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
The American Psychological Association’s (APA’s)
Ethical Principles of Psychologists and Code of
Conduct (hereinafter referred to as the Ethics Code)
consists of
1. Introduction,
2. A Preamble,
3. Five General Principles (A-E),
4. and specific Ethical Standards.
The Introduction discusses the intent, organization,
procedural considerations, and scope of application
of the Ethics Code.
Preamble
 Psychologists are committed to increasing
scientific and professional knowledge of
behavior and people’s understanding of
themselves and others and to the use of
such knowledge to improve the condition
of individuals, organizations, and society.
General principles
A. Beneficence and Non maleficence
B. Fidelity and responsibility
C. Integrity
D. Justice
E. Respect for people’s right and dignity
General Principles
 A: Beneficence and  D: Justice
Nonmaleficence:
 Benefit those you work  Be just and fair
with  Remove bias
 Do no harm
 B: Fidelity and
 E. Respect for People’s
Responsibility Rights and Dignity
 Do not exploit others  Privacy, confidentiality
 Be a citizen in community
 Right to self-
 C: Integrity determination
 Be honest and truthful
 Do not cheat or steal
 Cultural Respect
Specific ethical standards
1. Resolving ethical issues
2. Competence
3. Human relations
4. Privacy and confidentiality
5. Advertising and other public statements
6. Record keeping and fees
7. Education and training
8. Research and publication
9. Assessment
10. Therapy
Standard 1: Resolving Ethical Issues
 1.01: Misuse of Psychologist’s Work
 If someone misuses your work, you must try to minimize the misuse.
 If psychologists learn of misuse or misrepresentation of their work, they
take reasonable steps to correct or minimize the misuse or
misrepresentation.
 1.02: Conflicts Between Ethics, law, regulations, or other governing legal
authority,
 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
 Psychologists do not deny persons employment,
advancement, admissions to academic or other programs,
tenure, or promotion, based solely upon their having made or
their being the subject of an ethics complaint.
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.
 is unwelcome, is offensive, or creates a hostile workplace or
educational 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.
 3.03: Other Harassment
 Don’t do that either. 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, gender identity, race, ethnicity, culture,
national origin, religion, sexual orientation, disability, language,
or socioeconomic status.
 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.
 3.07: Third-Party Requests for Services
 Clarify what you will be doing and limits of it.
 When psychologists agree to provide services to a person or
entity at the request of a third party, psychologists attempt to
clarify at the outset of the service the nature of the relationship
with all individuals or organizations involved.
 3.08: Exploitative Relationships
 Do not exploit others.
 Psychologists do not exploit persons over whom they have
supervisory, evaluative or other authority such as clients/patients,
students, supervisees, research participants, and employees
 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 within 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 no
exploitative
 6.06: Accuracy in Reports to Payers 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: Plagiarism
 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
 (a) Psychologists do not engage in sexual intimacies with former
clients/patients for at least two years after cessation or termination of
therapy
 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 post treatment.
Standard 10: Therapy
 10.09 Interruption of Therapy

When entering into employment or contractual relationships, psychologists

make reasonable efforts to provide for orderly and appropriate resolution of

responsibility for client/patient care in the event that the employment or

contractual relationship ends, with paramount consideration given to the

welfare of the client/patient.

(a) Psychologists terminate therapy when it becomes reasonably clear that the

client/patient no longer needs the service, is not likely to benefit, or is being

harmed by continued service. (b) Psychologists may terminate therapy when

threatened or otherwise endangered by the client/patient or another person with

whom the client/patient has a relationship. (c) Except where precluded by the

actions of clients/patients or third-party payors, prior to termination

psychologists provide pretermination counseling and suggest alternative service

providers as appropriate.