Proessional Judgmens.) (b) Excep as noed in 9.01c, psychologiss provide opinions o he psychological characerisics o individuals only afer hey have conduced an examinaion o he indi viduals adequae o suppor heir saemens or conclusions. When, despie reasonable effors, such an examinaion is no pracical, psychologiss documen he effors hey made and he resul o hose effors, clariy he probable impac o heir limied inormaion on he reliabiliy and validiy o heir opinions, and appropriaely limi he naure and exen o heir conclusions or recommendaions. (See also Sandards 2.01, Boundaries o Compeence, and 9.06, Inerpreing Assessmen Resuls.) (c) When psychologiss conduc a record review or provide consulaion or supervision and an individual examinaion is no warraned or necessary or he opinion, psychologiss explain his and he sources o inormaion on which hey based heir conclusions and recommendaions. 9.02 Use of Assessmens (a) Psychologiss adminiser, adap, score, inerpre, or use assessmen echniques, inerviews, ess, or insrumens in a manner and or purposes ha are appropriae in ligh o he research on or evidence o he useulness and proper applicaion o he echniques.
12
Standard 8.14–Standard 9.04
(b) Psychologiss use assessmen insrumens whose validiy and reliabiliy have been esablished or use wih members o he populaion esed. When such validiy or reliabiliy has no been esablished, psychologiss describe he srenghs and limiaions o es resuls and inerpreaion. (c) Psychologiss use assessmen mehods ha are appropriae o an individual’s language preerence and compeence, unless he use o an alernaive language is relevan o he assessmen issues.
9.03 Informed Consen in Assessmens (a) Psychologiss obain inormed consen or assessmens, evaluaions, or diagnosic services, as described in Sandard 3.10, Inormed Consen, excep when (1) esing is mandaed by law or governmenal regulaions; (2) inormed consen is implied because esing is conduced as a rouine educaional, insiuional, or organizaional aciviy (e.g., when paricipans volunarily agree o assessmen when applying or a job); or (3) one purpose o he esing is o evaluae decisional capaciy. Inormed consen includes an explanaion o he naure and purpose o he assessmen, ees, involvemen o hird paries, and limis o confidenialiy and sufficien opporuniy or he clien/paien o ask quesions and receive answers. (b) Psychologiss inorm persons wih quesionable capaciy o consen or or whom esing is mandaed by law or governmenal regulaions abou he naure and purpose o he proposed assessmen services, using language ha is reasonably undersandable o he person being assessed. (c) Psychologiss using he services o an inerpreer obain inormed consen rom he clien/paien o use ha inerpreer, ensure ha confidenialiy o es resuls and es securiy are mainained, and include in heir recommendaions, repors, and diagnosic or evaluaive saemens, including orensic esimony, discussion o any limiaions on he daa obained. (See also Sandards 2.05, Delegaion o Work o Ohers; 4.01, Mainaining Confidenialiy; 9.01, Bases or Assessmens; 9.06, Inerpreing Assessmen Resuls; and 9.07, Assessmen by Unqualified Persons.) 9.04 Release of es Daa (a) Te erm test data reers o raw and scaled scores, clien/paien responses o es quesions or simuli, and psychologiss’ noes and recordings concerning clien/paien saemens and behavior during an examinaion. Tose porions o es maerials ha include clien/paien responses are included in he definiion o test data. Pursuan o a clien/ paien release, psychologiss provide es daa o he clien/ paien or oher persons idenified in he release. Psychologiss may rerain rom releasing es daa o proec a clien/ paien or ohers rom subsanial harm or misuse or misrepresenaion o he daa or he es, recognizing ha in many insances release o confidenial inormaion under hese circumsances is regulaed by law. (See also Sandard 9.11, Mainaining es Securiy.)
Effective June 1, 2003, as amended 2010
(b) In he absence o a clien/paien release, psychologiss provide es daa only as required by law or cour order.
9.05 es Consrucion Psychologiss who develop ess and oher assessmen echniques use appropriae psychomeric procedures and curren scienific or proessional knowledge or es design, sandardizaion, validaion, reducion or eliminaion o bias, and recommendaions or use. 9.06 Inerpreing Assessmen Resuls When inerpreing assessmen resuls, including auomaed inerpreaions, psychologiss ake ino accoun he purpose o he assessmen as well as he various es acors, es-aking abiliies, and oher characerisics o he person being assessed, such as siuaional, personal, linguisic, and culural differences, ha migh affec psychologiss’ judgmens or reduce he accuracy o heir inerpreaions. Tey indicae any significan limiaions o heir inerpreaions. (See also Sandards 2.01b and c, Boundaries o Compeence, and 3.01, Unair Discriminaion.) 9.07 Assessmen by Unqualified Persons Psychologiss do no promoe he use o psychological assessmen echniques by unqualified persons, excep when such use is conduced or raining purposes wih appropriae supervision. (See also Sandard 2.05, Delegaion o Work o Ohers.) 9.08 Obsolee ess and Oudaed es Resuls (a) Psychologiss do no base heir assessmen or inervenion decisions or recommendaions on daa or es resuls ha are oudaed or he curren purpose. (b) Psychologiss do no base such decisions or recommendaions on ess and measures ha are obsolee and no useul or he curren purpose. 9.09 es Scoring and Inerpreaion Services (a) Psychologiss who offer assessmen or scoring ser vices o oher proessionals accuraely describe he purpose, norms, validiy, reliabiliy, and applicaions o he procedures and any special qualificaions applicable o heir use. (b) Psychologiss selec scoring and inerpreaion services (including auomaed services) on he basis o evidence o he validiy o he program and procedures as well as on oher appropriae consideraions. (See also Sandard 2.01b and c, Boundaries o Compeence.) (c) Psychologiss reain responsibiliy or he appropriae applicaion, inerpreaion, and use o assessmen insrumens, wheher hey score and inerpre such ess hemselves or use auomaed or oher services. 9.10 Explaining Assessmen Resuls Regardless o wheher he scoring and inerpreaion are done by psychologiss, by employees or assisans, or by
Effective June 1, 2003, as amended 2010
auomaed or oher ouside services, psychologiss ake reasonable seps o ensure ha explanaions o resuls are given o he individual or designaed represenaive unless he naure o he relaionship precludes provision o an explanaion o resuls (such as in some organizaional consuling, preemploymen or securiy screenings, and orensic evaluaions), and his ac has been clearly explained o he person being assessed in advance.
9.11 Mainaining es Securiy Te erm test materials reers o manuals, insrumens, proocols, and es quesions or simuli and does no include test data as defined in Sandard 9.04, Release o es Daa. Psychologiss make reasonable effors o mainain he inegriy and securiy o es maerials and oher assessmen echniques consisen wih law and conracual obligaions, and in a manner ha permis adherence o his Ehics Code. 10.
Terapy
10.01 Informed Consen o Terapy (a) When obaining inormed consen o herapy as required in Sandard 3.10, Inormed Consen, psychologiss inorm cliens/paiens as early as is easible in he herapeuic relaionship abou he naure and anicipaed course o herapy, ees, involvemen o hird paries, and limis o confidenialiy and provide sufficien opporuniy or he clien/ paien o ask quesions and receive answers. (See also Sandards 4.02, Discussing he Limis o Confidenialiy, and 6.04, Fees and Financial Arrangemens.) (b) When obaining inormed consen or reamen or which generally recognized echniques and procedures have no been esablished, psychologiss inorm heir cliens/paiens o he developing naure o he reamen, he poenial risks involved, alernaive reamens ha may be available, and he volunary naure o heir paricipaion. (See also Sandards 2.01e, Boundaries o Compeence, and 3.10, Inormed Consen.) (c) When he herapis is a rainee and he legal responsibiliy or he reamen provided resides wih he supervisor, he clien/paien, as par o he inormed consen procedure, is inormed ha he herapis is in raining and is being supervised and is given he name o he supervisor. 10.02 Terapy Involving Couples or Families (a) When psychologiss agree o provide services o several persons who have a relaionship (such as spouses, significan ohers, or parens and children), hey ake reasonable seps o clariy a he ouse (1) which o he individuals are cliens/paiens and (2) he relaionship he psychologis will have wih each person. Tis clarificaion includes he psychologis’s role and he probable uses o he services provided or he inormaion obained. (See also Sandard 4.02, Discussing he Limis o Confidenialiy.) (b) I i becomes apparen ha psychologiss may be called on o perorm poenially conflicing roles (such
Standard 9.05–Standard 10.02
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as amily herapis and hen winess or one pary in divorce proceedings), psychologiss ake reasonable seps o clariy and modiy, or wihdraw rom, roles appropriaely. (See also Sandard 3.05c, Muliple Relaionships.)
10.03 Group Terapy When psychologiss provide services o several persons in a group seting, hey describe a he ouse he roles and responsibiliies o all paries and he limis o confidenialiy. 10.04 Providing Terapy o Tose Served by Ohers In deciding wheher o offer or provide services o hose already receiving menal healh services elsewhere, psychologiss careully consider he reamen issues and he poenial clien’s/paien’s welare. Psychologiss discuss hese issues wih he clien/paien or anoher legally auhorized person on behal o he clien/paien in order o minimize he risk o conusion and conflic, consul wih he oher ser vice providers when appropriae, and proceed wih cauion and sensiiviy o he herapeuic issues. 10.05 Sexual Inimacies Wih Curren Terapy Cliens/Paiens Psychologiss do no engage in sexual inimacies wih curren herapy cliens/paiens. 10.06 Sexual Inimacies Wih Relaives or Significan Ohers of Curren Terapy Cliens/Paiens Psychologiss do no engage in sexual inimacies wih individuals hey know o be close relaives, guardians, or significan ohers o curren cliens/paiens. Psychologiss do no erminae herapy o circumven his sandard.
en’s/paien’s personal hisory; (5) he clien’s/paien’s curren menal saus; (6) he likelihood o adverse impac on he clien/paien; and (7) any saemens or acions made by he herapis during he course o herapy suggesing or in viing he possibiliy o a posterminaion sexual or romanic relaionship wih he clien/paien. (See also Sandard 3.05, Muliple Relaionships.)
10.09 Inerrupion of Terapy When enering ino employmen or conracual relaionships, psychologiss make reasonable effors o provide or orderly and appropriae resoluion o responsibiliy or clien/paien care in he even ha he employmen or conracual relaionship ends, wih paramoun consideraion given o he welare o he clien/paien. (See also Sandard 3.12, Inerrupion o Psychological Services.) 10.10 erminaing Terapy (a) Psychologiss erminae herapy when i becomes reasonably clear ha he clien/paien no longer needs he service, is no likely o benefi, or is being harmed by coninued service. (b) Psychologiss may erminae herapy when hreaened or oherwise endangered by he clien/paien or anoher person wih whom he clien/paien has a relaionship. (c) Excep where precluded by he acions o cliens/ paiens or hird-pary payors, prior o erminaion psychologiss provide preerminaion counseling and sugges alernaive service providers as appropriae.
10.07 Terapy Wih Former Sexual Parners Psychologiss do no accep as herapy cliens/paiens persons wih whom hey have engaged in sexual inimacies. 10.08 Sexual Inimacies Wih Former Terapy Cliens/Paiens (a) Psychologiss do no engage in sexual inimacies wih ormer cliens/paiens or a leas wo years afer cessaion or erminaion o herapy. (b) Psychologiss do no engage in sexual inimacies wih ormer cliens/paiens even afer a wo-year inerval excep in he mos unusual circumsances. Psychologiss who engage in such aciviy afer he wo years ollowing cessaion or erminaion o herapy and o having no sexual conac wih he ormer clien/paien bear he burden o demonsraing ha here has been no exploiaion, in ligh o all relevan acors, including (1) he amoun o ime ha has passed since herapy erminaed; (2) he naure, duraion, and inensiy o he herapy; (3) he circumsances o erminaion; (4) he cli-
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Standard 10.03–Standard 10.10
Effective June 1, 2003, as amended 2010
2010 AMENDMENS O HE 2002 “EHICAL PINCIPLES OF PSYCHOLOGISS AND CODE OF CONDUC” Te American Psychological Associaion’s Council o Represenaives adoped he ollowing amendmens o he 2002 “Ehical Principles o Psychologiss and Code o Conduc” a is February 2010 meeing. Changes are indicaed by underlining or addiions and sriking hrough or deleions. A hisory o amending he Ehics Code is provided in he “Repor o he Ehics Commitee, 2009” in he July-Augus 2010 issue o he American Psychologist (Vol. 65, No. 5). Original Language Wih Changes Marked
Inroducion and Applicabiliy I psychologiss’ ehical responsibiliies conflic wih law, regulaions, or oher governing legal auhoriy, psychologiss make known heir commimen o his Ehics Code and ake seps o resolve he conflic in a responsible manner. I he conflic is unresolvable via such means, psychologiss may adhere o he requiremens o he law, regulaions, or oher governing auhoriy in keeping wih basic principles o human righs.
1.02 Conflics Beween Ehics and Law, Regulaions, or Oher Governing Legal Auhoriy I psychologiss’ ehical responsibiliies conflic wih law, regulaions, or oher governing legal auhoriy, psychologiss clari y he naure o he conflic, make known heir commimen o he Ehics Code, and ake reasonable seps o resolve he conflic consisen wih he General Principles and Ehical Sandards o he Ehics Code. I he conflic is un resolvable via such means, psychologiss may adhere o he requiremens o he law, regulaions, or oher governing legal auhoriy. Under no circumsances may his sandard be used o jusiy or deend violaing human righs. 1.03 Conflics Beween Ehics and Organizaional Demands I he demands o an organizaion wih which psychologiss are affiliaed or or whom hey are working are in conflic wih his Ehics Code, psychologiss clariy he naure o he conflic, make known heir commimen o he Ehics Code, and o he exen easible, resolve he conflic in a way ha permis adherence o he Ehics Code. ake reasonable seps o resolve he conflic consisen wih he General Principles and Ehical Sandards o he Ehics Code. Under no circumsances may his sandard be used o jusiy or deend violaing human righs.
Effective June 1, 2003, as amended 2010 2010 Amendments to the 2002 “Ethical Principles of Psychologists and Code of Conduct”
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NOES
Printed in the United States of America
