AMERICAN PSYCHOLOGICAL ASSOCIATION (APA) 2010Ethical Principles of Psychologists and Code of Conduct

Introduction

Ethics code has to do with professional work and not personal life.

Members of APA have to follow these codes; however, even if you are not members of APA the certification boards and licensure boards may hold you to these ethical standards.

Concerns of laws (criminal) and practice (civil) issues (ethics do not automatically equate to wining your civil case).

Not knowing the ethical code is NO excuse for lack of compliance.

First, do no harm

General Principles

A: Beneficence and Nonmaleficence: Benefit those you

work with Do no harm

B: Fidelity and Responsibility Do not exploit others Be a citizen in

community C: Integrity

Be honest and truthful

Do not cheat or steal

D: Justice Be just and fair Remove bias

E. Respect for People’s Rights and Dignity Privacy,

confidentiality Right to self-

determination Cultural Respect

Standard 1: Resolving Ethical Issues 1.01: Misuse of Psychologist’s Work

If someone misuses your work, you must try to minimize the misuse.

1.02: Conflicts Between Ethics, Law, Regs, or Gov’t When conflict 1) clarify the conflict, 2) make known

the ethical issue, 3) take reasonable steps to fix it 1.03: Conflicts Between Ethics and Organization

When conflict 1) clarify the conflict, 2) make known the ethical issue, 3) take reasonable step to fix it

1.04: Informal Resolution of Ethical Violations Bring issues to the person first (unless informal is

inappropriate or confidentiality is an issue).

Standard 1: Resolving Ethical Issues 1.05: Reporting Ethical Violations

When cannot do informally: 1) refer to state or national committee, 2) refer to licensure boards

1.06: Cooperating with Ethics Committees You must cooperate if you are asked Be concerned about confidentiality issues

1.07: Improper Complaints Do not file reckless complaints

1.08: Unfair Discrimination Against Complainants and Respondents Employers cannot make negative decisions because

someone is being investigated Employers can make decisions based on findings of

investigation

Standard 2: Competence

2.01: Boundaries of Competence Work within what you have trained to do:

education, supervision, consultation, study, or professional experience.

If you have similar knowledge and it would hurt client to refer out you can work with them.

2.02: Providing Services in Emergencies May provide services even without training if refer

out ASAP. 2.03: Maintaining Competence

Must keep learning as new information is available. 2.04: Bases for Scientific and Professional

Judgments Use scientific information to make decisions.

Standard 2: Competence

2.05: Delegation of Work to Others Do not delegate to others with dual relationship

issues with clients. Only delegate work within the knowledge of

your employee. Provide appropriate supervision of their work.

Personal Problems and Conflicts If your personal problems will impact your work

do not even start it. If you become aware of a personal issue, take

steps to limit the problems that are going to come from it.

Standard 3: Human Relations 3.01: Unfair Discrimination

Do not discriminate against others. 3.02: Sexual Harassment

Don’t do it. 3.03: Other Harassment

Don’t do that either. 3.04: Avoiding Harm

Nope

Standard 3: Human Relations 3.05: Multiple Relationships

Past, present, and/or future (expected) relationships

If can expect impaired objectivity or effectiveness If can harm the other person in any way Make sure that you accurately represent any

conflicting relationships. 3.06: Conflict of Interest

Don’t take on situations where your objectivity or effectiveness could be effected by a conflict of interest

Don’t take on situations where someone/group can be harmed by a conflict of interest.

Standard 3: Human Relations 3.07: Third-Party Requests for Services

Clarify what you will be doing and limits of it 3.08: Exploitative Relationships

Do not exploit others. 3.09: Cooperation with Other Professionals

Cooperate when it is in the best interest of the clients

3.10: Informed Consent To provide any services must have it documented In understandable language (and level) For those incapable: 1) appropriate explanation, 2)

assent, 3) consider their preferences, 4) consent from legal representative, 5) if court-ordered then let the client know

Standard 3: Human Relations 3.11: Psychological Services Delivered to or

Through Organizations Steps: 1) Describe what you are doing for

them, 2) the intended recipients/ clients, 3) relationships of individuals w/in organization, 4) uses of and access to information obtained, 5) limits of confidentiality.

3.12: Interruption of Psychological Services Make a plan for if there may be illness, death,

or relocation of therapist. Make a plan for if there is a relocation or

financial change of client.

Standard 4: Privacy and Confidentiality

4.01: Maintaining Confidentiality Take reasonable precautions (in all

mediums) to maintain confidentiality 4.02: Discussing the Limits of

Confidentiality Discuss these with client ahead of time. If through electronics, must describe how

this changes confidentiality. 4.03: Recording

Get permission before recording

Standard 4: Privacy and Confidentiality 4.04: Minimizing Intrusions on Privacy

Only describe in reports or orally information that is germane to purpose

Should talk about clients only in relation to your work with those who appropriate

4.05: Disclosures Can disclose with appropriate consent Can disclose when allowed by law: 1) for

professional services, 2) professional consults, 3) protect folks from harm, 4) obtain payment

4.06: Consultations Do not release confidential info unless consent

provided Only discuss info relevant for help to client

Standard 5: Advertising and Other Public Statements

5.01: Avoidance of False or Deceptive Statements Do not make public statements that are false or

misleading 5.02: Statements by Others

Do not compensate others for a news item Paid advertisement must be clearly identified

5.03: Description of Workshops and Non-Degree-Granting Educational Programs Make sure that advertisements/ fliers are accurate

5.04: Media Presentations Public advice 1) based on professional information,

2) meet other ethical standards, 3) indicate no relationship established.

Standard 5: Advertising and Other Public Statements

5.05: Testimonials Cannot ask for ones from current clients Cannot ask for ones from vulnerable populations

5.06: In-Person Solicitation Do not engage in in-person solicitation of business

to those who are vulnerable to undue influence. Except: to provide disaster or community

outreach Except: implementing collateral contacts to

benefit an already engaged client (e.g., family therapy).

Standard 6: Record Keeping and Fees 6.01: Documentation of Professional and Scientific

Work and Maintenance of Records Create, control, maintain, disseminate, store, retain,

and dispose of records to: 1) help with other service providers in the future, 2) replicate research studies, 3) meet institutional requirements, 4) ensure billing accuracy, 5) ensure legal compliance

6.02: Maintenance, Dissemination, and Disposal of Confidential Records of Professional and Scientific Work Maintain confidentiality in creating records and keeping

databases Plan on what to do with records in case therapist leaves

6.03: Withholding Records for Nonpayment Don’t do it

Standard 6: Record Keeping and Fees 6.04: Fees and Financial Arrangements

Reach an agreement ASAP about fees and billing Fees should be 1) correctly represented, 2) legal If they cannot pay, you need to discuss with the client

any plans and steps to be taken 6.05: Barter with Clients / Patients

Can only do it if it is not clinically contraindicated and nonexploitative

6.06: Accuracy in Reports to Payors and Funding Sources Accurate nature of services and fees When applicable, provide diagnosis and service

provider 6.07: Referrals and Fees

Payment based on services provided and not on the referral itself

Standard 7: Education and Training 7.01: Design of Education and Training Programs

Trainers ensure that the programs provide the appropriate knowledge and experiences to meet licensure and certification

7.02: Descriptions of Education and Training Programs Trainers ensure accurate and current program descriptions and

requirements 7.03: Accuracy in Teaching

Trainers: ensure accurate course syllabi and that modifications to it are made known to the students

7.04: Student Disclosure of Personal Information Do not require students to disclose personal information about

previous experiences unless 1) this is listed in the admissions requirements, 2) needed to evaluate problems that might keep them from performing their duties

Standard 7: Education and Training 7.05: Mandatory Individual or Group Therapy

Trainers allow for students to get this from non-program affiliated therapists if this is required.

Faculty responsible for evaluation do not provide any required therapy.

7.06: Assessing Student and Supervisee Performance Trainers establish a process for feedback at the

beginning of the semester Trainers evaluate students based on their actual

performance. 7.07: Sexual Relationships with Students and

Supervisees Don’t do it.

Standard 8: Research and Publication 8.01: Institutional approval

Get IRB approval prior to research 8.02: Informed Consent

Must include several specific pieces of information about the study and the rights of the participation.

8.03: Informed Consent for Recording Voices and Images in Research Must get consent unless 1) in naturalistic setting, 2)

includes deception that is later disclosed during a debriefing.

8.04: Client/ Patient, Student, and Subordinate Research Participants Protect participants who are vulnerable (students, clients,

etc.) Must give a choice when research participation is course

requirement

Standard 8: Research and Publication 8.05: Dispensing with Informed Consent for

Research Can do only 1) would do harm, 2) part of normal

educational or occupational practices, 3) anonymous or naturalistic which will not harm the participant

8.06: Offering Inducements for Research Participation Do not provide excessive financial or other incentives

(coercions) or provide any incentive without full disclosure.

8.07: Deception in Research Avoid it if possible Avoid it at all of there will be physical or emotional pain Debrief ASAP and allow subject to remove their data

from study if they wish.

Standard 8: Research and Publication 8.08: Debriefing

Provide a prompt opportunity for participants to obtain information about the research or if not possible take measures to reduce or minimize harm.

8.09: Humane Care and Use of Animals in Research Care for animals in a legal, humane, manner by

those trained to minimize discomfort and understand research.

8.10: Reporting Research Results Do not fabricate data and issue corrections if you

find that data is incorrect after publication 8.11: Plagarism

Don’t do it.

Standard 8: Research and Publication 8.12: Publication Credit

Take credit for only work that you did Student’s dissertations ensure #1 author position

8.13: Duplicate Publication of Data Do not publish previously published data even if

they were the previous authors 8.14: Sharing Research Data for Verification

Data cannot be horded from research competitors unless confidentiality prohibits it.

Research competitors can only use data from another researcher for the strict purposes of review.

8.15: Reviewers: Respect the confidentiality of those who submit

work for review

Standard 9: Assessment

9.01: Bases for Assessment Data-driven If accurate comprehensive data not available indicate limits of what

you report. 9.02: Use of Assessments

Use valid and reliable tests in the manner they were designed. Test only in the appropriate language for client.

9.03: Informed Consent for Assessment Informed consent is required except 1) mandated by law, 2) testing

is routine part of education or occupation, 3) trying to determine competency for providing informed consent

Inform about nature and purpose of assessment in appropriate language understandable by test taker.

Be careful when working with interpreter that they follow testing/assessment ethical guidelines.

Standard 9: Assessment

9.04: Release of Test Data Raw test data and notes during examination

should be released with care as they may “do harm”

Do not release to other than those approved by client unless court ordered.

9.05: Test Construction Test developers do so using sound

psychometrics 9.06: Interpreting Assessment Results

Take into account the person you tested as well as the data when interpreting results

Standard 9: Assessment

9.07: Assessment by Unqualified Persons Don’t do it. Don’t let others do it.

9.08: Obsolete Tests and Outdated Test Results Do not base your decisions on these.

9.09: Test Scoring and Interpretation Services Describe the aspects of the assessments that you

provide for others (e.g, psychometrics of tests). Use these types of services only after you have

verified that they use psychometrically sound methods and are qualified.

Standard 9: Assessment

9.10: Explaining Assessment Results Take reasonable steps to explain results in

a way that the client (or consumer of the data) can understand

If you cannot provide the information, then let the person know BEFORE conducting the assessment

9.11: Maintaining Test Security Make reasonable efforts to not provide test

materials to others.

Standard 10: Therapy

10.01: Informed Consent to Therapy Let clients know what to expect from therapy, confidentiality limits, and

fees. If you are doing a “non-researched” therapy, you need to let client

know. If you are training, you must let client know and provide name of

supervisor. 10.02: Therapy Involving Couples or Families

Be clear which individual(s) are your clients If you have to take on conflicting roles (e.g., divorce) then you need to

clarify your roles and withdraw from previous roles if needed. 10.03: Group Therapy

Define your roles Define limits of confidentiality

10.04: Providing Therapy to Those Served by Others Proceed with caution and be wary of conflicts

Standard 10: Therapy

10.05: Sexual Intimacies with Current Therapy Clients/ Patients Don’t do it.

10.06: Sexual Intimacies with Relatives or Significant Others of Current Therapy Clients/ Patients Don’t do it. Don’t dump your client to be able to do it.

10.07: Therapy with Former Sexual Partners: Don’t do it.

10.08: Sexual Intimacies with Former Therapy Clients/ Patients Must wait at least two years after termination of treatment Even after two years, you hold burden of proof that 1) 2 years have

passed, 2) nature and intensity of therapy, 3) why you terminated treatment, 4) client’s personal history, 5) client’s mental status, 6) likelihood of harm to client, 7) statements cannot have been made during treatment that by ending it that a sexual relationship would be fine posttreatment.

Standard 10: Therapy

Interruption of Therapy: Transition your clients appropriately if you

are changing jobs or moving. Terminating Therapy:

Client no longer needs service You are threatened or endangered by client or

a person with whom client has a relationship Prior to termination provide pretermination

counseling and suggest alternatives to the client if needed.