AMERICAN PSYCHOLOGICAL
ASSOCIATION (APA) 2010
Ethical Principles of Psychologists and Code of
Conduct
Introduction
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Ethics code has to do with professional work and not
personal life.
Members of APA have to follow these codes; however,
even if you are not members of APA the certification
boards and licensure boards may hold you to these
ethical standards.
Concerns of laws (criminal) and practice (civil) issues
(ethics do not automatically equate to wining your civil
case).
Not knowing the ethical code is NO excuse for lack of
compliance.
First, do no harm
General Principles

A: Beneficence and
Nonmaleficence:
Benefit those you work
with
 Do no harm

Be just and fair
 Remove bias
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B: Fidelity and
Responsibility
Do not exploit others
 Be a citizen in community
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C: Integrity
Be honest and truthful
 Do not cheat or steal
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D: Justice

E. Respect for People’s
Rights and Dignity
Privacy, confidentiality
 Right to selfdetermination
 Cultural Respect

Standard 1: Resolving Ethical Issues

1.01: Misuse of Psychologist’s Work
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1.02: Conflicts Between Ethics, Law, Regs, or Gov’t
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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
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If someone misuses your work, you must try to minimize the
misuse.
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
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1.05: Reporting Ethical Violations
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1.06: Cooperating with Ethics Committees
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You must cooperate if you are asked
Be concerned about confidentiality issues
1.07: Improper Complaints
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
When cannot do informally: 1) refer to state or national
committee, 2) refer to licensure boards
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.
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2.02: Providing Services in Emergencies
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2.03: Maintaining Competence
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May provide services even without training if refer out
ASAP.
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
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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
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3.03: Other Harassment
 Don’t

do it.
do that either.
3.04: Avoiding Harm
 Nope
Standard 3: Human Relations
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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.

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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
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3.07: Third-Party Requests for Services
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3.08: Exploitative Relationships
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Do not exploit others.
3.09: Cooperation with Other Professionals
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
Clarify what you will be doing and limits of it
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
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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
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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
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
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
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

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
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Do not release confidential info unless consent provided
Only discuss info relevant for help to client
Standard 5: Advertising and Other Public Statements
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5.01: Avoidance of False or Deceptive Statements
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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
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5.03: Description of Workshops and Non-DegreeGranting Educational Programs
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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
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6.01: Documentation of Professional and Scientific Work
and Maintenance of Records
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6.02: Maintenance, Dissemination, and Disposal of
Confidential Records of Professional and Scientific Work
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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
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
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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
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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
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7.05: Mandatory Individual or Group Therapy
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7.06: Assessing Student and Supervisee Performance
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
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.
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
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Don’t do it.
Standard 8: Research and Publication
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8.01: Institutional approval
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8.02: Informed Consent
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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
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Get IRB approval prior to 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
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
Protect participants who are vulnerable (students, clients, etc.)
Must give a choice when research participation is course requirement
Standard 8: Research and Publication
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8.05: Dispensing with Informed Consent for Research
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
8.06: Offering Inducements for Research Participation
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
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
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
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8.08: Debriefing
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
8.09: Humane Care and Use of Animals in Research
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
Care for animals in a legal, humane, manner by those
trained to minimize discomfort and understand research.
8.10: Reporting Research Results
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
Provide a prompt opportunity for participants to obtain
information about the research or if not possible take
measures to reduce or minimize harm.
Do not fabricate data and issue corrections if you find that
data is incorrect after publication
8.11: Plagarism
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Don’t do it.
Standard 8: Research and Publication
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8.12: Publication Credit
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8.13: Duplicate Publication of Data
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Do not publish previously published data even if they were the
previous authors
8.14: Sharing Research Data for Verification
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
Take credit for only work that you did
Student’s dissertations ensure #1 author position
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
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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

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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


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.
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.