APA Ethical Principles of Psychologists and Code of Conduct (2017)

ETHICAL PRINCIPLES

OF PSYCHOLOGISTS

AND

CODE OF CONDUCT

Printed in the United States of America

Adopted August 21, 2002

Eecve June 1, 2003

(With the 2010 Amendments

to Introducon and Applicability

and Standards 1.02 and 1.03,

Eecve June 1, 2010)

With the 2016 Amendment

to Standard 3.04

Adopted August 3, 2016

Eecve January 1, 2017

INTRODUCTION AND APPLICABILITY

PREAMBLE

GENEL PRINCIPLES

Principle A: Benecence

and Nonmalecence

Principle B: Fidelity and Responsibility

Principle C: Integrity

Principle D: Justice

Principle E: Respect for People’s Rights

and Dignity

ETHICAL STANDARDS

1. Resolving Ethical Issues

1.01 Misuse of Psychologists’ Work

1.02 Conicts Between Ethics and Law,

Regulations, or Other Governing

Legal Authority

1.03 Conicts Between Ethics and

Organizational Demands

1.04 Informal Resolution of Ethical

Violations

1.05 Reporting Ethical Violations

1.06 Cooperating With Ethics Commiees

1.07 Improper Complaints

1.08 Unfair Discrimination Against

Complainants and Respondents

2. Competence

2.01 Boundaries of Competence

2.02 Providing Services in Emergencies

2.03 Maintaining Competence

2.04 Bases for Scientic and Professional

Judgments

2.05 Delegation of Work to Others

2.06 Personal Problems and Conicts

3. Human Relations

3.01 Unfair Discrimination

3.02 Sexual Harassment

3.03 Other Harassment

3.04 Avoiding Harm

3.05 Multiple Relationships

3.06 Conict of Interest

3.07 ird-Party Requests for Services

3.08 Exploitative Relationships

3.09 Cooperation With Other

Professionals

3.10 Informed Consent

3.11 Psychological Services Delivered to

or rough Organizations

3.12 Interruption of Psychological Services

4. Privacy and Condentiality

4.01 Maintaining Condentiality

4.02 Discussing the Limits of

Condentiality

4.03 Recording

4.04 Minimizing Intrusions on Privacy

4.05 Disclosures

4.06 Consultations

4.07 Use of Condential Information

for Didactic or Other Purposes

5. Advertising and Other Public

Statements

5.01 Avoidance of False or Deceptive

Statements

5.02 Statements by Others

5.03 Descriptions of Workshops and

Non-Degree-Granting Educational

Programs

5.04 Media Presentations

5.05 Testimonials

5.06 In-Person Solicitation

6. Record Keeping and Fees

6.01 Documentation of Professional

and Scientic Work and

Maintenance of Records

6.02 Maintenance, Dissemination,

and Disposal of Condential Records

of Professional and Scientic Work

6.03 Withholding Records for

Nonpayment

6.04 Fees and Financial Arrangements

6.05 Barter With Clients/Patients

6.06 Accuracy in Reports to Payors and

Funding Sources

6.07 Referrals and Fees

7. Education and Training

7.01 Design of Education and Training

Programs

7.02 Descriptions of Education and

Training Programs

7.03 Accuracy in Teaching

7.04 Student Disclosure of Personal

Information

7.05 Mandatory Individual or Group

erapy

7.06 Assessing Student and Supervisee

Performance

7.07 Sexual Relationships With

Students and Supervisees

8. Research and Publication

8.01 Institutional Approval

8.02 Informed Consent to Research

8.03 Informed Consent for Recording

Voices and Images in Research

8.04 Client/Patient, Student, and

Subordinate Research Participants

8.05 Dispensing With Informed Consent

for Research

8.06 Oering Inducements for Research

Participation

8.07 Deception in Research

8.08 Debrieng

8.09 Humane Care and Use of Animals

in Research

8.10 Reporting Research Results

8.11 Plagiarism

8.12 Publication Credit

8.13 Duplicate Publication of Data

8.14 Sharing Research Data for Verication

8.15 Reviewers

9. Assessment

9.01 Bases for Assessments

9.02 Use of Assessments

9.03 Informed Consent in Assessments

9.04 Release of Test Data

9.05 Test Construction

9.06 Interpreting Assessment Results

9.07 Assessment by Unqualied Persons

9.08 Obsolete Tests and Outdated Test

Results

9.09 Test Scoring and Interpretation

Services

9.10 Explaining Assessment Results

9.11 Maintaining Test Security

10. erapy

10.01 Informed Consent to erapy

10.02 erapy Involving Couples or

Families

10.03 Group erapy

10.04 Providing erapy to ose Served

by Others

10.05 Sexual Intimacies With Current

erapy Clients/Patients

10.06 Sexual Intimacies With Relatives

or Signicant Others of Current

erapy Clients/Patients

10.07 erapy With Former Sexual Partners

10.08 Sexual Intimacies With Former

erapy Clients/Patients

10.09 Interruption of erapy

10.10 Terminating erapy

AMENDMENTS TO THE 2002

“ETHICAL PRINCIPLES OF

PSYCHOLOGISTS AND CODE OF

CONDUCT” IN 2010 AND 2016

Eective June 1, 2003 (as amended 2010, 2016). Eective January 1, 2017 1

ETHICAL PRINCIPLES OF PSYCHOLOGISTS

AND CODE OF CONDUCT

CONTENTS

INTRODUCTION AND APPLICABILITY

e American Psychological Association’s (APA’s)

Ethical Principles of Psychologists and Code of Conduct

(hereinaer referred to as the Ethics Code) consists of an

Introduction, a Preamble, ve General Principles (A-E),

and specic Ethical Standards. e Introduction discusses

the intent, organization, procedural considerations, and

scope of application of the Ethics Code. e Preamble and

General Principles are aspirational goals to guide psycholo-

gists toward the highest ideals of psychology. Although the

Preamble and General Principles are not themselves en-

forceable rules, they should be considered by psychologists

in arriving at an ethical course of action. e Ethical Stan-

dards set forth enforceable rules for conduct as psycholo-

gists. Most of the Ethical Standards are wrien broadly, in

order to apply to psychologists in varied roles, although the

application of an Ethical Standard may vary depending on

the context. e Ethical Standards are not exhaustive. e

fact that a given conduct is not specically addressed by an

Ethical Standard does not mean that it is necessarily either

ethical or unethical.

is Ethics Code applies only to psychologists’ ac-

tivities that are part of their scientic, educational, or profes-

sional roles as psychologists. Areas covered include but are

not limited to the clinical, counseling, and school practice

of psychology; research; teaching; supervision of trainees;

public service; policy development; social intervention;

development of assessment instruments; conducting as-

sessments; educational counseling; organizational consult-

ing; forensic activities; program design and evaluation; and

administration. is Ethics Code applies to these activities

across a variety of contexts, such as in person, postal, tele-

phone, Internet, and other electronic transmissions. ese

activities shall be distinguished from the purely private con-

duct of psychologists, which is not within the purview of the

Ethics Code.

Membership in the APA commits members and stu-

dent aliates to comply with the standards of the APA Ethics

Code and to the rules and procedures used to enforce them.

Lack of awareness or misunderstanding of an Ethical Stan-

dard is not itself a defense to a charge of unethical conduct.

e procedures for ling, investigating, and resolving

complaints of unethical conduct are described in the current

Rules and Procedures of the APA Ethics Commiee. APA

may impose sanctions on its members for violations of the

standards of the Ethics Code, including termination of APA

membership, and may notify other bodies and individuals of

its actions. Actions that violate the standards of the Ethics

Code may also lead to the imposition of sanctions on psy-

chologists or students whether or not they are APA mem-

bers by bodies other than APA, including state psychological

associations, other professional groups, psychology boards,

other state or federal agencies, and payors for health services.

In addition, APA may take action against a member aer his

or her conviction of a felony, expulsion or suspension from

an aliated state psychological association, or suspension or

loss of licensure. When the sanction to be imposed by APA

is less than expulsion, the 2001 Rules and Procedures do not

guarantee an opportunity for an in-person hearing, but gen-

erally provide that complaints will be resolved only on the

basis of a submied record.

e Ethics Code is intended to provide guidance for

psychologists and standards of professional conduct that can

be applied by the APA and by other bodies that choose to

adopt them. e Ethics Code is not intended to be a basis of

civil liability. Whether a psychologist has violated the Eth-

ics Code standards does not by itself determine whether

the psychologist is legally liable in a court action, whether a

contract is enforceable, or whether other legal consequences

occur.

2 Introduction and Applicability Eective January 1, 2017

e American Psychological Association’s Council of Representatives ad-

opted this version of the APA Ethics Code during its meeting on August 21,

2002. e Code became eective on June 1, 2003. e Council of Represen-

tatives amended this version of the Ethics Code on February 20, 2010, eec-

tive June 1, 2010, and on August 3, 2016, eective January 1, 2017. (see p. 16

of this pamphlet). Inquiries concerning the substance or interpretation of

the APA Ethics Code should be addressed to the Oce of Ethics, American

Psychological Association, 750 First St. NE, Washington, DC 20002-4242.

is Ethics Code and information regarding the Code can be found on the

APA website, hp://www.apa.org/ethics. e standards in this Ethics Code

will be used to adjudicate complaints brought concerning alleged conduct

occurring on or aer the eective date. Complaints will be adjudicated on

the basis of the version of the Ethics Code that was in eect at the time the

conduct occurred.

e APA has previously published its Ethics Code, or amendments there-

to, as follows:

American Psychological Association. (1953). Ethical standards of psycholo-

gists. Washington, DC: Author.

American Psychological Association. (1959). Ethical standards of psycholo-

gists. American Psychologist, 14, 279-282.

American Psychological Association. (1963). Ethical standards of psycholo-

gists. American Psychologist, 18, 56-60.

American Psychological Association. (1968). Ethical standards of psycholo-

gists. 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 psycholo-

gists. Washington, DC: Author.

American Psychological Association. (1981). Ethical principles of psycholo-

gists. American Psychologist, 36, 633-638.

American Psychological Association. (1990). Ethical principles of psycholo-

gists (Amended June 2, 1989). American Psychologist, 45, 390-395.

American Psychological Association. (1992). Ethical principles of psycholo-

gists and code of conduct. American Psychologist, 47, 1597-1611.

American Psychological Association. (2002). Ethical principles of psycholo-

gists and code of conduct. American Psychologist, 57, 1060-1073.

American Psychological Association. (2010). 2010 amendments to the 2002

“Ethical Principles of Psychologists and Code of Conduct.” American Psycholo-

gist, 65, 493.

American Psychological Association. (2016). Revision of ethical standard

3.04 of the “Ethical Principles of Psychologists and Code of Conduct” (2002,

as amended 2010). American Psychologist, 71, 900.

Request copies of the APA’s Ethical Principles of Psychologists and Code

of Conduct from the APA Order Department, 750 First St. NE, Washington,

DC 20002-4242, or phone (202) 336-5510.

e modiers used in some of the standards of this

Ethics Code (e.g., reasonably, appropriate, potentially) are in-

cluded in the standards when they would (1) allow profes-

sional judgment on the part of psychologists, (2) eliminate

injustice or inequality that would occur without the modi-

er, (3) ensure applicability across the broad range of ac-

tivities conducted by psychologists, or (4) guard against a

set of rigid rules that might be quickly outdated. As used in

this Ethics Code, the term reasonable means the prevailing

professional judgment of psychologists engaged in similar

activities in similar circumstances, given the knowledge the

psychologist had or should have had at the time.

In the process of making decisions regarding their

professional behavior, psychologists must consider this

Ethics Code in addition to applicable laws and psychol-

ogy board regulations. In applying the Ethics Code to their

professional work, psychologists may consider other ma-

terials and guidelines that have been adopted or endorsed

by scientic and professional psychological organizations

and the dictates of their own conscience, as well as consult

with others within the eld. If this Ethics Code establishes

a higher standard of conduct than is required by law, psy-

chologists must meet the higher ethical standard. If psy-

chologists’ ethical responsibilities conict with law, regu-

lations, or other governing legal authority, psychologists

make known their commitment to this Ethics Code and

take steps to resolve the conict in a responsible manner in

keeping with basic principles of human rights.

PREAMBLE

Psychologists are commied to increasing scientic

and professional knowledge of behavior and people’s un-

derstanding of themselves and others and to the use of such

knowledge to improve the condition of individuals, organi-

zations, and society. Psychologists respect and protect civil

and human rights and the central importance of freedom of

inquiry and expression in research, teaching, and publica-

tion. ey strive to help the public in developing informed

judgments and choices concerning human behavior. In do-

ing so, they perform many roles, such as researcher, edu-

cator, diagnostician, therapist, supervisor, consultant, ad-

ministrator, social interventionist, and expert witness. is

Ethics Code provides a common set of principles and stan-

dards upon which psychologists build their professional

and scientic work.

is Ethics Code is intended to provide specic

standards to cover most situations encountered by psy-

chologists. It has as its goals the welfare and protection of

the individuals and groups with whom psychologists work

and the education of members, students, and the public re-

garding ethical standards of the discipline.

e development of a dynamic set of ethical stan-

dards for psychologists’ work-related conduct requires a

personal commitment and lifelong eort to act ethically;

to encourage ethical behavior by students, supervisees,

employees, and colleagues; and to consult with others con-

cerning ethical problems.

GENEL PRINCIPLES

is section consists of General Principles. General

Principles, as opposed to Ethical Standards, are aspiration-

al in nature. eir intent is to guide and inspire psycholo-

gists toward the very highest ethical ideals of the profes-

sion. General Principles, in contrast to Ethical Standards,

do not represent obligations and should not form the basis

for imposing sanctions. Relying upon General Principles

for either of these reasons distorts both their meaning and

purpose.

Principle A: Benecence and Nonmalecence

Psychologists strive to benet those with whom

they work and take care to do no harm. In their profession-

al actions, psychologists seek to safeguard the welfare and

rights of those with whom they interact professionally and

other aected persons, and the welfare of animal subjects of

research. When conicts occur among psychologists’ obli-

gations or concerns, they aempt to resolve these conicts

in a responsible fashion that avoids or minimizes harm. Be-

cause psychologists’ scientic and professional judgments

and actions may aect the lives of others, they are alert to

and guard against personal, nancial, social, organizational,

or political factors that might lead to misuse of their inu-

ence. Psychologists strive to be aware of the possible eect

of their own physical and mental health on their ability to

help those with whom they work.

Principle B: Fidelity and Responsibility

Psychologists establish relationships of trust with

those with whom they work. ey are aware of their pro-

fessional and scientic responsibilities to society and to the

specic communities in which they work. Psychologists

uphold professional standards of conduct, clarify their pro-

fessional roles and obligations, accept appropriate respon-

sibility for their behavior, and seek to manage conicts of

interest that could lead to exploitation or harm. Psycholo-

gists consult with, refer to, or cooperate with other profes-

sionals and institutions to the extent needed to serve the

best interests of those with whom they work. ey are con-

cerned about the ethical compliance of their colleagues’

scientic and professional conduct. Psychologists strive to

contribute a portion of their professional time for lile or

no compensation or personal advantage.

Principle C: Integrity

Psychologists seek to promote accuracy, honesty,

and truthfulness in the science, teaching, and practice of

Eective January 1, 2017 Preamble–Principle C 3

4 Principle D–Standard 1.06 Eective January 1, 2017

psychology. In these activities psychologists do not steal,

cheat, or engage in fraud, subterfuge, or intentional mis-

representation of fact. Psychologists strive to keep their

promises and to avoid unwise or unclear commitments. In

situations in which deception may be ethically justiable to

maximize benets and minimize harm, psychologists have

a serious obligation to consider the need for, the possible

consequences of, and their responsibility to correct any re-

sulting mistrust or other harmful eects that arise from the

use of such techniques.

Principle D: Justice

Psychologists recognize that fairness and justice

entitle all persons to access to and benet from the con-

tributions of psychology and to equal quality in the pro-

cesses, procedures, and services being conducted by psy-

chologists. Psychologists exercise reasonable judgment

and take precautions to ensure that their potential biases,

the boundaries of their competence, and the limitations of

their expertise do not lead to or condone unjust practices.

Principle E: Respect for People’s Rights

and Dignity

Psychologists respect the dignity and worth of all

people, and the rights of individuals to privacy, conden-

tiality, and self-determination. Psychologists are aware that

special safeguards may be necessary to protect the rights

and welfare of persons or communities whose vulnerabili-

ties impair autonomous decision making. Psychologists

are aware of and respect cultural, individual, and role dier-

ences, including those based on age, gender, gender iden-

tity, race, ethnicity, culture, national origin, religion, sexual

orientation, disability, language, and socioeconomic status,

and consider these factors when working with members of

such groups. Psychologists try to eliminate the eect on

their work of biases based on those factors, and they do not

knowingly participate in or condone activities of others

based upon such prejudices.

ETHICAL STANDARDS

1. Resolving Ethical Issues

1.01 Misuse of Psychologists’ Work

If psychologists learn of misuse or misrepresenta-

tion of their work, they take reasonable steps to correct or

minimize the misuse or misrepresentation.

1.02 Conicts Between Ethics and Law, Regulations,

or Other Governing Legal Authority

If psychologists’ ethical responsibilities conict

with law, regulations, or other governing legal authority,

psychologists clarify the nature of the conict, make known

their commitment to the Ethics Code, and take reasonable

steps to resolve the conict consistent with the General

Principles and Ethical Standards of the Ethics Code. Under

no circumstances may this standard be used to justify or

defend violating human rights.

1.03 Conicts Between Ethics and Organizational

Demands

If the demands of an organization with which psy-

chologists are aliated or for whom they are working are

in conict with this Ethics Code, psychologists clarify the

nature of the conict, make known their commitment to the

Ethics Code, and take reasonable steps to resolve the con-

ict consistent with the General Principles and Ethical Stan-

dards of the Ethics Code. Under no circumstances may this

standard be used to justify or defend violating human rights.

1.04 Informal Resolution of Ethical Violations

When psychologists believe that there may have

been an ethical violation by another psychologist, they at-

tempt to resolve the issue by bringing it to the aention of

that individual, if an informal resolution appears appropri-

ate and the intervention does not violate any condential-

ity rights that may be involved. (See also Standards 1.02,

Conicts Between Ethics and Law, Regulations, or Other

Governing Legal Authority, and 1.03, Conicts Between

Ethics and Organizational Demands.)

1.05 Reporting Ethical Violations

If an apparent ethical violation has substantially

harmed or is likely to substantially harm a person or organi-

zation and is not appropriate for informal resolution under

Standard 1.04, Informal Resolution of Ethical Violations,

or is not resolved properly in that fashion, psychologists

take further action appropriate to the situation. Such ac-

tion might include referral to state or national commiees

on professional ethics, to state licensing boards, or to the

appropriate institutional authorities. is standard does

not apply when an intervention would violate condential-

ity rights or when psychologists have been retained to re-

view the work of another psychologist whose professional

conduct is in question. (See also Standard 1.02, Conicts

Between Ethics and Law, Regulations, or Other Governing

Legal Authority.)

1.06 Cooperating with Ethics Commiees

Psychologists cooperate in ethics investigations,

proceedings, and resulting requirements of the APA or any

aliated state psychological association to which they be-

long. In doing so, they address any condentiality issues.

Failure to cooperate is itself an ethics violation. However,

making a request for deferment of adjudication of an eth-

ics complaint pending the outcome of litigation does not

alone constitute noncooperation.

Eective January 1, 2017 Standard 1.07–Standard 2.06 5

1.07 Improper Complaints

Psychologists do not le or encourage the ling of

ethics complaints that are made with reckless disregard for or

willful ignorance of facts that would disprove the allegation.

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. is does

not preclude taking action based upon the outcome of such

proceedings or considering other appropriate information.

2. Competence

2.01 Boundaries of Competence

(a) Psychologists provide services, teach, and con-

duct research with populations and in areas only within the

boundaries of their competence, based on their education,

training, supervised experience, consultation, study, or

professional experience.

(b) Where scientic or professional knowledge in

the discipline of psychology establishes that an understand-

ing of factors associated with age, gender, gender identity,

race, ethnicity, culture, national origin, religion, sexual ori-

entation, disability, language, or socioeconomic status is

essential for eective implementation of their services or

research, psychologists have or obtain the training, experi-

ence, consultation, or supervision necessary to ensure the

competence of their services, or they make appropriate re-

ferrals, except as provided in Standard 2.02, Providing Ser-

vices in Emergencies.

teach, or conduct research involving populations, areas,

techniques, or technologies new to them undertake rel-

evant education, training, supervised experience, consulta-

tion, or study.

(d) When psychologists are asked to provide servic-

es to individuals for whom appropriate mental health ser-

vices are not available and for which psychologists have not

obtained the competence necessary, psychologists with

closely related prior training or experience may provide

such services in order to ensure that services are not denied

if they make a reasonable eort to obtain the competence

required by using relevant research, training, consultation,

or study.

(e) In those emerging areas in which generally rec-

ognized standards for preparatory training do not yet exist,

psychologists nevertheless take reasonable steps to ensure

the competence of their work and to protect clients/pa-

tients, students, supervisees, research participants, organi-

zational clients, and others from harm.

(f) When assuming forensic roles, psychologists are

or become reasonably familiar with the judicial or adminis-

trative rules governing their roles.

2.02 Providing Services in Emergencies

In emergencies, when psychologists provide ser-

vices to individuals for whom other mental health services

are not available and for which psychologists have not ob-

tained the necessary training, psychologists may provide

such services in order to ensure that services are not denied.

e services are discontinued as soon as the emergency has

ended or appropriate services are available.

2.03 Maintaining Competence

Psychologists undertake ongoing eorts to develop

and maintain their competence.

2.04 Bases for Scientic and Professional Judgments

Psychologists’ work is based upon established scien-

tic and professional knowledge of the discipline. (See also

Standards 2.01e, Boundaries of Competence, and 10.01b,

Informed Consent to erapy.)

2.05 Delegation of Work to Others

Psychologists who delegate work to employees,

supervisees, or research or teaching assistants or who use

the services of others, such as interpreters, take reasonable

steps to (1) avoid delegating such work to persons who

have a multiple relationship with those being served that

would likely lead to exploitation or loss of objectivity; (2)

authorize only those responsibilities that such persons can

be expected to perform competently on the basis of their

education, training, or experience, either independently or

with the level of supervision being provided; and (3) see

that such persons perform these services competently. (See

also Standards 2.02, Providing Services in Emergencies;

3.05, Multiple Relationships; 4.01, Maintaining Conden-

tiality; 9.01, Bases for Assessments; 9.02, Use of Assess-

ments; 9.03, Informed Consent in Assessments; and 9.07,

Assessment by Unqualied Persons.)

2.06 Personal Problems and Conicts

(a) Psychologists refrain from initiating an activity

when they know or should know that there is a substantial

likelihood that their personal problems will prevent them

from performing their work-related activities in a compe-

tent manner.

(b) 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 ter-

minate their work-related duties. (See also Standard 10.10,

Terminating erapy.)

6 Standard 3.01–Standard 3.08 Eective January 1, 2017

3. Human Relations

3.01 Unfair Discrimination

In their work-related activities, psychologists do

not engage in unfair discrimination based on age, gender,

gender identity, race, ethnicity, culture, national origin, re-

ligion, sexual orientation, disability, socioeconomic status,

or any basis proscribed by law.

3.02 Sexual Harassment

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 oensive, or creates a hostile workplace or educational

environment, and the psychologist knows or is told this or

(2) is suciently severe or intense to be abusive to a rea-

sonable person in the context. Sexual harassment can con-

sist of a single intense or severe act or of multiple persistent

or pervasive acts. (See also Standard 1.08, Unfair Discrimi-

nation Against Complainants and Respondents.)

3.03 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 per-

sons’ age, gender, gender identity, race, ethnicity, culture,

national origin, religion, sexual orientation, disability, lan-

guage, or socioeconomic status.

3.04 Avoiding Harm

(a) Psychologists take reasonable steps to avoid

harming their clients/patients, students, supervisees, re-

search participants, organizational clients, and others with

whom they work, and to minimize harm where it is foresee-

able and unavoidable.

(b) Psychologists do not participate in, facilitate, as-

sist, or otherwise engage in torture, dened as any act by

which severe pain or suering, whether physical or mental,

is intentionally inicted on a person, or in any other cruel,

inhuman, or degrading behavior that violates 3.04a.

3.05 Multiple Relationships

(a) A multiple relationship occurs when a psycholo-

gist is in a professional role with a person and (1) at the

same time is in another role with the same person, (2) at

the same time is in a relationship with a person closely as-

sociated with or related to the person with whom the psy-

chologist has the professional relationship, or (3) promises

to enter into another relationship in the future with the

person or a person closely associated with or related to the

person.

A psychologist refrains from entering into a mul-

tiple relationship if the multiple relationship could reason-

ably be expected to impair the psychologist’s objectivity,

competence, or eectiveness in performing his or her func-

tions as a psychologist, or otherwise risks exploitation or

harm to the person with whom the professional relation-

ship exists.

Multiple relationships that would not reasonably be

expected to cause impairment or risk exploitation or harm

are not unethical.

(b) If a psychologist nds that, due to unforeseen

factors, a potentially harmful multiple relationship has

arisen, the psychologist takes reasonable steps to resolve it

with due regard for the best interests of the aected person

and maximal compliance with the Ethics Code.

tutional policy, or extraordinary circumstances to serve in

more than one role in judicial or administrative proceed-

ings, at the outset they clarify role expectations and the ex-

tent of condentiality and thereaer as changes occur. (See

also Standards 3.04, Avoiding Harm, and 3.07, ird-Party

Requests for Services.)

3.06 Conict of Interest

Psychologists refrain from taking on a professional

role when personal, scientic, professional, legal, nancial,

or other interests or relationships could reasonably be ex-

pected to (1) impair their objectivity, competence, or ef-

fectiveness in performing their functions as psychologists

or (2) expose the person or organization with whom the

professional relationship exists to harm or exploitation.

3.07 ird-Party Requests for Services

When psychologists agree to provide services to a

person or entity at the request of a third party, psycholo-

gists aempt to clarify at the outset of the service the na-

ture of the relationship with all individuals or organizations

involved. is clarication includes the role of the psychol-

ogist (e.g., therapist, consultant, diagnostician, or expert

witness), an identication of who is the client, the probable

uses of the services provided or the information obtained,

and the fact that there may be limits to condentiality. (See

also Standards 3.05, Multiple relationships, and 4.02, Dis-

cussing the Limits of Condentiality.)

3.08 Exploitative Relationships

Psychologists do not exploit persons over whom

they have supervisory, evaluative or other authority such

as clients/patients, students, supervisees, research partici-

pants, and employees. (See also Standards 3.05, Multiple

Relationships; 6.04, Fees and Financial Arrangements;

6.05, Barter with Clients/Patients; 7.07, Sexual Relation-

ships with Students and Supervisees; 10.05, Sexual Intima-

Eective January 1, 2017 Standard 3.09–Standard 4.03 7

cies with Current erapy Clients/Patients; 10.06, Sexual

Intimacies with Relatives or Signicant Others of Current

erapy Clients/Patients; 10.07, erapy with Former

Sexual Partners; and 10.08, Sexual Intimacies with Former

erapy Clients/Patients.)

3.09 Cooperation with Other Professionals

When indicated and professionally appropriate,

psychologists cooperate with other professionals in order

to serve their clients/patients eectively and appropriately.

(See also Standard 4.05, Disclosures.)

3.10 Informed Consent

(a) When psychologists conduct research or pro-

vide assessment, therapy, counseling, or consulting servic-

es in person or via electronic transmission or other forms

of communication, they obtain the informed consent of

the individual or individuals using language that is reason-

ably understandable to that person or persons except when

conducting such activities without consent is mandated by

law or governmental regulation or as otherwise provided in

this Ethics Code. (See also Standards 8.02, Informed Con-

sent to Research; 9.03, Informed Consent in Assessments;

and 10.01, Informed Consent to erapy.)

(b) For persons who are legally incapable of giving

informed consent, psychologists nevertheless (1) provide an

appropriate explanation, (2) seek the individual’s assent, (3)

consider such persons’ preferences and best interests, and

(4) obtain appropriate permission from a legally authorized

person, if such substitute consent is permied or required

by law. When consent by a legally authorized person is not

permied or required by law, psychologists take reasonable

steps to protect the individual’s rights and welfare.

or otherwise mandated, psychologists inform the indi-

vidual of the nature of the anticipated services, including

whether the services are court ordered or mandated and

any limits of condentiality, before proceeding.

(d) Psychologists appropriately document wrien

or oral consent, permission, and assent. (See also Stan-

dards 8.02, Informed Consent to Research; 9.03, Informed

Consent in Assessments; and 10.01, Informed Consent to

erapy.)

3.11 Psychological Services Delivered to or rough

Organizations

(a) Psychologists delivering services to or through

organizations provide information beforehand to clients

and when appropriate those directly aected by the services

about (1) the nature and objectives of the services, (2) the

intended recipients, (3) which of the individuals are clients,

(4) the relationship the psychologist will have with each per-

son and the organization, (5) the probable uses of services

provided and information obtained, (6) who will have ac-

cess to the information, and (7) limits of condentiality. As

soon as feasible, they provide information about the results

and conclusions of such services to appropriate persons.

(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 indi-

viduals or groups at the outset of the service.

3.12 Interruption of Psychological Services

Unless otherwise covered by contract, psycholo-

gists make reasonable eorts to plan for facilitating services

in the event that psychological services are interrupted by

factors such as the psychologist’s illness, death, unavailabil-

ity, relocation, or retirement or by the client’s/patient’s re-

location or nancial limitations. (See also Standard 6.02c,

Maintenance, Dissemination, and Disposal of Condential

Records of Professional and Scientic Work.)

4. Privacy and Condentiality

4.01 Maintaining Condentiality

Psychologists have a primary obligation and take

reasonable precautions to protect condential information

obtained through or stored in any medium, recognizing

that the extent and limits of condentiality may be regu-

lated by law or established by institutional rules or profes-

sional or scientic relationship. (See also Standard 2.05,

Delegation of Work to Others.)

4.02 Discussing the Limits of Condentiality

(a) Psychologists discuss with persons (including,

to the extent feasible, persons who are legally incapable of

giving informed consent and their legal representatives)

and organizations with whom they establish a scientic or

professional relationship (1) the relevant limits of con-

dentiality and (2) the foreseeable uses of the information

generated through their psychological activities. (See also

Standard 3.10, Informed Consent.)

(b) Unless it is not feasible or is contraindicated, the

discussion of condentiality occurs at the outset of the rela-

tionship and thereaer as new circumstances may warrant.

information via electronic transmission inform clients/pa-

tients of the risks to privacy and limits of condentiality.

4.03 Recording

Before recording the voices or images of individuals

to whom they provide services, psychologists obtain per-

mission from all such persons or their legal representatives.

(See also Standards 8.03, Informed Consent for Recording

Voices and Images in Research; 8.05, Dispensing with In-

formed Consent for Research; and 8.07, Deception in Re-

search.)

8 Standard 4.04–Standard 5.04 Eective January 1, 2017

4.04 Minimizing Intrusions on Privacy

(a) Psychologists include in wrien and oral reports

and consultations, only information germane to the pur-

pose for which the communication is made.

(b) Psychologists discuss condential information

obtained in their work only for appropriate scientic or

professional purposes and only with persons clearly con-

cerned with such maers.

4.05 Disclosures

(a) Psychologists may disclose condential infor-

mation with the appropriate consent of the organizational

client, the individual client/patient, or another legally au-

thorized person on behalf of the client/patient unless pro-

hibited by law.

(b) Psychologists disclose condential information

without the consent of the individual only as mandated by

law, or where permied by law for a valid purpose such as

to (1) provide needed professional services; (2) obtain

appropriate professional consultations; (3) protect the cli-

ent/patient, psychologist, or others from harm; or (4) ob-

tain payment for services from a client/patient, in which

instance disclosure is limited to the minimum that is neces-

sary to achieve the purpose. (See also Standard 6.04e, Fees

and Financial Arrangements.)

4.06 Consultations

When consulting with colleagues, (1) psychologists

do not disclose condential information that reasonably

could lead to the identication of a client/patient, research

participant, or other person or organization with whom

they have a condential relationship unless they have ob-

tained the prior consent of the person or organization or

the disclosure cannot be avoided, and (2) they disclose in-

formation only to the extent necessary to achieve the pur-

poses of the consultation. (See also Standard 4.01, Main-

taining Condentiality.)

4.07 Use of Condential Information for Didactic or

Other Purposes

Psychologists do not disclose in their writings, lec-

tures, or other public media, condential, personally iden-

tiable information concerning their clients/patients, stu-

dents, research participants, organizational clients, or other

recipients of their services that they obtained during the

course of their work, unless (1) they take reasonable steps

to disguise the person or organization, (2) the person or

organization has consented in writing, or (3) there is legal

authorization for doing so.

5. Advertising and Other Public Statements

5.01 Avoidance of False or Deceptive Statements

(a) Public statements include but are not limited to

paid or unpaid advertising, product endorsements, grant

applications, licensing applications, other credentialing

applications, brochures, printed maer, directory listings,

personal resumes or curricula vitae, or comments for use in

media such as print or electronic transmission, statements

in legal proceedings, lectures and public oral presentations,

and published materials. Psychologists do not knowingly

make public statements that are false, deceptive, or fraud-

ulent concerning their research, practice, or other work

activities or those of persons or organizations with which

they are aliated.

(b) Psychologists do not make false, deceptive, or

fraudulent statements concerning (1) their training, ex-

perience, or competence; (2) their academic degrees; (3)

their credentials; (4) their institutional or association ali-

ations; (5) their services; (6) the scientic or clinical ba-

sis for, or results or degree of success of, their services; (7)

their fees; or (8) their publications or research ndings.

their health services only if those degrees (1) were earned

from a regionally accredited educational institution or

(2) were the basis for psychology licensure by the state in

which they practice.

5.02 Statements by Others

(a) Psychologists who engage others to create or

place public statements that promote their professional

practice, products, or activities retain professional respon-

sibility for such statements.

(b) Psychologists do not compensate employees of

press, radio, television, or other communication media in

return for publicity in a news item. (See also Standard 1.01,

Misuse of Psychologists’ Work.)

activities must be identied or clearly recognizable as such.

5.03 Descriptions of Workshops and

Non-Degree-Granting Educational Programs

To the degree to which they exercise control, psy-

chologists responsible for announcements, catalogs, bro-

chures, 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 pre-

senters, and the fees involved.

5.04 Media Presentations

When psychologists provide public advice or com-

ment via print, Internet, or other electronic transmission,

Eective January 1, 2017 Standard 5.05–Standard 6.06 9

they take precautions to ensure that statements (1) are

based on their professional knowledge, training, or expe-

rience in accord with appropriate psychological literature

and practice; (2) are otherwise consistent with this Ethics

Code; and (3) do not indicate that a professional relation-

ship has been established with the recipient. (See also Stan-

dard 2.04, Bases for Scientic and Professional Judgments.)

5.05 Testimonials

Psychologists do not solicit testimonials from cur-

rent therapy clients/patients or other persons who because

of their particular circumstances are vulnerable to undue

inuence.

5.06 In-Person Solicitation

Psychologists do not engage, directly or through

agents, in uninvited in-person solicitation of business from

actual or potential therapy clients/patients or other per-

sons who because of their particular circumstances are vul-

nerable to undue inuence. However, this prohibition does

not preclude (1) aempting to implement appropriate

collateral contacts for the purpose of beneting an already

engaged therapy client/patient or (2) providing disaster or

community outreach services.

6. Record Keeping and Fees

6.01 Documentation of Professional and Scientic

Work and Maintenance of Records

Psychologists create, and to the extent the records

are under their control, maintain, disseminate, store, retain,

and dispose of records and data relating to their profession-

al and scientic work in order to (1) facilitate provision of

services later by them or by other professionals, (2) allow

for replication of research design and analyses, (3) meet in-

stitutional requirements, (4) ensure accuracy of billing and

payments, and (5) ensure compliance with law. (See also

Standard 4.01, Maintaining Condentiality.)

6.02 Maintenance, Dissemination, and Disposal of

Condential Records of Professional and

Scientic Work

(a) Psychologists maintain condentiality in creat-

ing, storing, accessing, transferring, and disposing of records

under their control, whether these are wrien, automated, or

in any other medium. (See also Standards 4.01, Maintaining

Condentiality, and 6.01, Documentation of Professional

and Scientic Work and Maintenance of Records.)

(b) If condential information concerning recipi-

ents of psychological services is entered into databases or

systems of records available to persons whose access has

not been consented to by the recipient, psychologists use

coding or other techniques to avoid the inclusion of per-

sonal identiers.

the appropriate transfer and to protect the condentiality

of records and data in the event of psychologists’ withdraw-

al from positions or practice. (See also Standards 3.12, In-

terruption of Psychological Services, and 10.09, Interrup-

tion of erapy.)

6.03 Withholding Records for Nonpayment

Psychologists may not withhold records under

their control that are requested and needed for a client’s/

patient’s emergency treatment solely because payment has

not been received.

6.04 Fees and Financial Arrangements

(a) As early as is feasible in a professional or scientif-

ic relationship, psychologists and recipients of psychologi-

cal services reach an agreement specifying compensation

and billing arrangements.

(b)

Psychologists’ fee practices are consistent with law.

(d) If limitations to services can be anticipated be-

cause of limitations in nancing, this is discussed with the

recipient of services as early as is feasible. (See also Stan-

dards 10.09, Interruption of erapy, and 10.10, Terminat-

ing erapy.)

(e) If the recipient of services does not pay for ser-

vices as agreed, and if psychologists intend to use collection

agencies or legal measures to collect the fees, psychologists

rst inform the person that such measures will be taken and

provide that person an opportunity to make prompt pay-

ment. (See also Standards 4.05, Disclosures; 6.03, With-

holding Records for Nonpayment; and 10.01, Informed

Consent to erapy.)

6.05 Barter with Clients/Patients

Barter is the acceptance of goods, services, or other

nonmonetary remuneration from clients/patients in return

for psychological services. Psychologists may barter only if

(1) it is not clinically contraindicated, and (2) the resulting

arrangement is not exploitative. (See also Standards 3.05,

Multiple Relationships, and 6.04, Fees and Financial Ar-

rangements.)

6.06 Accuracy in Reports to Payors and Funding

Sources

In their reports to payors for services or sources of

research funding, psychologists take reasonable steps to

ensure the accurate reporting of the nature of the service

provided or research conducted, the fees, charges, or pay-

ments, and where applicable, the identity of the provider,

the ndings, and the diagnosis. (See also Standards 4.01,

Maintaining Condentiality; 4.04, Minimizing Intrusions

on Privacy; and 4.05, Disclosures.)

10 Standard 6.07–Standard 8.02 Eective January 1, 2017

6.07 Referrals and Fees

When psychologists pay, receive payment from, or

divide fees with another professional, other than in an em-

ployer-employee relationship, the payment to each is based

on the services provided (clinical, consultative, administra-

tive, or other) and is not based on the referral itself. (See

also Standard 3.09, Cooperation with Other Profession-

als.)

7. Education and Training

7.01 Design of Education and Training Programs

Psychologists responsible for education and train-

ing programs take reasonable steps to ensure that the pro-

grams are designed to provide the appropriate knowledge

and proper experiences, and to meet the requirements for

licensure, certication, or other goals for which claims are

made by the program. (See also Standard 5.03, Descrip-

tions of Workshops and Non-Degree-Granting Education-

al Programs.)

7.02 Descriptions of Education and

Training Programs

Psychologists responsible for education and train-

ing programs take reasonable steps to ensure that there is

a current and accurate description of the program content

(including participation in required course- or program-re-

lated counseling, psychotherapy, experiential groups, con-

sulting projects, or community service), training goals and

objectives, stipends and benets, and requirements that

must be met for satisfactory completion of the program.

is information must be made readily available to all in-

terested parties.

7.03 Accuracy in Teaching

(a) Psychologists take reasonable steps to ensure

that course syllabi are accurate regarding the subject maer

to be covered, bases for evaluating progress, and the nature

of course experiences. is standard does not preclude an

instructor from modifying course content or requirements

when the instructor considers it pedagogically necessary or

desirable, so long as students are made aware of these mod-

ications in a manner that enables them to fulll course re-

quirements. (See also Standard 5.01, Avoidance of False or

Deceptive Statements.)

(b) When engaged in teaching or training, psychol-

ogists present psychological information accurately. (See

also Standard 2.03, Maintaining Competence.)

7.04 Student Disclosure of Personal Information

Psychologists do not require students or super-

visees to disclose personal information in course- or pro-

gram-related activities, either orally or in writing, regarding

sexual history, history of abuse and neglect, psychologi-

cal treatment, and relationships with parents, peers, and

spouses or signicant others except if (1) the program or

training facility has clearly identied this requirement in its

admissions and program materials or (2) the information

is necessary to evaluate or obtain assistance for students

whose personal problems could reasonably be judged to be

preventing them from performing their training- or profes-

sionally related activities in a competent manner or posing

a threat to the students or others.

7.05 Mandatory Individual or Group erapy

(a) When individual or group therapy is a program

or course requirement, psychologists responsible for that

program allow students in undergraduate and graduate

programs the option of selecting such therapy from prac-

titioners unaliated with the program. (See also Standard

7.02, Descriptions of Education and Training Programs.)

(b) Faculty who are or are likely to be responsible

for evaluating students’ academic performance do not

themselves provide that therapy. (See also Standard 3.05,

Multiple Relationships.)

7.06 Assessing Student and Supervisee Performance

(a) In academic and supervisory relationships, psy-

chologists establish a timely and specic process for pro-

viding feedback to students and supervisees. Information

regarding the process is provided to the student at the be-

ginning of supervision.

(b) Psychologists evaluate students and supervisees

on the basis of their actual performance on relevant and es-

tablished program requirements.

7.07 Sexual Relationships with Students and

Supervisees

Psychologists do not engage in sexual relationships

with students or supervisees who are in their department,

agency, or training center or over whom psychologists have

or are likely to have evaluative authority. (See also Standard

3.05, Multiple Relationships.)

8. Research and Publication

8.01 Institutional Approval

When institutional approval is required, psycholo-

gists provide accurate information about their research

proposals and obtain approval prior to conducting the re-

search. ey conduct the research in accordance with the

approved research protocol.

8.02 Informed Consent to Research

(a) When obtaining informed consent as required

in Standard 3.10, Informed Consent, psychologists inform

participants about (1) the purpose of the research, expect-

Eective January 1, 2017 Standard 8.03–Standard 8.08 11

ed duration, and procedures; (2) their right to decline to

participate and to withdraw from the research once par-

ticipation has begun; (3) the foreseeable consequences of

declining or withdrawing; (4) reasonably foreseeable fac-

tors that may be expected to inuence their willingness to

participate such as potential risks, discomfort, or adverse

eects; (5) any prospective research benets; (6) limits of

condentiality; (7) incentives for participation; and (8)

whom to contact for questions about the research and re-

search participants’ rights. ey provide opportunity for

the prospective participants to ask questions and receive

answers. (See also Standards 8.03, Informed Consent for

Recording Voices and Images in Research; 8.05, Dispens-

ing with Informed Consent for Research; and 8.07, Decep-

tion in Research.)

(b) Psychologists conducting intervention research

involving the use of experimental treatments clarify to par-

ticipants at the outset of the research (1) the experimental

nature of the treatment; (2) the services that will or will

not be available to the control group(s) if appropriate; (3)

the means by which assignment to treatment and control

groups will be made; (4) available treatment alternatives if

an individual does not wish to participate in the research or

wishes to withdraw once a study has begun; and (5) com-

pensation for or monetary costs of participating including,

if appropriate, whether reimbursement from the partici-

pant or a third-party payor will be sought. (See also Stan-

dard 8.02a, Informed Consent to Research.)

8.03 Informed Consent for Recording Voices and

Images in Research

Psychologists obtain informed consent from re-

search participants prior to recording their voices or images

for data collection unless (1) the research consists solely

of naturalistic observations in public places, and it is not

anticipated that the recording will be used in a manner that

could cause personal identication or harm, or (2) the re-

search design includes deception, and consent for the use

of the recording is obtained during debrieng. (See also

Standard 8.07, Deception in Research.)

8.04 Client/Patient, Student, and Subordinate

Research Participants

(a) When psychologists conduct research with cli-

ents/patients, students, or subordinates as participants,

psychologists take steps to protect the prospective par-

ticipants from adverse consequences of declining or with-

drawing from participation.

(b) When research participation is a course require-

ment or an opportunity for extra credit, the prospective

participant is given the choice of equitable alternative ac-

tivities.

8.05 Dispensing with Informed Consent for

Research

Psychologists may dispense with informed consent

only (1) where research would not reasonably be assumed

to create distress or harm and involves (a) the study of nor-

mal educational practices, curricula, or classroom manage-

ment methods conducted in educational seings; (b) only

anonymous questionnaires, naturalistic observations, or

archival research for which disclosure of responses would

not place participants at risk of criminal or civil liability or

damage their nancial standing, employability, or reputa-

tion, and condentiality is protected; or (c) the study of

factors related to job or organization eectiveness conduct-

ed in organizational seings for which there is no risk to

participants’ employability, and condentiality is protected

or (2) where otherwise permied by law or federal or insti-

tutional regulations.

8.06 Oering Inducements for Research

Participation

(a) Psychologists make reasonable eorts to avoid

oering excessive or inappropriate nancial or other in-

ducements for research participation when such induce-

ments are likely to coerce participation.

(b) When oering professional services as an in-

ducement for research participation, psychologists clarify

the nature of the services, as well as the risks, obligations,

and limitations. (See also Standard 6.05, Barter with Cli-

ents/Patients.)

8.07 Deception in Research

(a) Psychologists do not conduct a study involv-

ing deception unless they have determined that the use of

deceptive techniques is justied by the study’s signicant

prospective scientic, educational, or applied value and

that eective nondeceptive alternative procedures are not

feasible.

(b) Psychologists do not deceive prospective partic-

ipants about research that is reasonably expected to cause

physical pain or severe emotional distress.

integral feature of the design and conduct of an experiment

to participants as early as is feasible, preferably at the con-

clusion of their participation, but no later than at the con-

clusion of the data collection, and permit participants to

withdraw their data. (See also Standard 8.08, Debrieng.)

8.08 Debrieng

(a) Psychologists provide a prompt opportunity for

participants to obtain appropriate information about the

nature, results, and conclusions of the research, and they

take reasonable steps to correct any misconceptions that

participants may have of which the psychologists are aware.

12 Standard 8.09–Standard 9.01 Eective January 1, 2017

(b) If scientic or humane values justify delaying or

withholding this information, psychologists take reason-

able measures to reduce the risk of harm.

procedures have harmed a participant, they take reasonable

steps to minimize the harm.

8.09 Humane Care and Use of Animals in Research

(a) Psychologists acquire, care for, use, and dispose

of animals in compliance with current federal, state, and lo-

cal laws and regulations, and with professional standards.

(b) Psychologists trained in research methods and

experienced in the care of laboratory animals supervise all

procedures involving animals and are responsible for en-

suring appropriate consideration of their comfort, health,

and humane treatment.

their supervision who are using animals have received

instruction in research methods and in the care, mainte-

nance, and handling of the species being used, to the extent

appropriate to their role. (See also Standard 2.05, Delega-

tion of Work to Others.)

(d) Psychologists make reasonable eorts to mini-

mize the discomfort, infection, illness, and pain of animal

subjects.

(e) Psychologists use a procedure subjecting ani-

mals to pain, stress, or privation only when an alternative

procedure is unavailable and the goal is justied by its pro-

spective scientic, educational, or applied value.

(f) Psychologists perform surgical procedures un-

der appropriate anesthesia and follow techniques to avoid

infection and minimize pain during and aer surgery.

(g) When it is appropriate that an animal’s life be

terminated, psychologists proceed rapidly, with an eort

to minimize pain and in accordance with accepted proce-

dures.

8.10 Reporting Research Results

(a) Psychologists do not fabricate data. (See also

Standard 5.01a, Avoidance of False or Deceptive State-

ments.)

(b) If psychologists discover signicant errors in

their published data, they take reasonable steps to correct

such errors in a correction, retraction, erratum, or other ap-

propriate publication means.

8.11 Plagiarism

Psychologists do not present portions of another’s

work or data as their own, even if the other work or data

source is cited occasionally.

8.12 Publication Credit

(a) Psychologists take responsibility and credit, in-

cluding authorship credit, only for work they have actually

performed or to which they have substantially contributed.

(See also Standard 8.12b, Publication Credit.)

(b) Principal authorship and other publication

credits accurately reect the relative scientic or profes-

sional contributions of the individuals involved, regardless

of their relative status. Mere possession of an institutional

position, such as department chair, does not justify author-

ship credit. Minor contributions to the research or to the

writing for publications are acknowledged appropriately,

such as in footnotes or in an introductory statement.

dent is listed as principal author on any multiple-authored

article that is substantially based on the student’s doctoral

dissertation. Faculty advisors discuss publication credit

with students as early as feasible and throughout the re-

search and publication process as appropriate. (See also

Standard 8.12b, Publication Credit.)

8.13 Duplicate Publication of Data

Psychologists do not publish, as original data, data

that have been previously published. is does not pre-

clude republishing data when they are accompanied by

proper acknowledgment.

8.14 Sharing Research Data for Verication

(a) Aer research results are published, psycholo-

gists 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 condentiality of the participants can be protected and

unless legal rights concerning proprietary data preclude

their release. is does not preclude psychologists from re-

quiring that such individuals or groups be responsible for

costs associated with the provision of such information.

(b) Psychologists who request data from other psy-

chologists to verify the substantive claims through reanaly-

sis may use shared data only for the declared purpose. Re-

questing psychologists obtain prior wrien agreement for

all other uses of the data.

8.15 Reviewers

Psychologists who review material submied for

presentation, publication, grant, or research proposal re-

view respect the condentiality of and the proprietary

rights in such information of those who submied it.

9. Assessment

9.01 Bases for Assessments

(a) Psychologists base the opinions contained in

their recommendations, reports, and diagnostic or evalu-

ative statements, including forensic testimony, on informa-

Eective January 1, 2017 Standard 9.02–Standard 9.06 13

tion and techniques sucient to substantiate their ndings.

(See also Standard 2.04, Bases for Scientic and Profes-

sional Judgments.)

(b) Except as noted in 9.01c, psychologists provide

opinions of the psychological characteristics of individuals

only aer they have conducted an examination of the in-

dividuals adequate to support their statements or conclu-

sions. When, despite reasonable eorts, such an examina-

tion is not practical, psychologists document the eorts

they made and the result of those eorts, clarify the prob-

able impact of their limited information on the reliability

and validity of their opinions, and appropriately limit the

nature and extent of their conclusions or recommenda-

tions. (See also Standards 2.01, Boundaries of Compe-

tence, and 9.06, Interpreting Assessment Results.)

or provide consultation or supervision and an individual

examination is not warranted or necessary for the opinion,

psychologists explain this and the sources of information on

which they based their conclusions and recommendations.

9.02 Use of Assessments

(a) Psychologists administer, adapt, score, interpret,

or use assessment techniques, interviews, tests, or instru-

ments 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 use assessment instruments

whose validity and reliability have been established for use

with members of the population tested. When such valid-

ity or reliability has not been established, psychologists

describe the strengths and limitations of test results and

interpretation.

appropriate to an individual’s language preference and

competence, unless the use of an alternative language is rel-

evant to the assessment issues.

9.03 Informed Consent in Assessments

(a) Psychologists obtain informed consent for as-

sessments, evaluations, or diagnostic services, as described

in Standard 3.10, Informed Consent, except when (1) test-

ing is mandated by law or governmental regulations; (2)

informed consent is implied because testing is conducted

as a routine educational, institutional, or organizational

activity (e.g., when participants voluntarily agree to assess-

ment when applying for a job); or (3) one purpose of the

testing is to evaluate decisional capacity. Informed consent

includes an explanation of the nature and purpose of the

assessment, fees, involvement of third parties, and limits of

condentiality and sucient opportunity for the client/pa-

tient to ask questions and receive answers.

(b) Psychologists inform persons with questionable

capacity to consent or for whom testing is mandated by law

or governmental regulations about the nature and purpose

of the proposed assessment services, using language that is

reasonably understandable to the person being assessed.

preter obtain informed consent from the client/patient to

use that interpreter, ensure that condentiality of test re-

sults and test security are maintained, and include in their

recommendations, reports, and diagnostic or evaluative

statements, including forensic testimony, discussion of any

limitations on the data obtained. (See also Standards 2.05,

Delegation of Work to Others; 4.01, Maintaining Con-

dentiality; 9.01, Bases for Assessments; 9.06, Interpreting

Assessment Results; and 9.07, Assessment by Unqualied

Persons.)

9.04 Release of Test Data

(a) e term test data refers to raw and scaled scores,

client/patient responses to test questions or stimuli, and

psychologists’ notes and recordings concerning client/

patient statements and behavior during an examination.

ose portions of test materials that include client/pa-

tient responses are included in the denition of test data.

Pursuant to a client/patient release, psychologists provide

test data to the client/patient or other persons identied

in the release. Psychologists may refrain from releasing test

data to protect a client/patient or others from substantial

harm or misuse or misrepresentation of the data or the test,

recognizing that in many instances release of condential

information under these circumstances is regulated by law.

(See also Standard 9.11, Maintaining Test Security.)

(b) In the absence of a client/patient release, psy-

chologists provide test data only as required by law or court

order.

9.05 Test Construction

Psychologists who develop tests and other assess-

ment techniques use appropriate psychometric procedures

and current scientic or professional knowledge for test de-

sign, standardization, validation, reduction or elimination

of bias, and recommendations for use.

9.06 Interpreting Assessment Results

When interpreting assessment results, including

automated interpretations, psychologists take into account

the purpose of the assessment as well as the various test

factors, test-taking abilities, and other characteristics of the

person being assessed, such as situational, personal, linguis-

tic, and cultural dierences, that might aect psychologists’

judgments or reduce the accuracy of their interpretations.

ey indicate any signicant limitations of their interpreta-

tions. (See also Standards 2.01b and c, Boundaries of Com-

petence, and 3.01, Unfair Discrimination.)

14 Standard 9.07–Standard 10.03 Eective January 1, 2017

9.07 Assessment by Unqualied Persons

Psychologists do not promote the use of psycholog-

ical assessment techniques by unqualied persons, except

when such use is conducted for training purposes with ap-

propriate supervision. (See also Standard 2.05, Delegation

of Work to Others.)

9.08 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) Psychologists do not base such decisions or rec-

ommendations on tests and measures that are obsolete and

not useful for the current purpose.

9.09 Test Scoring and Interpretation Services

(a) Psychologists who oer assessment or scor-

ing services to other professionals accurately describe the

purpose, norms, validity, reliability, and applications of

the procedures and any special qualications applicable to

their use.

(b) Psychologists select scoring and interpretation

services (including automated services) on the basis of evi-

dence of the validity of the program and procedures as well

as on other appropriate considerations. (See also Standard

2.01b and c, Boundaries of Competence.)

propriate application, interpretation, and use of assessment

instruments, whether they score and interpret such tests

themselves or use automated or other services.

9.10 Explaining Assessment Results

Regardless of whether the scoring and interpreta-

tion are done by psychologists, by employees or assistants,

or by automated or other outside services, psychologists

take reasonable steps to ensure that explanations of results

are given to the individual or designated representative un-

less the nature of the relationship precludes provision of

an explanation of results (such as in some organizational

consulting, preemployment or security screenings, and fo-

rensic evaluations), and this fact has been clearly explained

to the person being assessed in advance.

9.11 Maintaining Test Security

e term test materials refers to manuals, instru-

ments, protocols, and test questions or stimuli and does

not include test data as dened in Standard 9.04, Release of

Test Data. Psychologists make reasonable eorts to main-

tain the integrity and security of test materials and other

assessment techniques consistent with law and contractual

obligations, and in a manner that permits adherence to this

Ethics Code.

10. erapy

10.01 Informed Consent to erapy

(a) When obtaining informed consent to therapy

as required in Standard 3.10, Informed Consent, psychol-

ogists inform clients/patients as early as is feasible in the

therapeutic relationship about the nature and anticipated

course of therapy, fees, involvement of third parties, and

limits of condentiality and provide sucient opportunity

for the client/patient to ask questions and receive answers.

(See also Standards 4.02, Discussing the Limits of Con-

dentiality, and 6.04, Fees and Financial Arrangements.)

(b) When obtaining informed consent for treat-

ment for which generally recognized techniques and proce-

dures have not been established, psychologists inform their

clients/patients of the developing nature of the treatment,

the potential risks involved, alternative treatments that may

be available, and the voluntary nature of their participation.

(See also Standards 2.01e, Boundaries of Competence, and

3.10, Informed Consent.)

sponsibility for the treatment provided resides with the su-

pervisor, the client/patient, as part of the informed consent

procedure, is informed that the therapist is in training and

is being supervised and is given the name of the supervisor.

10.02 erapy Involving Couples or Families

(a) When psychologists agree to provide services to

several persons who have a relationship (such as spouses,

signicant others, or parents and children), they take rea-

sonable steps to clarify at the outset (1) which of the in-

dividuals are clients/patients and (2) the relationship the

psychologist will have with each person. is clarication

includes the psychologist’s role and the probable uses of

the services provided or the information obtained. (See

also Standard 4.02, Discussing the Limits of Condential-

ity.)

(b) If it becomes apparent that psychologists may

be called on to perform potentially conicting roles (such

as family therapist and then witness for one party in di-

vorce proceedings), psychologists take reasonable steps to

clarify and modify, or withdraw from, roles appropriately.

(See also Standard 3.05c, Multiple Relationships.)

10.03 Group erapy

When psychologists provide services to several per-

sons in a group seing, they describe at the outset the roles

and responsibilities of all parties and the limits of conden-

tiality.

Eective January 1, 2017 Standard 10.04–Standard 10.10 15

10.04 Providing erapy to ose Served by Others

In deciding whether to oer or provide services to

those already receiving mental health services elsewhere,

psychologists carefully consider the treatment issues and

the potential client’s/patient’s welfare. Psychologists dis-

cuss these issues with the client/patient or another legally

authorized person on behalf of the client/patient in order

to minimize the risk of confusion and conict, consult with

the other service providers when appropriate, and proceed

with caution and sensitivity to the therapeutic issues.

10.05 Sexual Intimacies with Current erapy

Clients/Patients

Psychologists do not engage in sexual intimacies

with current therapy clients/patients.

10.06 Sexual Intimacies with Relatives or Signicant

Others of Current erapy Clients/Patients

Psychologists do not engage in sexual intimacies

with individuals they know to be close relatives, guardians,

or signicant others of current clients/patients. Psycholo-

gists do not terminate therapy to circumvent this standard.

10.07 erapy with Former Sexual Partners

Psychologists do not accept as therapy clients/pa-

tients persons with whom they have engaged in sexual in-

timacies.

10.08 Sexual Intimacies with Former erapy

Clients/Patients

(a) Psychologists do not engage in sexual intimacies

with former clients/patients for at least two years aer ces-

sation or termination of therapy.

(b) Psychologists do not engage in sexual intimacies

with former clients/patients even aer a two-year interval

except in the most unusual circumstances. Psychologists

who engage in such activity aer the two years following

cessation or termination of therapy and of having no sexual

contact with the former client/patient bear 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, dura-

tion, and intensity of the therapy; (3) the circumstances of

termination; (4) the client’s/patient’s personal history; (5)

the client’s/patient’s current mental status; (6) the likeli-

hood of adverse impact on the client/patient; and (7) any

statements or actions made by the therapist during the

course of therapy suggesting or inviting the possibility of

a posermination sexual or romantic relationship with the

client/patient. (See also Standard 3.05, Multiple Relation-

ships.)

10.09 Interruption of erapy

When entering into employment or contractual re-

lationships, psychologists make reasonable eorts to pro-

vide for orderly and appropriate resolution of responsibil-

ity for client/patient care in the event that the employment

or contractual relationship ends, with paramount consid-

eration given to the welfare of the client/patient. (See also

Standard 3.12, Interruption of Psychological Services.)

10.10 Terminating erapy

(a) Psychologists terminate therapy when it be-

comes reasonably clear that the client/patient no longer

needs the service, is not likely to benet, 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 re-

lationship.

ents/patients or third-party payors, prior to termination

psychologists provide pretermination counseling and sug-

gest alternative service providers as appropriate.

AMENDMENTS TO THE 2002 “ETHICAL PRINCIPLES OF PSYCHOLOGISTS AND

CODE OF CONDUCT” IN 2010 AND 2016

2010 Amendments

Introduction and Applicability

If psychologists’ ethical responsibilities conict

with law, regulations, or other governing legal authority,

psychologists make known their commitment to this Eth-

ics Code and take steps to resolve the conict in a respon-

sible manner. If the conict is unresolvable via such means,

psychologists may adhere to the requirements of the law,

regulations, or other governing authority in keeping with

basic principles of human rights.

1.02 Conicts Between Ethics and Law, Regulations,

or Other Governing Legal Authority

If psychologists’ ethical responsibilities conict

with law, regulations, or other governing legal authority,

psychologists clarify the nature of the conict, make known

their commitment to the Ethics Code, and take reasonable

steps to resolve the conict consistent with the General

Principles and Ethical Standards of the Ethics Code. If the

conict is unresolvable via such means, psychologists may

adhere to the requirements of the law, regulations, or other

governing legal authority, Under no circumstances may

this standard be used to justify or defend violating human

rights.

1.03 Conicts Between Ethics and Organizational

Demands

If the demands of an organization with which psy-

chologists are aliated or for whom they are working are

in conict with this Ethics Code, psychologists clarify the

nature of the conict, make known their commitment to

the Ethics Code, and to the extent feasible, resolve the con-

ict in a way that permits adherence to the Ethics Code.

take reasonable steps to resolve the conict consistent with

the General Principles and Ethical Standards of the Ethics

Code. Under no circumstances may this standard be used

to justify or defend violating human rights.

16 Amendments to the 2002 Ethics Code in 2010 and 2016 Eective January 1, 2017

2016 Amendment

3.04 Avoiding Harm

(a) Psychologists take reasonable steps to avoid

harming their clients/patients, students, supervisees, re-

search participants, organizational clients, and others with

whom they work, and to minimize harm where it is foresee-

able and unavoidable.

(b) Psychologists do not participate in, facilitate, as-

sist, or otherwise engage in torture, dened as any act by

which severe pain or suering, whether physical or mental,

is intentionally inicted on a person, or in any other cruel,

inhuman, or degrading behavior that violates 3.04a.

ETHICAL PRINCIPLES

OF PSYCHOLOGISTS

AND

CODE OF CONDUCT

Printed in the United States of America