PROFESSIONAL CODE OF ETHICS

APA 6 CODE OF CONDUCT (1992)

Ethical Principles of Psychologists and
Code of Conduct
 Introduction
• The American Psychological Association's (APA's)
Ethical Principles of Psychologists and Code of Conduct
(hereinafter referred to as the Ethics Code Dec 1, 1992))
consists of an Introduction, a Preamble, six General
Principles (A - F), and specific Ethical Standards. The
Preamble and General Principles are aspirational goals
to guide psychologists toward the highest ideals of
psychology. Although the Preamble and General
Principles are not themselves enforceable rules, they
should be considered by psychologists in arriving at an
ethical course of action and may be considered by ethics
bodies in interpreting the Ethical Standards
• This Ethics Code applies only to psychologists' work-
related activities, that is, activities that are part of the
psychologists' scientific and professional functions or
that are psychological in nature. It includes the clinical or
counseling practice of psychology, research, teaching,
supervision of trainees, development of assessment
instruments, conducting assessments, educational
counseling, organizational consulting, social intervention,
administration, and other activities as well. These work-
related activities can be distinguished from the purely
private conduct of a psychologist, which ordinarily is not
within the purview of the Ethics Code.
 History and effective date
This version of the APA Ethics Code was adopted by the American
Psychological Association's Council of Representatives during its
meeting, August 13 and 16, 1992, and is effective beginning
December 1, 1992. Inquiries concerning the substance or
interpretation of the APA Ethics Code should be addressed to the
Director, Office of Ethics, American Psychological Association, 750
First Street, NE, Washington, DC 20002-4242.
• The APA has previously published its Ethical Standards as follows:
American Psychological Association. (1953). Ethical standards of
psychologists. Washington, DC: Author.
American Psychological Association. (1958). Standards of ethical
behavior for psychologists. American Psychologist, 13, 268- 271.
• American Psychological Association. (1963). Ethical standards of
psychologists. American Psychologist, 18, 56-60.
American Psychological Association. (1968). Ethical standards of
psychologists. American Psychologist, 23, 357-361.
American Psychological Association. (1977, March). Ethical
standards of psychologists. APA Monitor, 22-23.
American Psychological Association. (1979). Ethical standards of
psychologists. Washington, DC: Author.
American Psychological Association. (1981). Ethical principles of
psychologists. American Psychologist, 36, 633-638.
American Psychological Association. (1990). Ethical principles of
psychologists (Amended June 2, 1989). American Psychologist, 45,
390-395.
 Preamable
• Psychologists work to develop a valid and reliable body of scientific
knowledge based on research. They may apply that knowledge to
human behavior in a variety of contexts. In doing so, they perform
many roles, such as researcher, educator, diagnostician, therapist,
supervisor, consultant, administrator, social interventionist, and
expert witness.
• This Code is intended to provide both the general principles and the
decision rules to cover most situations encountered by
psychologists. It has as its primary goal the welfare and protection of
the individuals and groups with whom psychologists work. It is the
individual responsibility of each psychologist to aspire to the highest
possible standards of conduct. Psychologists respect and protect
human and civil rights, and do not knowingly participate in or
condone unfair discriminatory practices.
 General principles
• Principle A: Competence
• Psychologists strive to maintain high standards of competence in
their work. They recognize the boundaries of their particular
competencies and the limitations of their expertise. They provide
only those services and use only those techniques for which they
are qualified by education, training, or experience. Psychologists are
cognizant of the fact that the competencies required in serving,
teaching, and/or studying groups of people vary with the distinctive
characteristics of those groups.
Principle B: Integrity
• Psychologists seek to promote integrity in the science, teaching, and
practice of psychology. In these activities psychologists are honest,
fair, and respectful of others. In describing or reporting their
qualifications, services, products, fees, research, or teaching, they
do not make statements that are false, misleading, or deceptive
• Principle C: Professional and scientific responsibility
• Psychologists uphold professional standards of conduct, clarify their
professional roles and obligations, accept appropriate responsibility
for their behavior, and adapt their methods to the needs of different
populations. Psychologists consult with, refer to, or cooperate with
other professionals and institutions to the extent needed to serve the
best interests of their patients, clients, or other recipients of their
services.
• Principle D: Respect for people's rights and dignity
• Psychologists accord appropriate respect to the fundamental rights,
dignity, and worth of all people. They respect the rights of individuals
to privacy, confidentiality, self-determination, and autonomy, mindful
that legal and other obligations may lead to inconsistency and
conflict with the exercise of these rights.
 ETHCIAL STANDARDS( APA)
General standards
• These General Standards are potentially applicable to the professional and
scientific activities of all psychologists.
• 1.01 Applicability of the ethics code
• The activity of a psychologist subject to the Ethics Code may be reviewed
under these Ethical Standards only if the activity is part of his or her work-
related functions or the activity is psychological in nature. Personal activities
having no connection to or effect on psychological roles are not subject to
the Ethics Code.
• 1.02 Relationship of ethics and law
• If psychologists' ethical responsibilities conflict with law, psychologists make
known their commitment to the Ethics Code and take steps to resolve the
conflict in a responsible manner.
• 1.03 Professional and scientific relationship
• Psychologists provide diagnostic, therapeutic, teaching, research,
supervisory, consultative, or other psychological services only in the context
of a defined professional or scientific relationship or role. (
1.04 Boundaries of competence

• (a) Psychologists provide services, teach, and conduct research

only within the boundaries of their competence, based on their
education, training, supervised experience, or appropriate
professional experience.
• (b) Psychologists provide services, teach, or conduct research in
new areas or involving new techniques only after first undertaking
appropriate study, training, supervision, and/or consultation from
persons who are competent in those areas or techniques.
• (c) In those emerging areas in which generally recognized standards
for preparatory training do not yet exist, psychologists nevertheless
take reasonable steps to ensure the competence of their work and
to protect patients, clients, students, research participants, and
others from harm.
• 1.05 Maintaining expertise
• Psychologists who engage in assessment, therapy, teaching, research,
organizational consulting, or other professional activities maintain a reasonable level
of awareness of current scientific and professional information in their fields of
activity, and undertake ongoing efforts to maintain competence in the skills they use.
• 1.06 Basis for scientific and professional judgments
• Psychologists rely on scientifically and professionally derived knowledge when
making scientific or professional judgments or when engaging in scholarly or
professional endeavors.
• 1.07 Describing the nature and results of psychological services
• (a) When psychologists provide assessment, evaluation, treatment, counseling,
supervision, teaching, consultation, research, or other psychological services to an
individual, a group, or an organization, they provide, using language that is
reasonably understandable to the recipient of those services, appropriate information
beforehand about the nature of such services and appropriate information later about
results and conclusions.
• (b) If psychologists will be precluded by law or by organizational roles from providing
such information to particular individuals or groups, they so inform those individuals
or groups at the outset of the service.
• 1.08 Human differences
• Where differences of age, gender, race, ethnicity, national origin,
religion, sexual orientation, disability, language, or socioeconomic
status significantly affect psychologists' work concerning particular
individuals or groups, psychologists obtain the training, experience,
consultation, or supervision necessary to ensure the competence of
their services, or they make appropriate referrals.
• 1.09 Respecting others
• In their work-related activities, psychologists respect the rights of
others to hold values, attitudes, and opinions that differ from their
own.
• 1.10 Nondiscrimination. In their work-related activities,
psychologists do not engage in unfair discrimination based on age,
gender, race, ethnicity, national origin, religion, sexual orientation,
disability, socio-economic status, or any basis proscribed by law.
• 1.11 Sexual harassment
• (a) Psychologists do not engage in sexual harassment. Sexual harassment
is sexual solicitation, physical advances, or verbal or nonverbal conduct that
is sexual in nature, that occurs in connection with the psychologist's
activities or roles as a psychologist, and that either: (1) is unwelcome, is
offensive, or creates a hostile workplace environment, and the psychologist
knows or is told this; or (2) is sufficiently severe or intense to be abusive to
a reasonable person in the context. Sexual harassment can consist of a
single intense or severe act or of multiple persistent or pervasive acts.
• (b) Psychologists accord sexual-harassment complainants and respondents
dignity and respect. Psychologists do not participate in denying a person
academic admittance or advancement, employment, tenure, or promotion,
based solely upon their having made, or their being the subject of, sexual
harassment charges. This does not preclude taking action based upon the
outcome of such proceedings or consideration of other appropriate
information
• 1.12 Other harassment
• Psychologists do not knowingly engage in behavior that is harassing or demeaning to
persons with whom they interact in their work based on factors such as those
persons' age, gender, race, ethnicity, national origin, religion, sexual orientation,
disability, language, or socioeconomic status.
• 1.13 Personal problems and conflicts
• (a) Psychologists recognize that their personal problems and conflicts may interfere
with their effectiveness. Accordingly, they refrain from undertaking an activity when
they know or should know that their personal problems are likely to lead to harm to a
patient, client, colleague, student, research participant, or other person to whom they
may owe a professional or scientific obligation.
• (b) In addition, psychologists have an obligation to be alert to signs of, and to obtain
assistance for, their personal problems at an early stage, in order to prevent
significantly impaired performance.
• (c) When psychologists become aware of personal problems that may interfere with
their performing work-related duties adequately, they take appropriate measures,
such as obtaining professional consultation or assistance, and determine whether

they should limit, suspend, or terminate their work-related duties .

• 1.14 Avoiding harm
• Psychologists take reasonable steps to avoid harming
their patients or clients, research participants, students,
and others with whom they work, and to minimize harm
where it is foreseeable and unavoidable.
• 1.15 Misuse of psychologists' influence
• Because psychologists' scientific and professional
judgments and actions may affect the lives of others,
they are alert to and guard against personal, financial,
social, organizational, or political factors that might lead
to misuse of their influence.
• 1.16 Misuse of psychologists' work
• (a) Psychologists do not participate in activities
in which it appears likely that their skills or data
will be misused by others, unless corrective
mechanisms are available. (See also Standard
7.04, Truthfulness and candor.)
• (b) If psychologists learn of misuse or
misrepresentation of their work, they take
reasonable steps to correct or minimize the
misuse or misrepresentation.
1.17 Multiple relationships
• (a). Psychologists must always be sensitive to the potential harmful effects
of other contacts on their work and on those persons with whom they deal.
A psychologist refrains from entering into or promising another personal,
scientific, professional, financial, or other relationship with such persons if it
appears likely that such a relationship reasonably might impair the
psychologist's objectivity or otherwise interfere with the psychologist's
effectively performing his or her functions as a psychologist, or might harm
or exploit the other party.
• (b) Likewise, whenever feasible, a psychologist refrains from taking on
professional or scientific obligations when pre-existing relationships would
create a risk of such harm.
• (c) If a psychologist finds that, due to unforeseen factors, a potentially
harmful multiple relationship has arisen, the psychologist attempts to
resolve it with due regard for the best interests of the affected person and
maximal compliance with the Ethics Code.
• 1.18 Barter (with patients or clients)
• Psychologists ordinarily refrain from accepting goods, services, or other
nonmonetary remuneration from patients or clients in return for
psychological services because such arrangements create inherent
potential for conflicts, exploitation, and distortion of the professional
relationship. A psychologist may participate in bartering only if (1) it is not
clinically contraindicated, and (2) the relationship is not exploitative.
• 1.19 Exploitative relationships
• (a) Psychologists do not exploit persons over whom they have supervisory,
evaluative, or other authority such as students, supervisees, employees,
research participants, and clients or patients.)
• (b) Psychologists do not engage in sexual relationships with students or
supervisees in training over whom the psychologist has evaluative or direct
authority, because such relationships are so likely to impair judgment or be
exploitative.
• 1.20 Consultations and referrals
• (a) Psychologists arrange for appropriate consultations
and referrals based principally on the best interests of
their patients or clients, with appropriate consent, and
subject to other relevant considerations, including
applicable law and contractual obligations.
• (b) When indicated and professionally appropriate,
psychologists cooperate with other professionals in order
to serve their patients or clients effectively and
appropriately.
• (c) Psychologists' referral practices are consistent with
law.
• 1.21 Third-party requests for services
• (a) When a psychologist agrees to provide services to a person or
entity at the request of a third party, the psychologist clarifies to the
extent feasible, at the outset of the service, the nature of the
relationship with each party. This clarification includes the role of the
psychologist (such as therapist, organizational consultant,
diagnostician, or expert witness), the probable uses of the services
provided or the information obtained, and the fact that there may be
limits to confidentiality.
• (b) If there is a foreseeable risk of the psychologist's being called
upon to perform conflicting roles because of the involvement of a
third party, the psychologist clarifies the nature and di- rection of his
or her responsibilities, keeps all parties appropriately informed as
matters develop, and resolves the situation in accordance with this
Ethics Code.
• 1.22 Delegation to and supervision of subordinates
•
(a) Psychologists delegate to their employees, supervisees, and
research assistants only those responsibilities that such persons can
reasonably be expected to perform competently, on the basis of
their education, training, or experience, either independently or with
the level of supervision being provided.
• (b) Psychologists provide proper training and supervision to their
employees or supervisees and take reasonable steps to see that
such persons perform services responsibly, competently, and
ethically.
• (c) If institutional policies, procedures, or practices prevent fulfillment
of this obligation, psychologists attempt to modify their role or to
correct the situation to the extent feasible.
• 1.23 Documentation of professional and scientific
work
• (a) Psychologists appropriately document their
professional and scientific work in order to facilitate
provision of services later by them or by other
professionals, to ensure accountability, and to meet
other requirements of institutions or the law.
• (b) When psychologists have reason to believe that
records of their professional services will be used in legal
proceedings involving recipients of or participants in their
work, they have a responsibility to create and maintain
documentation in the kind of detail and quality that would
be consistent with reasonable scrutiny in an adjudicative
forum.
• 1.24 Records and data
• Psychologists create, maintain, disseminate, store, retain, and
dispose of records and data relating to their research, practice, and
other work in accordance with law and in a manner that permits
compliance with the requirements of this Ethics Code
• 1.25 Fees and financial arrangements
• (a) As early as is feasible in a professional or scientific relationship,
the psychologist and the patient, client, or other appropriate recipient
of psychological services reach an agreement specifying the
compensation and the billing arrangements.
• (b) Psychologists do not exploit recipients of services or payors with
respect to fees.
• (c) Psychologists' fee practices are consistent with law.
• (d) Psychologists do not misrepresent their fees.
• (e) If limitations to services can be anticipated because
of limitations in financing, this is discussed with the
patient, client, or other appropriate recipient of services
as early as is feasible.
• (f) If the patient, client, or other recipient of services does
not pay for services as agreed, and if the psychologist
wishes to use collection agencies or legal measures to
collect the fees, the psychologist first informs the person
that such measures will be taken and provides that
person an opportunity to make prompt payment.
• .26 Accuracy in reports to payors and funding sources
• In their reports to payors for services or sources of research funding,
psychologists accurately state the nature of the research or service
provided, the fees or charges, and where applicable, the identity of
the provider, the findings, and the diagnosis. (See also Standard
5.05, Disclosures.)
• 1.27 Referrals and fees
• When a psychologist pays, receives payment from, or divides fees
with another professional other than in an employer - employee
relationship, the payment to each is based on the services (clinical,
consultative, administrative, or other) provided and is not based on
the referral itself.
• 2. Evaluation, assessment, OR intervention
• 2.01 Evaluation, diagnosis, and interventions in professional context
• (a) Psychologists perform evaluations, diagnostic services, or interventions only
within the context of a defined professional relationship. (See also Standards 1.03,
Professional and Scien- tific Relationship.)
• (b) Psychologists' assessments, recommendations, reports, and psychological
diagnostic or evaluative statements are based on information and techniques
(including personal interviews of the individual when appropriate) sufficient to provide
appropriate substantiation for their findings. (See also Standard 7.02, Forensic
Assessments.)
• 2.02 Competence and appropriate use of assessments and interventions
• (a) Psychologists who develop, administer, score, interpret, or use psychological
assessment techniques, interviews, tests, or instruments do so in a manner and for
purposes that are appropriate in light of the research on or evidence of the
usefulness and proper application of the techniques.
• (b) Psychologists refrain from misuse of
assessment techniques, interventions, results,
and interpretations and take reasonable steps to
prevent others from misusing the information
these tech- niques provide. This includes
refraining from releasing raw test results or raw
data to persons, other than to patients or clients
as appropriate, who are not qualified to use such
information. (See also Standards 1.02,
Relationship of Ethics and Law, and 1.04,
Boundaries of Competence.)
• 2.03 Test construction
• Psychologists who develop and conduct research with tests and other assessment
techniques use scientific procedures and current professional knowledge for test
design, standardization, validation, reduction or elimination of bias, and
recommendations for use.
• 2.04 Use of assessment in general and with special populations
• (a) Psychologists who perform interventions or administer, score, interpret, or use
assessment techniques are familiar with the reliability, validation, and related
standardization or outcome studies of, and proper applications and uses of, the
techniques they use.
• (b) Psychologists recognize limits to the certainty with which diagnoses, judgments,
or predictions can be made about individuals.
• (c) Psychologists attempt to identify situations in which particular interventions or
assessment techniques or norms may not be applicable or may require adjustment in
administration or inter- pretation because of factors such as individuals' gender, age,
race, ethnicity, national origin, religion, sexual orientation, disability, language, or
socioeconomic status.
• 2.05 Interpreting assessment results
When interpreting assessment results, including
automated interpretations, psychologists take into
account the various test factors and characteristics of the
person being assessed that might affect psychologists'
judgments or reduce the accuracy of their
interpretations. They indicate any significant reservations
they have about the accuracy or limitations of their
interpretations.
• 2.06 Unqualified persons
• Psychologists do not promote the use of psychological
assessment techniques by unqualified persons. (See
also Standard 1.22, Delegation to and Supervision of
Subordinates.)
• 2.07 Obsolete tests and outdated test results
• (a) Psychologists do not base their assessment or
intervention decisions or recommendations on data or
test results that are outdated for the current purpose.
• (b) Similarly, psychologists do not base such decisions
or recommendations on tests and measures that are
obsolete and not useful for the current purpose.
• 2.08 Test scoring and interpretation services
• (a) Psychologists who offer assessment or scoring procedures to
other professionals accurately describe the purpose, norms, validity,
reliability, and applications of the procedures and any special
qualifications applicable to their use.
• (b) Psychologists select scoring and interpretation services
(including automated services) on the basis of evidence of the
validity of the program and procedures as well as on other
appropriate considerations.
• (c) Psychologists retain appropriate responsibility for the appropriate
application, interpretation, and use of assessment instruments,
whether they score and interpret such tests themselves or use
automated or other services.
• 2.09 Explaining assessment results
• Unless the nature of the relationship is clearly explained to the person being
assessed in advance and precludes provision of an explanation of results
(such as in some organizational consulting, pre-employment or security
screenings, and forensic evaluations), psychologists ensure that an
explanation of the results is provided using language that is reasonably
understandable to the person assessed or to another legally authorized
person on behalf of the client. Regardless of whether the scoring and
interpretation are done by the psychologist, by assistants, or by automated
or other outside services, psychologists take reasonable steps to ensure
that appropriate explanations of results are given.
• 2.10 Maintaining test security
• Psychologists make reasonable efforts to maintain the integrity and security
of tests and other assessment techniques consistent with law, contractual
obligations, and in a manner that permits compliance with the requirements
of this Ethics Code
• 3. Advertising and other public statements
• 3.01 Definition of public statements
• Psychologists comply with this Ethics Code in public
statements relating to their professional services,
products, or publications or to the field of psychology.
Public statements include but are not limited to paid or
unpaid advertising, brochures, printed matter, directory
listings, personal resumes or curriculum vitae, interviews
or comments for use in media, statements in legal
proceedings, lectures and public oral presentations, and
published materials.
• 3.02 Statements by others
• (a) Psychologists who engage others to create or place public statements
that promote their professional practice, products, or activities retain
professional responsibility for such statements.
• (b) In addition, psychologists make reasonable efforts to prevent others
whom they do not control (such as employers, publishers, sponsors,
organizational clients, and representatives of the print or broadcast media)
from making deceptive statements concerning psychologists' practice or
professional or scientific activities.
• (c) If psychologists learn of deceptive statements about their work made by
others, psychologists make reasonable efforts to correct such statements.
• (d) Psychologists do not compensate employees of press, radio, television,
or other communication media in return for publicity in a news item.
• (e) A paid advertisement relating to the psychologist's activities must be
identified as such, unless it is already apparent from the context.
• 3.03 Avoidance of false or deceptive statements
• (a) Psychologists do not make public statements that are false, deceptive,
misleading, or fraudulent, either because of what they state, convey, or suggest or
because of what they omit, concerning their research, practice, or other work
activities or those of per- sons or organizations with which they are affiliated. As
examples (and not in limitation) of this standard, psychologists do not make false or
deceptive statements concerning (1) their training, experience, or competence; (2)
their academic degrees; (3) their credentials; (4) their institutional or association
affiliations; (5) their services; (6) the scientific or clinical basis for, or results or degree
of success of, their services; (7) their fees; or (8) their publications or research
findings
• (b) Psychologists claim as credentials for their psychological work, only degrees that
(1) were earned from a regionally accredited educational institution or (2) were the
basis for psychology licensure by the state in which they practice.
• 3.04 Media presentations
• When psychologists provide advice or comment by means of public
lectures, demonstrations, radio or television programs, prerecorded
tapes, printed articles, mailed material, or other media, they take
reasonable precautions to ensure that (1) the statements are based
on appropriate psychological literature and practice, (2) the
statements are otherwise consistent with this Ethics Code, and (3)
the recipients of the information are not encouraged to infer that a
relationship has been established with them personally.
• 3.05 Testimonials
• Psychologists do not solicit testimonials from current psychotherapy
clients or patients or other persons who because of their particular
circumstances are vulnerable to undue influence.
• 3.06 In-person solicitation
• Psychologists do not engage, directly or through agents, in uninvited
in-person solicitation of business from actual or potential
psychotherapy patients or clients or other persons who because of
their particular circumstances are vulnerable to undue influence.
However, this does not preclude attempting to implement
appropriate collateral contacts with significant others for the purpose
of benefiting an already engaged therapy patient.
• 4. Therapy
• 4.01 Structuring the relationship
• (a) Psychologists discuss with clients or patients as early as is feasible in
the therapeutic relationship appropriate issues, such as the nature and
anticipated course of therapy, fees, and confidentiality. (See also Standards
1.25, Fees and financial arrangements, and 5.01, Discussing the limits of
confidentiality.)
• (b) When the psychologist's work with clients or patients will be supervised,
the above discussion includes that fact, and the name of the supervisor,
when the supervisor has legal responsibility for the case.
• (c) When the therapist is a student intern, the client or patient is informed of
that fact.
• (d) Psychologists make reasonable efforts to answer patients' questions and
to avoid apparent misunderstandings about therapy. Whenever possible,
psychologists provide oral and/or written information, using language that is
reasonably understandable to the patient or client.
• 4.02 Informed consent to therapy
• (a) Psychologists obtain appropriate informed consent to therapy or related
procedures, using language that is reasonably understandable to
participants. The content of informed consent will vary depending on many
circumstances; however, informed consent generally implies that the person
(1) has the capacity to consent, (2) has been informed of significant
information concerning the procedure, (3) has freely and without undue
influence expressed consent, and (4) consent has been appropriately
documented.
• (b) When persons are legally incapable of giving informed consent,
psychologists obtain informed permission from a legally authorized person,
if such substitute consent is permitted by law.
• (c) In addition, psychologists (1) inform those persons who are legally
incapable of giving informed consent about the proposed interventions in a
manner commensurate with the persons' psychological capacities, (2) seek
their assent to those interventions, and (3) consider such persons'
preferences and best interests.
• 4.03 Couple and family relationships
• (a) When a psychologist agrees to provide services to several persons who have a
relationship (such as husband and wife or parents and children), the psychologist
attempts to clarify at the outset (1) which of the individuals are patients or clients and
(2) the relationship the psychologist will have with each person. This clarification
includes the role of the psychologist and the probable uses of the services provided
or the information obtained. (See also Standard 5.01, Discussing the limits of
confidentiality.)
• (b) As soon as it becomes apparent that the psychologist may be called on to perform
potentially conflicting roles (such as marital counselor to husband and wife, and then
witness for one party in a divorce proceeding), the psychologist attempts to clarify
and adjust, or withdraw from, roles appropriately. (See also Standard 7.03,
Clarification of role, under Forensic activities.)
• 4.04 Providing mental health services to those
served by others
• In deciding whether to offer or provide services to those
already receiving mental health services elsewhere,
psychologists carefully consider the treatment issues
and the potential patient's or client's welfare. The
psychologist discusses these issues with the patient or
client, or another legally authorized person on behalf of
the client, in order to minimize the risk of confusion and
conflict, consults with the other service providers when
appro- priate, and proceeds with caution and sensitivity
to the therapeutic issues.
• 4.05 Sexual intimacies With current patients or clients
• Psychologists do not engage in sexual intimacies with current patients or clients.
• 4.06 Therapy with former sexual partners
• Psychologists do not accept as therapy patients or clients persons with whom they
have engaged in sexual intimacies.
• 4.07 Sexual intimacies with former therapy patients
• (a) Psychologists do not engage in sexual intimacies with a former therapy patient or
client for at least two years after cessation or termination of professional services.
• (b) Because sexual intimacies with a former therapy patient or client are so frequently
harmful to the patient or client, and because such intimacies undermine public
confidence in the psy- chology profession and thereby deter the public's use of
needed services, psychologists do not engage in sexual intimacies with former
therapy patients and clients even after a two-year interval except in the most unusual
circumstances. The psychologist who engages in such activity after the two years
following cessation or termination of treatment bears the burden of demonstrating
that there has been no exploitation, in light of all relevant factors, including (1) the
amount of time that has passed since therapy terminated, (2) the nature and duration
of the therapy, (3) the circumstances of termination, (4) the patient's or client's
personal history, (5) the patient's or client's current mental status, (6) the likelihood of
adverse impact on the patient or client and others, and (7) any statements or actions
made by the therapist during the course of therapy suggesting or inviting the
possibility of a post-termination sexual or romantic relationship with the patient or
client. (See also Standard 1.17, Multiple relationships.)
• 4.08 Interruption of services
• (a) Psychologists make reasonable efforts to plan for facilitating care
in the event that psychological services are interrupted by factors
such as the psychologist's illness, death, unavailability, or relocation
or by the client's relocation or financial limi- tations. (See also
Standard 5.09, Preserving records and data.)
• (b) When entering into employment or contractual relationships,
psychologists provide for orderly and appropriate resolution of
responsibility for patient or client care in the event that the
employment or contractual relationship ends, with paramount con-
sideration given to the welfare of the patient or client.
• 4.09 Terminating the professional relationship
• (a) Psychologists do not abandon patients or clients. (See also
Standard 1.25e, under Fees and Financial Arrangements.)
• (b) Psychologists terminate a professional relationship when it
becomes reasonably clear that the patient or client no longer needs
the service, is not benefiting, or is being harmed by continued
service.
• (c) Prior to termination for whatever reason, except where precluded
by the patient's or client's conduct, the psychologist discusses the
patient's or client's views and needs, provides ap- propriate
pretermination counseling, suggests alternative service providers as
appropriate, and takes other reasonable steps to facilitate transfer of
responsibility to another provider if the patient or client needs one
immediately.
• 5. Privacy and confidentiality
• These Standards are potentially applicable to the professional and scientific activities
of all psychologists.
• 5.01 Discussing the limits of confidentiality
• (a) Psychologists discuss with persons and organizations with whom they establish a
scientific or professional relationship (including, to the extent feasible, minors and
their legal rep- resentatives) (1) the relevant limitations on confidentiality, including
limitations where applicable in group, marital, and family therapy or in organizational
consulting, and (2) the foreseeable uses of the information generated through their
services.
• (b) Unless it is not feasible or is contraindicated, the discussion of confidentiality
occurs at the outset of the relationship and thereafter as new circumstances may
warrant.
• (c) Permission for electronic recording of interviews is secured from clients and
patients.
• 5.02 Maintaining confidentiality
• Psychologists have a primary obligation
and take reasonable precautions to
respect the confidentiality rights of those
with whom they work or consult,
recognizing that confidentiality may be
established by law, institutional rules, or
professional or scientific relationships.
(See also Standard 6.26, Professional
Reviewers.)
• 5.03 Minimizing intrusions on privacy
• (a) In order to minimize intrusions on privacy, psychologists include in written and oral reports,
consultations, and the like, only information germane to the purpose for which the communication
is made.
• (b) Psychologists discuss confidential information obtained in clinical or consulting relationships,
or evaluative data concerning patients, individual or organizational clients, students, research
participants, supervisees, and employees, only for appropriate scientific or professional purposes
and only with persons clearly concerned with such matters.
• 5.04 Maintenance of records
• Psychologists maintain appropriate confidentiality in creating, storing, accessing, transferring, and
disposing of records under their control, whether these are written, automated, or in any other
medium. Psychologists maintain and dispose of records in accordance with law and in a manner
that permits compliance with the requirements of this Ethics Code.
• 5.05 Disclosures
• (a) Psychologists disclose confidential information without the consent of
the individual only as mandated by law, or where permitted by law for a
valid purpose, such as (1) to provide needed professional services to the
patient or the individual or organizational client, (2) to obtain appropriate
professional consultations, (3) to protect the patient or client or others from
harm, or (4) to obtain payment for services, in which instance disclosure is
limited to the minimum that is necessary to achieve the purpose.
• (b) Psychologists also may disclose confidential information with the
appropriate consent of the patient or the individual or organizational client
(or of another legally authorized person on behalf of the patient or client),
unless prohibited by law.
• 5.06 Consultations
• When consulting with colleagues, (1) psychologists do not share confidential information that
reasonably could lead to the identification of a patient, client, research participant, or other person
or organization with whom they have a confidential relationship unless they have obtained the
prior consent of the person or organization or the disclosure cannot be avoided, and (2) they
share information only to the extent necessary to achieve the purposes of the consultation. (See
also Standard 5.02, Maintaining Confidentiality.)
• 5.07 Confidential information in databases
• (a) If confidential information concerning recipients of psychological services is to be entered into
databases or systems of records available to persons whose access has not been consented to
by the recipient, then psychologists use coding or other techniques to avoid the inclusion of
personal identifiers.
• (b) If a research protocol approved by an institutional review board or similar body requires the
inclusion of personal identifiers, such identifiers are deleted before the information is made
accessible to persons other than those of whom the subject was advised.
• (c) If such deletion is not feasible, then before psychologists transfer such data to others or review
such data collected by others, they take reasonable steps to determine that appropriate consent of
personally identifiable individuals has been obtained.
• 5.08 Use of confidential information for didactic or other purposes
• (a) Psychologists do not disclose in their writings, lectures, or other public media,
confidential, personally identifiable information concerning their patients, individual or
organizational clients, students, research participants, or other recipients of their
services that they obtained during the course of their work, unless the person or
organization has consented in writing or unless there is other ethical or legal
authorization for doing so.
• (b) Ordinarily, in such scientific and professional presentations, psychologists
disguise confidential information concerning such persons or organizations so that
they are not individually identifiable to others and so that discussions do not cause
harm to subjects who might identify themselves.
• 5.09 Preserving records and data
• A psychologist makes plans in advance so that confidentiality of records and data is
protected in the event of the psychologist's death, incapacity, or withdrawal from the
position or practice.
• 5.10 Ownership of records and data
• Recognizing that ownership of records and data is governed by legal principles,
psychologists take reasonable and lawful steps so that records and data remain
available to the extent needed to serve the best interests of patients, individual or
organizational clients, research participants, or appropriate others.
• 5.11 Withholding records for nonpayment
• Psychologists may not withhold records under their control that are requested and
imminently needed for a patient's or client's treatment solely because payment has
not been received, except as otherwise provided by law.
• 6.03 Accuracy and objectivity in teaching.
• (a) When engaged in teaching or training, psychologists present
psychological information accurately and with a reasonable degree
of objectivity.
• (b) When engaged in teaching or training, psychologists recognize
the power they hold over students or supervisees and therefore
make reasonable efforts to avoid engaging in conduct that is
personally demeaning to students or supervisees. (See also
Standards 1.09, Respecting others, and 1.12, Other harassment.)
• 6. Teaching, training supervision, research, and publishing
• 6.01 Design of education and training programs
• Psychologists who are responsible for education and training programs seek to ensure that the
programs are competently designed, provide the proper experiences, and meet the requirements
for licensure, certification, or other goals for which claims are made by the program.
• 6.02 Descriptions of education and training programs
• (a) Psychologists responsible for education and training programs seek to ensure that there is a
current and accurate description of the program content, training goals and objectives, and
requirements that must be met for satisfactory completion of the program. This information must
be made readily available to all interested parties.
• (b) Psychologists seek to ensure that statements concerning their course outlines are accurate
and not misleading, particularly regarding the subject matter to be covered, bases for evaluating
progress, and the nature of course experiences. (See also Standard 3.03, Avoidance of false or
deceptive statements.)
• (c) To the degree to which they exercise control, psychologists responsible for announcements,
catalogs, brochures, or advertisements describing workshops, seminars, or other non-degree-
granting educational programs ensure that they accurately describe the audience for which the
program is intended, the educational objectives, the presenters, and the fees involved.
• 6.04 Limitation on teaching
• Psychologists do not teach the use of techniques or procedures that
require specialized training, licensure, or expertise, including but not
limited to hypnosis, biofeedback, and projective techniques, to
individuals who lack the prerequisite training, legal scope of
practice, or expertise.
• 6.05 Assessing student and supervisee performance
• (a) In academic and supervisory relationships, psychologists
establish an appropriate process for providing feedback to students
and supervisees.
• (b) Psychologists evaluate students and supervisees on the basis of
their actual performance on relevant and established program
requirements.
• 6.06 Planning research
• (a) Psychologists design, conduct, and report research in accordance with recognized standards
of scientific competence and ethical research.
• (b) Psychologists plan their research so as to minimize the possibility that results will be
misleading.
• (c) In planning research, psychologists consider its ethical acceptability under the Ethics Code. If
an ethical issue is unclear, psychologists seek to resolve the issue through consultation with
institutional review boards, animal care and use committees, peer consultations, or other proper
mechanisms.
• (d) Psychologists take reasonable steps to implement appropriate protections for the rights and
welfare of human participants, other persons affected by the research, and the welfare of animal
subjects.
• 6.07 Responsibility
• (a) Psychologists conduct research competently and with due concern for the dignity and welfare
of the participants.
• (b) Psychologists are responsible for the ethical conduct of research conducted by them or by
others under their supervision or control.
• (c) Researchers and assistants are permitted to perform only those tasks for which they are
appropriately trained and prepared.
• (d) As part of the process of development and implementation of research projects, psychologists
consult those with expertise concerning any special population under investigation or most likely
to be affected.
• 6.08 Compliance with law and standards
• Psychologists plan and conduct research in a manner consistent with federal and state law and
regulations, as well as professional standards governing the conduct of research, and particularly
those standards governing research with human participants and animal subjects.
• 6.09 Institutional approval
• Psychologists obtain from host institutions or organizations appropriate approval prior to
conducting research, and they provide accurate information about their research proposals. They
conduct the research in accordance with the approved research protocol.
• 6.10 Research responsibilities
• Prior to conducting research (except research involving only anonymous surveys, naturalistic
observations, or similar research), psychologists enter into an agreement with participants that
clarifies the nature of the research and the responsibilities of each party.
• 6.11 Informed consent to research
• (a) Psychologists use language that is reasonably understandable to research participants in
obtaining their appropriate informed consent (except as provided in Standard 6.12, Dispensing
with informed consent). Such informed consent is appropriately documented.
• (b) Using language that is reasonably understandable to participants, psychologists inform
participants of the nature of the research; they inform participants that they are free to participate
or to decline to participate or to withdraw from the research; they explain the foreseeable
consequences of declining or withdrawing; they inform participants of significant factors that may
be expected to influence their willingness to participate (such as risks, discomfort, adverse effects,
or limitations on confidentiality, except as provided in Standard 6.15, Deception in research); and
they explain other aspects about which the prospective participants inquire.
• (c) When psychologists conduct research with individuals such as students or subordinates,
psychologists take special care to protect the prospective participants from adverse
consequences of declining or withdrawing from participation.
• (d) When research participation is a course requirement or opportunity for extra credit, the
prospective participant is given the choice of equitable alternative activities.
• (e) For persons who are legally incapable of giving informed consent, psychologists nevertheless
(1) provide an appropriate explanation, (2) obtain the participant's assent, and (3) obtain
appropriate permission from a legally authorized person, if such substitute consent is permitted by
law.
• 6.12 Dispensing with informed consent
• Before determining that planned research (such as research
involving only anonymous questionnaires, naturalistic observations,
or certain kinds of archival research) does not require the informed
consent of research participants, psychologists consider applicable
regulations and institutional review board requirements, and they
consult with colleagues as appropriate.
• 6.13 Informed consent in research filming or recording
• Psychologists obtain informed consent from research participants
prior to filming or recording them in any form, unless the research
involves simply naturalistic observations in public places and it is not
anticipated that the recording will be used in a manner that could
cause personal identification or harm.
• 6.14 Offering inducements for research participants
• (a) In offering professional services as an inducement to obtain research participants,
psychologists make clear the nature of the services, as well as the risks, obligations,
and limitations. (See also Standard 1.18, Barter [with patients or clients].)
• (b) Psychologists do not offer excessive or inappropriate financial or other
inducements to obtain research participants, particularly when it might tend to coerce
participation.
• 6.15 Deception in research
• (a) Psychologists do not conduct a study involving deception unless they have
determined that the use of deceptive techniques is justified by the study's prospective
scientific, educational, or applied value and that equally effective alternative
procedures that do not use deception are not feasible.
• (b) Psychologists never deceive research participants about significant aspects that
would affect their willingness to participate, such as physical risks, discomfort, or
unpleasant emotional experiences.
• (c) Any other deception that is an integral feature of the design and conduct of an
experiment must be explained to participants as early as is feasible, preferably at the
conclusion of their participation, but no later than at the conclusion of the research.
(See also Standard 6.18, Providing participants with information about the study.)
• 6.16 Sharing and utilizing data
• Psychologists inform research participants of their anticipated sharing or further use
of personally identifiable research data and of the possibility of unanticipated future
uses.
• 6.17 Minimizing invasiveness
• In conducting research, psychologists interfere with the participants or milieu from
which data are collected only in a manner that is warranted by an appropriate
research design and that is consistent with psychologists' roles as scientific
investigators.
• 6.18 Providing participants With information about the study
• (a) Psychologists provide a prompt opportunity for participants to obtain appropriate
information about the nature, results, and conclusions of the research, and
psychologists attempt to correct any misconceptions that participants may have.
• (b) If scientific or humane values justify delaying or withholding this information,
psychologists take reasonable measures to reduce the risk of harm.
• 6.19 Honoring commitments
• Psychologists take reasonable measures to honor all commitments they
have made to research participants.
• 6.20 Care and use of animals in research
• (a) Psychologists who conduct research involving animals treat them
humanely.
• (b) Psychologists acquire, care for, use, and dispose of animals in
compliance with current federal, state, and local laws and regulations, and
with professional standards.
• (c) Psychologists trained in research methods and experienced in the care
of laboratory animals supervise all procedures involving animals and are
responsible for ensuring appropriate consideration of their comfort, health,
and humane treatment.
• (d) Psychologists ensure that all individuals using animals under their
supervision have received instruction in research methods and in the care,
maintenance, and handling of the species being used, to the extent
appropriate to their role.
• (e) Responsibilities and activities of individuals assisting in a
research project are consistent with their respective competencies.
(f) Psychologists make reasonable efforts to minimize the
discomfort, infection, illness, and pain of animal subjects.
• (g) A procedure subjecting animals to pain, stress, or privation is
used only when an alternative procedure is unavailable and the goal
is justified by its prospective scientific, educational, or applied value.
• (h) Surgical procedures are performed under appropriate
anesthesia; techniques to avoid infection and minimize pain are
followed during and after surgery.
• (i) When it is appropriate that the animal's life be terminated, it is
done rapidly, with an effort to minimize pain, and in accordance with
accepted procedures.
• 6.21 Reporting of results
• (a) Psychologists do not fabricate data or falsify results in their
publications.
• (b) If psychologists discover significant errors in their published data,
they take reasonable steps to correct such errors in a correction,
retraction, erratum, or other appropriate publication means.
• 6.22 Plagiarism
• Psychologists do not present substantial portions or elements of
another's work or data as their own, even if the other work or data
source is cited occasionally.
• d the proprietary rights in such information of those who submitted it.
• 6.23 Publication credit
• (a) Psychologists take responsibility and credit, including authorship credit, only for
work they have actually performed or to which they have contributed.
• (b) Principal authorship and other publication credits accurately reflect the relative
scientific or professional contributions of the individuals involved, regardless of their
relative status. Mere possession of an institutional position, such as Department
Chair, does not justify authorship credit. Minor contributions to the research or to the
writing for publications are appropriately acknowledged, such as in footnotes or in an
introductory statement.
• (c) A student is usually listed as principal author on any multiple-authored article that
is substantially based on the student's dissertation or thesis.
• 6.24 Duplicate publication of data
• Psychologists do not publish, as original data, data that have been previously
published. This does not preclude republishing data when they are accompanied by
proper acknowledgment.
• 6.25 Sharing data
• After research results are published, psychologists do
not withhold the data on which their conclusions are
based from other competent professionals who seek to
verify the substantive claims through reanalysis and who
intend to use such data only for that purpose, provided
that the confidentiality of the participants can be
protected and unless legal rights concerning proprietary
data preclude their release.
• 6.26 Professional reviewers.
• Psychologists who review material submitted for
publication, grant, or other research proposal review
respect the confidentiality of an
• 7. Forensic activities
• 7.01 Professionalism
• Psychologists who perform forensic functions, such as assessments, interviews,
consultations, reports, or expert testimony, must comply with all other provisions of
this Ethics Code to the extent that they apply to such activities. In addition,
psychologists base their forensic work on appropriate knowledge of and competence
in the areas underlying such work, including specialized knowledge concerning
special populations. (See also Standards 1.06, Basis for scientific and professional
judgments; 1.08, Human differences; 1.15, Misuse of psychologists' influence; and
1.23, Documentation of professional and scientific work.)
• 7.02 Forensic assessments
• (a) Psychologists' forensic assessments, recommendations, and reports are based
on information and techniques (including personal interviews of the individual, when
appropriate) sufficient to provide appropriate substantiation for their findings. (See
also Standards 1.03, Professional and scientific relationship; 1.23, Documentation of
professional and scientific work; 2.01, Evaluation, diagnosis, and interventions in
professional context; and 2.05, Interpreting assessment results.)
• (b) Except as noted in (c), below, psychologists provide written or
oral forensic reports or testimony of the psychological char-
acteristics of an individual only after they have conducted an
examination of the individual adequate to support their statements or
conclusions.
• (c) When, despite reasonable efforts, such an examination is not
feasible, psychologists clarify the impact of their limited information
on the reliability and validity of their reports and testimony, and they
appropriately limit the nature and extent of their conclusions or
recommendations.
• by making known their commitment to this Ethics Code and taking
steps to resolve the conflict in a responsible manner. (See also
Standard 1.02, Relationship of ethics and law.)
• 7.03 Clarification of role
• In most circumstances, psychologists avoid performing multiple and potentially
conflicting roles in forensic matters. When psychologists may be called on to serve in
more than one role in a legal proceeding — for example, as consultant or expert for
one party or for the court and as a fact witness — they clarify role expectations and
the extent of confidentiality in advance to the extent feasible, and thereafter as
changes occur, in order to avoid compromising their professional judgment and
objectivity and in order to avoid misleading others regarding their role.
• 7.04 Truthfulness and candor
• (a) In forensic testimony and reports, psychologists testify truthfully, honestly, and
candidly and, consistent with applicable legal procedures, describe fairly the bases
for their testimony and conclusions. (b) Whenever necessary to avoid misleading,
psychologists acknowledge the limits of their data or conclusions.
• 7.05 Prior relationships
• A prior professional relationship with a party does not preclude
psychologists from testifying as fact witnesses or from testifying to their
services to the extent permitted by applicable law. Psychologists
appropriately take into account ways in which the prior relationship might
affect their professional objectivity or opinions and disclose the potential
conflict to the relevant parties.
• 7.06 Compliance with law and rules
• In performing forensic roles, psychologists are reasonably familiar with the
rules governing their roles. Psychologists are aware of the occasionally
competing demands placed upon them by these principles and the
requirements of the court system, and attempt to resolve these conflicts
 Resolving Ethical issues
•
• 8.01 Familiarity with ethics code
• Psychologists have an obligation to be familiar with this Ethics
Code, other applicable ethics codes, and their application to
psychologists' work. Lack of awareness or misunderstanding of an
ethical standard is not itself a defense to a charge of unethical
conduct.
• 8.02 Confronting ethical issues
• When a psychologist is uncertain whether a particular situation or
course of action would violate this Ethics Code, the psychologist
ordinarily consults with other psychologists knowledgeable about
ethical issues, with state or national psychology ethics committees,
or with other appropriate authorities in order to choose a proper
response.
• 8.03 Conflicts between ethics and organizational demands
• If the demands of an organization with which psychologists are
affiliated conflict with this Ethics Code, psychologists clarify the
nature of the conflict, make known their commitment to the Ethics
Code, and to the extent feasible, seek to resolve the conflict in a
way that permits the fullest adherence to the Ethics Code.
• 8.04 Informal resolution of ethical violations
• When psychologists believe that there may have been an ethical
violation by another psychologist, they attempt to resolve the issue
by bringing it to the attention of that individual if an in- formal
resolution appears appropriate and the intervention does not violate
any confidentiality rights that may be involved.
• 8.05 Reporting ethical violations
• If an apparent ethical violation is not appropriate for informal
resolution under Standard 8.04 or is not resolved properly in that
fashion, psychologists take further action appropriate to the
situation, unless such action conflicts with confidentiality rights in
ways that cannot be resolved. Such action might include referral to
state or national committees on professional ethics or to state
licensing boards.
• 8.06 Cooperating with ethics committees
• Psychologists cooperate in ethics investigations,
proceedings, and resulting requirements of the APA or
any affiliated state psychological association to which
they belong. In doing so, they make reasonable efforts to
resolve any issues as to confidentiality. Failure to
cooperate is itself an ethics violation.
• 8.07 Improper complaints
• Psychologists do not file or encourage the filing of ethics
complaints that are frivolous and are intended to harm
the respondent rather than to protect the public.