AMERICAN

PSYCHOLOGICAL
ASSOCIATION (APA)
2010
Ethical 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  D: Justice
Nonmaleficence:  Be just and fair
 Benefit those you  Remove bias
work with
 Do no harm
 E. Respect for
 B: Fidelity and People’s Rights and
Responsibility Dignity
 Do not exploit others  Privacy,
 Be a citizen in confidentiality
community  Right to self-
 C: Integrity determination
 Be honest and  Cultural Respect
truthful
 Do not cheat or steal
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.
 2.06 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.