codigo etica APA

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INTRODUCTIONThe American Psychological Association's (APA's)Ethical Principles of Psychologists and Code of Conduct(hereinafter referred to as the Ethics Code) consists of anIntroduction, a Pream ble, six General Principles (A -F), andspecific Ethical Standard s. The Introduction discusses theintent, organization, procedural conside rations, and scope ofapplication of the Ethics Code. The Preamble and GeneralPrinciples are aspirational goals to guide psychologiststoward the highest ideals of psycholog y. Although the

Preamble and General Principles are not themselves enforce-able rules, they should be considered by psychologists inarriving at an ethical course of action and m ay be consideredby ethics bodies in interpreting the Ethical Standards. TheEthical Standards set forth enforceable rules for conduct aspsych ologists. Most of the Ethical Standards are writtenbroadly, in order to apply to psychologists in varied roles,although the application of an Ethical Standard may varydepending on the context. The Ethical Standards are notexhau stive. The fact that a given conduct is not specificallyaddressed by the Ethics Code does not mean that it isnecessarily either ethical or unethical.Mem bership in the APA com mits members to adhereto the APA Ethics Code and to the rules and procedures usedto implem ent it. Psycholog ists and students, whether or notthey are APA mem bers, should be awa re that the Ethics Codemay be applied to them by state psychology boards, courts,or other public bodies.This Ethics Code applies only to psychologists' work-related activities, that is, activities that are part of the psy-chologists' scientific and professional functions or that arepsychological in nature. It includes the clinical or counselingpractice of psychology, research, teaching, supervision oftrainees, development of assessment instruments, conduct-ing assessm ents, educational counseling, organizational con-sulting, social intervention, adm inistration, and other activi-ties as well. These w ork-related activities can be distin-guished from the purely private conduct of a psychologist,which ordinarily is not within the purview of the Ethics Code.The Ethics Code is intended to provide standards ofprofessional condu ct that can be applied by the APA and byother bodies that choose to adopt them. Whe ther or not apsycholog ist has violated the Ethics Code does not by itselfdetermine whether he or she is legally liable in a court action,whether a contract is enforceable, or whether other legalconsequ ences oc cur. These results are based on legal ratherthan ethical rules. How ever, compliance with or violation ofthe Ethics Code may be admissible as evidence in some legalproceedings, depending on the circumstances.In the process of making decisions regarding theirprofessional beh avior, psychologists must consider this Eth-ics Code, in addition to applicable laws and psychologyboard regulations. If the Ethics Code establishes a higher

standard of conduct than is required by law, psychologistsmust meet the higher ethical standard. If the Ethics Codestandard appears to conflict with the requirements of law,then psychologists make known their commitment to theEthics Code and take steps to resolve the conflict in a

responsible manner. If neither law nor the Ethics Coderesolves an issue, psychologists should consider otherprofessional materials' and the dictates of their own con-science, as well as seek consultation with others within thefield when this is practical.The proced ures for filing, investigating, and resolvingcomplaints of unethical conduct a re described in the currentRules and Procedures of the APA Ethics Committee. Theactions that APA may tak e for violations of the Ethics Codeinclude actions such as reprimand, censure, termination of

This version of the APA Ethics Code was adopted by the AmericanPsychological Association's Council of Representatives during its meet-ing, August 13 and 16,19 92, and is effective beginning December 1,1992.Inquiries concerning the substance or interpretation of the APA Ethics Codeshould be addressed to the Director, Office of Ethics, A merican Psychologi-cal Association, 750 First Street, NE, Washington, DC 20002-4242.This Code w ill be used to adjudicate complaints brought concerningalleged conduct occurring on or after the effective date. Comp laintsregarding conduct occurring prior to the effective date will be adjudicatedon the basis of the version of the Code that was in effect at the time theconduct occurred, except that no provisions repealed in June 1989, will beenforced even if an earlier version contains the provision. The Ethics Codewill undergo continuing review and study for future revisions; commentson the Code may be sent to the above address.The APA has previously published its Ethical Standards as follows:

American Psychological Association. (1953). Ethical standards of psy-chologists. Washington, DC: Author.American Psychological Association. (1958). Standards of ethical behav-ior for psychologists. American Psychologist, 73 ,268-271 .American Psychological Association. (1963). Ethical standards of psy-chologists. American Psychologist, 18 , 56-60.American Psychological Association. (1968). Ethical standards of psy-chologists. American Psychologist, 23 , 357-361.American Psychological Association. (1977, March). Ethical standardsof psychologists. APA Monitor, pp . 22-23.American Psychological Association. (1979). Ethical standards of psy-chologists. Washington, DC: Author.Ame rican Psychological Association. (1981 ). E thical principles of psy-chologists. American Psychologist, 36 , 633-638.American Psychological Association. (1990). Ethical principles of psy-chologists (Amended June 2, 1989). AmericanPsychologist, 45,390-395.Request copies of the APA 's Ethical Principles of Psychologists andCode of Conduct from the APA Order D epartment, 750 First Street, NE,Washington, DC 20002-4242, or phone (202) 336-5510.'Professional materials that are most helpful in this regard are guide-lines and standards that have been adopted or endorsed by professionalpsychological organizations. Such guidelines and standards, whetheradopted by the American Psychological Association (APA) or its Divi-sions, are not enforceable as such by this Ethics Co de, but are of educativevalue to psycholo gists, courts, and professional bodies. Such materialsinclude, but are not limited to, the APA's General Guidelinesfor Providersof Psychological Services (1987), Specialty Guidelinesfor the Delivery ofServices by Clinical Psychologists, Counseling Psychologists, Industrial/Organizational Psychologists, and School Psychologists (1981), Guide-linesfor Computer Based Tests an d Interpretations (1987), Standards forEducational and Psychological Testing (1985), Ethical Principles in theConduct of Research With Human Participants (1982), Guidelines forEthical Conduct in the Care and Use of Animals (1986), Guidelines forProviders of Psychological Services to Ethnic, Linguistic, an d Culturally

Diverse Populations (1990), and Publication Manual of the AmericanPsychological Association (3rd ed., 1983). Materials not adopted by APAas a whole include the APA Division 41 (Forensic Psychology)/AmericanPsychology-Law Society's Specialty Guidelines for Forensic Psycholo-gists (1991).

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APA mem bership , and referral of the matter to other bodies.Complainants who seek remedies such as monetary damagesin alleging ethical violations by a psychologist m ust resort toprivate negotiation, administrative bodies, or the courts.Actions that violate the Ethics Code m ay lead to the imposi-tion of san ctions on a psychologist by bodies other than APA ,including state psychologica l associa tions, other profession-al groups, psychology boards, other state or federal agen cies,and payors for health services . In addition to actions forviolation of the Ethics Code, the APA Bylaws provide thatAPA may take action against a member after his or herconviction of a felony, expulsion or suspension from anaffiliated state psychological association, or suspension orloss of licensure.PREAMBLE

Psychologists work to develop a valid and reliablebody of scientific know ledge based on research. They mayapply that knowledge to human behavior in a variety ofcontexts. In doing so, they perform many role s, such asresearcher, educator, diagnostician, therapist, supervisor,consultant, administrator, social interventionist, and expertwitness. T heir goal is to broaden knowledge of behavior and,where appropriate, to apply it pragmatically to improve thecondition of both the individual and society. Psychologistsrespect the central importance of freedom of inquiry andexpression in research, teaching, and publication. They alsostrive to help the public in developing informed judgmentsand choices concerning human behavior. This Ethics Codeprovides a common set of values upon which psychologistsbuild their professional and scientific work.This Code is intended to provide both the generalprinciples and the decision rules to cover most situationsencou ntered by psyc hologists. It has as its primary goal thewelfare and protection of the individuals and groups withwhom psychologists work. It is the individual responsibilityof each psychologist to aspire to the highest possible stan-dards of conduc t. Psych ologists respect and protect humanand civil rights, and do not knowingly participate in orcondone unfair discriminatory practices.The development o fadyn amic set of ethical standardsforap sych ologist's work-related conduct requires apersonalcommitment to a lifelong effort to act ethically; to encourageethical behavior by students, supervisees, employees, andcolleagues, as appropriate; and to consult with others, asneeded, concerning ethical problem s. Each psychologistsupplements, but does not violate, the Ethics C ode's valuesand rules on the basis of guidance drawn from personalvalues, culture, and experience.GENERAL PRINCIPLESPrinciple A: Competence

Psychologists strive to maintain high standards ofcompetence in their work. They recognize the boundaries oftheir particular competencies and the limitations of theirexper tise. They provide only those services and use onlythose techniques for which they are qualified by education,

training, or experience. Psychologists are cognizant of thefact that the competenc ies required in serving, teaching, and/or studying groups of people vary with the distinctive char-acteristics of those groups. In those areas in which recog-nized professional standards do not yet exist, psychologistsexercise careful judgment and take appropriate precautionsto protect the welfare of those with whom they work. Theymaintain knowledge of relevant scientific and professionalinformation related to the services they render, and theyrecognize the need for ongoing education. Psychologistsmake appropriate use of scientific, professional, technical,and administrative resources.Principle B: Integrity

Psychologists seek to promo te integrity in the science,teaching, and practice of psycho logy. In these activitiespsychologists are honest, fair, and respectful of others. Indescribing or reporting their qualifications, services, prod-ucts, fees, research, or teaching, they do no t make statementsthat are false, misleading , or decep tive. Psycholog ists striveto be aware of their own belief systems, values, needs, andlimitations and the effect of these on their work. To the extentfeasible, they attempt to clarify for relevant parties the rolesthey are performing and to function appropriately in accor-dance with those roles. Psycholog ists avoid improper andpotentially harmful dual relationships.Principle C: Professional andScientific Responsibility

Psychologists uphold professional standards of con-duct, clarify their professional roles and o bligations, acceptappropriate responsibility for their behav ior, and adapt theirmethods to the needs of different populations. Psychologistsconsult with, refer to, or cooperate with other professionalsand institutions to the extent needed to serve the best interestsof their patients, clients, or other recipients of their service s.Psychologists' moral standards and conduct are personalmatters to the same degree as is true for any other person,except as psychologists' conduct may compromise theirprofessional responsibilities or reduce the public's trust inpsychology and psychologists. Psychologists are concernedabout the ethical compliance of their colleagues' scientificand professional conduct. When appro priate, they consultwith colleagues in order to prevent or avoid unethical con-duct.Principle D: Respect for People's Rightsand Dignity

Psychologists accord appropriate respect to the funda-mental rights, dignity, and worth of all people. They respectthe rights of individuals to privacy, confidentiality, self-determination, and autonomy, mindful that legal and otherobligations may lead to inconsistency and conflict with theexercise of these rights. Psyc hologists are aware of cultural,individual, and role differences, including those due to age,gender, race, ethnicity, national origin, religion, sexual o ri-entation, disability, language, and socioeconomic status.

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Psychologists try to eliminate the effect on their work ofbiases based on those factors, and they do not knowinglyparticipate in or condone unfair discriminatory practices.Principle E: Concern for Others' Welfare

Psychologists seek to contribute to the welfare ofthose with whom they interact professionally. In theirprofessional actions, psychologists weigh the welfare andrights of their patients or clients, students, supervisees, hu-man researc h participan ts, and other affected persons, and thewelfare of animal subjects of research. When conflicts occuramong psyc hologists' obligations or concerns, they attemptto resolve these conflicts and to perform their roles in aresponsible fashion that avoids or minimizes harm. Psy-chologists are sensitive to real and ascribed differences inpower between themselves and others, and they do notexploit or mislead other people during or after professionalrelationships.Principle F: Social Responsibility

Psychologists are aware of their professional andscientific responsibilities to the comm unity and the society inwhich they work and live. T hey apply and make public theirknowledge of psychology in order to contribute to humanwelfare. Psycholog ists are concerned about and work tomitigate the causes of human suffering. When u ndertakingresearch, they strive to advance human welfare and thescience of psychology. Psycho logists try to avoid misuse oftheir work. Psych ologists comply with the law and encour-age the development of law and social policy that serve theinterests of their patients and clients and the public. They areencouraged to contribute a portion of their professional timefor little or no personal advantage.ETHICAL STANDARDS1. General Standards

These G eneral Standard s are potentially applicable tothe professional and scientific ac tivities of all psychologists.1.01 Applicability of the Ethics Code

The activity of a psychologist subject to the EthicsCode may be reviewed under these Ethical Standards only ifthe activity is part of his or her w ork-related functions or theactivity is psychological in nature. Personal activities havingno connection to or effect on psychological roles are notsubject to the Ethics Code.1.02 Relationship of Ethics and Law

If psycholo gists' ethical respo nsibilities conflict withlaw, psychologists make known their commitment to theEthics Code and take steps to resolve the conflict in aresponsible manner.

1.03 Professional and Scientific RelationshipPsychologists provide diagnostic, therapeutic, teach-ing, research , supervisory, consultative, or other psycholog i-cal services only in the context of a defined professional orscientific relationship or role. (See also Standards 2.01 ,Evaluation, Diagnosis, and Interventions in ProfessionalContext, and 7.02, Forensic Assessments.)

1.04 Boundaries of Competence(a)Psychologists provide services, teach, and conductresearch only within the boundaries of their competence,based on their education, training, supervised experienc e, orappropriate professional experience.(b) Psychologists provide services, teach, or conductresearch in new areas or involving new techniques only afterfirst undertaking appropriate study, training, supervision,and/or consultation from persons who are competent in thoseareas or techniques.(c) In those emerging areas in w hich generally recog-nized standards for preparatory training do not yet exist,psychologists nevertheless take reasonable steps to ensurethe competence of their work and to protect patients, clients,students, research participants, and others from harm.

1.05 Maintaining ExpertisePsychologists who engage in assessment, therapy,teaching, research, organizational consulting, or other pro-fessional a ctivities maintain a reasonable level of aw arenessof current scientific and professional information in theirfields of activity, and undertake ong oing efforts to maintaincompetence in the skills they use.

1.06 Basis for Scientific and ProfessionalJudgmentsPsychologists rely on scientifically and professionallyderived knowledge when making scientific or professional

judgments or when engaging in scholarly or professionalendeavors.1.07 Describing the Nature and Results ofPsychological Services

(a) When psychologists provide assessment, evalua-tion, treatment, counse ling, supervision, teaching , consulta-tion, research, or other psychological services to an individu-al, a group, or an organization, they provide, using languagethat is reasonably understandable to the recipient of thoseservices, appropriate information beforehand about thenature of such services and appropriate information laterabout results and conclusions. (See also Standard 2.09,Explaining Assessment Results.)(b) If psychologists will be precluded by law or byorganizational roles from providing such information toparticular individuals or groups, they so inform those indi-viduals or groups at the outset of the service.

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1.08 Human DifferencesWhere differences of age, gender, race, ethnicity,national origin, religion, sexual orien tation, disability, lang-uage, or socioecono mic status significantly affect psycho lo-gists' work concerning particular individuals or groups,psychologists obtain the training, experience, consultation,or supervision necessary to ensure the competence of theirservices, or they make appropriate referrals.

1.09 Respecting OthersIn their work-related activities, psychologists respectthe rightsof others to hold values, attitudes, andopinions thatdiffer from their own.

1.10 NondiscriminationIn their work-related activities, psychologists do notengage in unfair discrimination based on age, gender, race,ethnicity, national origin, religion, sexual orientation, dis-ability, socioeco nom ic status, or any basis proscribed by law.

1.11 Sexual Harassment(a) Psychologists do not engage in sexual harassment.Sexual harassment is sexual solicitation, physical advances,

or verbal or nonverbal conduct that is sexual in nature, thatoccurs in connection with the psychologist's activities orroles as a psycho logist, and that either: (1) is unwelcome, isoffensive, or creates a hostile workplace environment, andthe psychologist knows or is told this; or (2) is sufficientlysevere or intense to be abusive to a reasonable person in thecontext. Sexual harassment can consist of a single intense orsevere act or of multiple persistent or pervasive acts.(b) Psychologists accord sexual-harassment complain-ants and respond ents dignity and respect. Psychologists donot participate in denying a person academic admittance oradvancem ent, employm ent, tenure, or promotion, based solelyupon their having m ade , or their being the subject of, sexua l-harassment charges. This does not preclude taking actionbased upon the outcome of such proceedings or considerationof other appropriate information.1.12 Other Harassment

Psychologists do not knowingly engage in behaviorthat is harassing or demeaning to persons with whom theyinteract in their work based on factors such as those pers ons'age, gende r, race, ethnicity, national origin, religion, sexualorientation, disability, language, or socioeconomic status.1.13 Personal Problems and Conflicts

(a) Psychologists recognize that their personal prob-lems and conflicts may interfere with their effectiveness.Acc ordingly, they refrain from undertaking an activity whenthey know or should know that their personal problems arelikely to lead to harm to a patient, client, colleague, student,research p articipant, or other person to whom they may owea professional or scientific obligation.

(b) In addition, psycho logists have an obligation to bealert to signs of, and to obtain assistance for, their personalproblems at an early stage, in order to prevent significantlyimpaired performance.(c) When psychologists becom e aw are of personalproblems that may interfere with their performing work-related duties adequately, they take appropriate measures,such as obtaining professional co nsultation or assistance, anddetermine whether they should limit, suspend, or terminatetheir work-related duties.1.14 Avoiding Harm

Psychologists take reasonable steps to avoid harm ingtheir patients or clients, research participants, students, andothers with whom they work, and to minimize harm where itis foreseeable and unavoidable.1.15 Misuse of Psycho logists' Influence

Because psychologists' scientific and professionaljudgments and actions may affect the lives of others, they arealert to and guard against pe rsonal, financial, soc ial, organi-zational, or political factors that m ight lead to misuse of theirinfluence.1.16 Misuse of Psychologists' Work(a) Psychologists do not participate in activities inwhich it appears likely that their skills or data will be misusedby others, unless corrective mech anisms are available. (Seealso Standard 7.04, Truthfulness and Candor.)(b) If psychologists learn of misuse or m isrepresenta-tion of their work, they take reasonable steps to correct orminimize the misuse or misrepresentation.1.17 Multiple Relationships

(a) In many comm unities and situations, it may not befeasible or reasonable for psychologists to avoid social orother nonprofessional co ntacts with persons such as patients,clients, students, supervisees, or research participants. Psy-chologists must always be sensitive to the potential harmfuleffects of other contacts on their work and on those personswith whom they deal. A psychologist refrains from enteringinto or promising another pe rsonal, scientific, professional,financial, or other relationship w ith such persons if itappearslikely that such a relationship reasonably might impair thepsychologist's objectivity or otherwise interfere with thepsych ologist's effectively performing his or her functions asa psychologist, or might harm or exploit the other party.(b) Likewise, whenever feasible, a psychologist re-frains from taking on professional or scientific obligationswhen preexisting relationships would create a risk of suchharm. (c) If a psychologist finds that, due to unforeseenfactors, a potentially harmful multiple relationship has arisen,the psychologist attempts to resolve it with due regard for thebest interests of the affected person and maxima l com pliancewith the E thics Code.

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1.18 Barter (With Patients or Clients)Psycho logists ordinarily refrain from accepting goods,services, or other nonmonetary remuneration from patientsor clients in return for psychological services because sucharrangements create inherent potential for conflicts, exploi-tation, and distortion of the professional relationship. Apsychologist may participate in bartering only if (1) it is notclinically contraindicated, and. (2) the relationship is notexploitative. (See also Standards 1.17, Multiple Relation-ships, and 1.25, Fees and Financial Arrangements.)

1.19 Exploitative Relationships(a) Psychologists do not exploit persons over whomthey have supervisor y, evaluativ e, or other authority such asstudents, supervisees, employees, research participants, andclients or patients. (See also Standards 4.05-4.07 regardingsexual involvement with clients or patients.)(b) Psychologists do not engage in sexual relation-ships with students or supervisees in training over whom thepsychologist has evalua tive or direct authority, because suchrelationships are so likely to impair judgment or be exploit-ative.

1.20 Consultations and Referrals(a) Psycho logists arran ge for appropriate c onsulta-tions and referrals based principally on the best interests oftheirp atien ts or clients, with appropriate consent, and subjectto other relevant considerations, including applicable lawand contractual obligations. (See also Standards 5.01, D is-cussing the Limits of Confidentiality, and 5.06, Consulta-tions.) (b) When indicated and professionally appropriate,psychologists cooperate with other professionals in order toserve their patients or clients effectively and appropriately.(c) Psychologists' referral practices are consistentwith law.

1.21 Third-Party Req uests for Services(a) When a psycho logist agrees to provide services toa person or entity at the request of a third party, the psycholo-gist clarifies to the extent fea sible, at the outset of the service,the nature of the relationship with each party. This clarifica-tion includes the role of the psychologist (such as therapist,organizational consultant, diagnostician, or expert witness),the probable uses of the services provided or the informationobtained, and th e fact that there may be limits to confidenti-ality. (b) If there is a foreseeable risk of the psychologist'sbeing called upon to perform conflicting roles because of theinvolvement of a third party, the psychologist clarifies thenature and direction of his or her responsibilities, keeps allparties appropriately informed as matters develop, and re-solves the situation in accordance with this Ethics Code.

1.22 Delegation to and Supervisionof Subordinates(a) Psychologists delegate to their employees,supervisees, and research assistants only those responsibili-ties that such persons can reaso nably be exp ected to performcompetently, on the basis of their education, training, orexperience, either independently or with the level of super-vision being provided.(b) Psychologists provide proper training and supervi-sion to their employees or supervisees and take reasonable

steps to see that such persons perform services responsibly,competently, and ethically.(c) If institutional policies, procedures, or practicesprevent fulfillment of this obligation, psychologists attemptto modify their role or to correct the situation to the extentfeasible.1.23 Docum entation of Professional andScientific Work

(a) Psychologists appropriately document their pro-fessional an d scientific work in order to facilitate provisionof services later by them or by other professionals, to ensureaccountability, and to meet otherrequirementsof institutionsor the law.(b) When psychologists have reason to believe thatrecords of their professional services will be used in legalproceedings involving recipients of or participants in theirwork, they have a responsibility to create and maintaindocume ntation in the kind of detail and quality that would beconsistent with reasonable scrutiny in an adjudicative forum.(See also Standard 7.01, Professionalism, under ForensicActivities.)1.24 Records and Data

Psychologists create, maintain, disseminate, store,retain, and dispose of records and data relating to theirresearch, practice , and other work in accordance with lawandin a manner that permits compliance with the requirements ofthis Ethics Code. (See also Standard 5.04, Maintenance ofRecords.)1.25 Fees and Financial Arrangem ents

(a) As early as is feasible in a professional o r scientificrelationship, the psychologist and the patient, client, or otherappropriate recipient of psychological services reach anagreement specifying the compensation and the billing ar-rangements.(b) Psychologists do not exploit recipients of servicesor payors with respect to fees.(c) Psych ologists' fee practices are consistent withlaw. (d) Psychologists do not misrepresent their fees.(e) If limitations to services can be anticipated be-cause of limitations in financing, this is discussed with thepatient, client, or other appropriate recipient of services as

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proced ures and any spec ial qualifications ap plicable to theiruse. (b) Psychologists select scoring and interpretationservices (including automated services) on the basis of evi-dence of the validity of the program and procedures as w ellas on other appropriate considerations.(c) Psych ologists retain appropriate responsibility forthe appropriate application, interpretation, and use of assess-ment instruments, whe ther they score and interpret such teststhemselves or use automated or other services.2.09 Explaining Assessment ResultsUnless the nature of the relationship is clearly ex-plained to the person being assessed in advance and precludesprovision of an explanation of results (such as in someorganizational consu lting, preemploym ent or security screen-ings, and forensic evalu ations), psycholog ists ensure that anexplanation of the results is provided using language that isreasonably understandable to the person assessed or to an-other legally authorized person on behalf of the client.Regardless of whether the scoring and interpretation are doneby the psychologist, by assistants, or by automated or otheroutside services, psychologists take reasonable steps to en-sure that appropriate explanations of results are given.2.10 Maintaining Test SecurityPsycho logists make reasonab le efforts to maintain theintegrity and security of tests and other assessment tech-niques consistent with law, contractual obligations, and in amanner that permits compliance w ith the requirements of thisEthics Code. (See also Standard 1.02, Relationship of Ethicsand Law.)3. Advertising and OtherPublic Statements3.01 Definition of Public Statements

Psycho logists comply with this Ethics Code in publicstatements relating to their professional service s, products, orpublications or to the field of psycho logy. Public statementsinclude but are not limited to paid or unpaid advertising,brochures, printed matter, directory listings, personal re-sumes or curricula vitae, interviews or comments for use inmedia, statements in legal proceedings, lectures and publicoral presentations, and published materials.3.02 Statements by Others

(a) Psychologists who engage others to create or placepublic statements that promote their professional practice,products, or activities retain professional responsibility forsuch statements.(b) In addition , psychologists make reasonable effortsto preven t others whom they do not control (such as employ-ers, publishers, sponsors, organizational clients, and repre-sentatives of the print or broadcast media) from makingdeceptive statements concerning psychologists' practice orprofessional or scientific activities.

(c) If psychologists learn of deceptive statements abouttheir work made by others, psychologists make reasonableefforts to correct such statements.(d) Psychologists do n ot compen sate emp loyees ofpress, radio, television, or other communication media inreturn for publicity in a news item.(e) A paid advertisement relating to the psych ologist'sactivities must be identified as such, unless it is alreadyapparent from the conte xt3.03 Avoidance of False or DeceptiveStatements

(a) Psychologists do not make public statements thatare false, deceptive, misleading, or fraudulent, either becauseof what they state, convey, or suggest or because of w hat theyomit, concerning their research, practice, or other workactivities or those of persons or organizations with whichthey are affiliated. As examples (and not in limitation) of thisstandard, psychologists do not make false or deceptive state-ments concerning (1) their training, experience, or compe-tence; (2) their academic degrees; (3) their credentials; (4)their institutional or association affiliations; (5) their ser-vices; (6) the scientific or clinical basis for, or resu lts ordegree of success of, their services; (7) the ir fees; or (8) theirpublications or research f indings. (See also Standards 6.15,Deception in Research, and 6.18, Providing ParticipantsWith Information About the Study.)

(b) Psychologists claim as credentials for their psy-chological work, only degrees that (1) were earned from aregionally accredited educational institution or (2) w ere thebasis for psychology licensure by the state in which theypractice.3.04 Media Presentations

When psychologists provide advice or comment bymeans of public lectures, dem onstrations, radio or televisionprograms, prerecorded tapes, printed articles, mailed mate-rial, or other media, they take reasonable precautions toensure that (1) the statements are based on appropriate psy-chological literature and practice, (2 ) the statements areotherwise consistent with this Ethics Code, and (3) the recipi-ents of the information are not encouraged to infer that arelationship has been established with them personally.3.05 Testimonials

Psychologists do not solicit testimonials from currentpsychotherapy clients or patients or other persons who be-cause of their particular circumstances are vulnerable toundue influence.3.06 In-Person Solicitation

Psychologists do not engag e, directly or through agents,in uninvited in-person solicitation of bu siness from actual orpotential psychotherapy patients or clients or other personswho because of their particular circumstances are vulnerableto undue influence. How ever, this does not preclude attempt-



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4.08 Interruption of Services(a) Psychologists make reasonable efforts to plan forfacilitating care in the event that psychological services areinterrupted by factors such as the psychologist's illness,death, unavailability, or relocation or by the client's reloca-tion or financial limitations. (See also Standard 5.09, Pre-serving Records and D ata.)(b) When entering into employment or contractualrelationships, p sychologists provide for orderly and appropri-ate resolution of responsibility for patient or client care in the

event that the em ployment or contractual relationship ends,with paramount consideration given to the welfare of thepatient or client.4.09 Terminating the ProfessionalRelationship

(a) Psychologists do not abandon patients or clients.(See also Standard 1.25e, under Fees and Financial Arrange-ments.)(b) Psychologists terminate a professional relation-ship when it becomes reasonably clear that the patient orclient no longer needs the service, is not benefiting, or is beingharmed by continued service.(c) Prior to termination for whatever reason, exceptwhere precluded by the patient's or client's conduct, thepsychologist discusses the patient's or client's views andneeds, provides appropriate pretermination counseling, sug-gests alternative service providers as appropriate, and takesother reasonable steps to facilitate transfer of responsibilityto another provider if the patient or client needs one immedi-ately.5. Privacy and Confidentiality

These Standards are potentially applicable to the pro-fessional and scientific a ctivities of all psychologists.5.01 Discussing the Limits of C onfidentiality

(a) Psychologists discuss with persons and organiza-tions with whom they establish a scientific or professionalrelationship (including, to the extent feasible, minors andtheir legal representatives) (1) the relevant limitations onconfidentiality, including limitations where applicable ingroup, marital, and family therapy or in organizational con-sulting, and (2) the foreseeable uses of the informationgenerated through their services.(b) Unless it is not feasible or is contraindicated, thediscussion of confidentiality occurs at the outset of therelationship and thereafter as new circumstances may war-rant. (c) Permission for electronic recording of interviewsis secured from clients and patients.5.02 Maintaining Confidentiality

Psychologists have a primary obligation and takereasonable precautions to respect the confidentiality rights of

those with whom they work or consult, recognizing thatconfidentiality m ay be established by law, institutional rules,or professional o r scientific relationsh ips. (See also Standard6.26, Professional Reviewers.)5.03 Minimizing Intrusions on Privacy

(a) In order to minimize intrusions on privacy, psy-chologists include in written and oral reports, consultations,and the like, only information germane to the purpose forwhich the communication is made.(b) Psychologists discuss confidential informationobtained in clinical or consulting relationships, or evaluativedata concerning patients, individual or organizational cli-ents, students, research participants, supervisees, and em-ployees, only for appropriate scientific or professional pur-poses and only with persons clearly concerned with suchmatters.5.04 Maintenance of Records

Psychologists m aintain appropriate confidentiality increating, storing, accessing, transferring, and disposing ofrecords under their control, whether these are written, auto-mated, or in any other medium . Psycho logists maintain anddispose of records in accordance with law and in a mannerthat permits compliance w ith the requirem ents of this EthicsCode.5.05 Disclosures

(a) Psychologists disclose confidential informationwithout the consent of the individual only as mandated bylaw, or where permitted by law for a valid purpose, such as(1) to provide needed professional services to the patient orthe individual or organizational client, (2) to obtain appropri-ate professional consultations, (3) to protect the patient orclient or others from harm, or (4) to obtain payment forservices, in which instance disclosure is limited to the mini-mum that is necessary to achieve the purpose.(b) Psychologists also may disclose confidential in-formation with the appropriate consent of the patient or theindividual or organizational client (or of another legallyauthorized person on behalf of the patient or client), unlessprohibited by law.5.06 Consultations

When consulting with colleagues, (1) psychologistsdo not share confidential information that reasonably couldlead to the identification of a patient, client, research partici-pant, or other person or organization w ith whom they have aconfidential re lationship unless they have obtained the priorconsent of the person or organization or the disclosure cannotbe avoided, and (2) they share information only to the extentnecessary to achieve the purposes of the consultation. (Seealso Standard 5.02, Maintaining Confidentiality.)

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5.07 Confidential Information in Databases(a) If confidential information concerning recipientsof psychological services is to be entered into databases orsystems of record s available to persons whose access has notbeen consented to by the recipient, then psychologists usecoding or other techniques to avoid the inclusion of personalidentifiers.(b) If a research p rotocol app roved by an institutionalreview board or similar body requires the inclusion of per-sonal identifiers, such identifiers are deleted before the

information is made accessible to persons o ther than those ofwhom the subject was advised.(c) If such deletion is not feasible, then before psy-chologists transfer such data to others or review such datacollected by others, they take reasonable steps to determinethat appropriate consent of personally identifiable individualshas been obtained.5.08 Use of Confidential Information forDidactic or Other Purposes

(a) Psycho logists do n ot disclose in their writings,lectures, or other public media, confidential, personallyidentifiable information con cerning their patients, individualor organizational clients, students, research participants, orother recipients of their serv ices that they obtained during thecourse of their work, unless the person or organization hasconsented in writing or unless there is other ethical or legalauthorization for doing so.(b) Ordinarily, in such scientific and professionalpresentations, psychologists disguise confidential informa-tion concerning such perso ns or organizations so that they arenot individually iden tifiable to others and so that discussionsdo not cause harm to subjects wh o might identify themselves.5.09 Preserving Records and Data

A psycholog ist mak es plans in advance so that confi-dentiality of record s and da ta is protected in the event of thepsychologist's death, incapacity, or withdrawal from theposition or practice.5.10 Ow nership of Records and Data

Recognizing that ownership of records and data isgoverned by legal principles, psychologists take reasonableand lawful steps so that records and data remain available tothe extent needed to serve the best interests of patients,individual or organizational clients, research participants, orappropriate others.5.11 W ithholding Records for Nonpayment

Psychologists may not withhold records under theircontrol that are requested and imminently needed for apatient's or client's treatment solely because payment has notbeen received, except as otherwise provided by law.

6. Teaching, Training Supervision,Research, and Publishing6.01 Design of Education andTraining Programs

Psychologists who are responsible for education andtraining programs seek to ensure that the programs arecompetently designed, provide the proper experiences, andmeet the requirements for licensure, certification, or othergoals for which claims are made by the program.6.02 Descriptions of Education andTraining Programs

(a) Psychologists responsible for education and train-ing programs seek to ensure that there is a current andaccurate description of the program content, training goalsand objectives, and requirements that must be met forsatisfactory completion of the program . This informationmust be made readily available to all interested parties.(b) Psychologists seek to ensure that statements con-cerning their course outlines are accurate and not m isleading,particularly regard ing the subject matter to be covered, basesfor evaluating progress, and the nature of course experiences.(See also Standard 3.03, Avoidance of False or DeceptiveStatements.)(c) To the degree to which they exercise control,psychologists responsible for announcements, catalogs, bro-chures, or advertisements describing workshops, seminars,or other non-degree-granting educational programs ensurethat they accurately describe the audience for which theprogram is intended, the educational objec tives, the present-ers, and the fees involved.6.03 Accuracy and Objectivity in Teaching

(a) When engaged in teaching or training, psycholo-gists present psychological information accurately and w itha reasonable degree of objectivity.(b) When engaged in teaching or training, psycholo-gists recognize the power they hold over students orsupervisees and therefore make reasonable efforts to avoidengaging in conduct that is personally demean ing to studentsor supervisees. (See also Standards 1.09, Respecting Othe rs,and 1.12, Other Harassment.)6.04 Limitation on Teaching

Psychologists do not teach the use of techniques orprocedures that require specialized training, licensure, orexpertise, including but not limited to hypno sis, biofeedback,and projective techniques, to individuals who lack the pre-requisite training, legal scope of practice, or expertise.6.05 Assessing Student and Supervisee

Performance(a) In academic and supervisory relationships, psy-chologists establish an appropriate process for providingfeedback to students and supervisees.December 1992 American Psychologist Standard 5.07-Standard 6.05 1607


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(b) Psychologists evaluate students and superviseeson the basis of their actual performance on relevant andestablished program requirements.6.06 Planning Research

(a) Psychologists design, conduc t, and report researchin accord ance with recogn ized standards of scientific compe-tence and ethical research.(b) Psy chologists plan their research so as to minimizethe possibility that results will be misleading.(c) In planning research, psychologists consider itsethical acceptability under the Ethics Code. If an ethical issueis unclear, psychologists seek to resolve the issue throughconsultation with institutional review boards, animal careand use committees, peer consultations, or other propermechanisms.(d) Psychologists take reasonable steps to implementappropriate protections for the rights and welfare of humanparticipa nts, other persons affected by the research, and thewelfare of animal subjects.

6.07 Responsibility(a) Psychologists conduct research competently andwith due concern for the dignity and welfare of the partici-

pants. (b) Psychologists are responsible for the ethical con-duct of research conducted by them or by others under theirsupervision or control.(c) Researchers and assistants are permitted to per-form only those tasks for which they are appropriately trainedand prepared.(d) As part of the process of development and imple-mentation of research projects, psychologists consult thosewith expertise concerning any special population under in-vestigation or most likely to be affected.6.08 Com pliance With Law and Standards

Psychologists plan and conduct research in a mannerconsistent w ith federal and state law and regulations, as wellas professional standa rds governing the conduct of research,and particularly those standards governing research withhuman participants and animal subjects.6.09 Institutional Approval

Psychologists obtain from host institutions or orga-nizations appropriate approval prior to conducting research,and they provide accurate information about their researchproposals. They conduct the research in accordance w ith theapproved research protocol.6.10 Research Responsibilities

Prior to conducting research (except research involv-ing only anonymous surveys, naturalistic observations, orsimilar research), psychologists enter into an agreement withparticipants that clarifies the nature of the research and theresponsibilities of each party.

6.11 Informed Consent to Research(a) Psychologists use language that is reasonably un-derstandable to research participants in obtaining their ap-propriate informed consent (except as provided in Standard6.12, Dispensing With Informed C onsent). Such informedconsent is appropriately documented.(b) Using language that is reasonably understandableto participants, psychologists inform participants of the na-ture of the research; they inform participants that they are freeto participate or to decline to participate or to withdraw from

the research; they explain the foreseeable consequences ofdeclining or withdrawing; they inform participants of signifi-cant factors that may be expected to influence their will-ingness to participate (such as risks, discomfort, adverseeffects, or limitations on confidentiality, e xcept as providedin Standard 6.15, Deception in Research); and they explainother aspects about which the prospective participants in-quire. (c) When psychologists conduct research with indi-viduals such as students or subordina tes, psychologists takespecial care to protect the prospective participants fromadverse consequences of declining or withdrawing fromparticipation.(d) When research participation is a course require-ment or opportunity for extra cred it, the prospective pa rtici-pant is given the choice of equitable alternative activities.(e) For persons who are legally incapable of givinginformed con sent, psychologists neverthe less (1) provide anappropriate explanation, (2) obtain the participant's assent,and (3) obtain appropriate permission from a legally autho-rized person, if such substitute consent is permitted by law.6.12 Dispensing With Informed Consent

Before determining that planned research (such asresearch involving only anonymous questionnaires, natural-istic o bservations, or certain kinds of archival research) doesnot require the informed consent of research participants,psychologists consider applicable regulations and institu-tional review board requirements, and they consult withcolleagues as appropriate.6.13 Informed C onsent in Research Filmingor Recording

Psychologists obtain informed con sent from researchparticipants prior to filming or recording them in any form,unless the research involves simply naturalistic observationsin public places and it is not anticipated that the recordingwillbe used in a manner that could cause personal identificationor harm.6.14 Offering Inducements for

Research Participants(a) In offering professional services as an inducementto obtain research participants, psychologists m ake clear thenature of the services, as well as the risks, obligations, and1608 Standard 6.06-Standard 6.14 December 1992 American Psychologist


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limitations. (See also Standard 1.18, Barter [With Patients orClients].)(b) Psycho logists do not offer exce ssive or inappropri-ate financial or other inducem ents to obtain research partici-pants, particularly when it might tend to coerce participation.6.15 Deception in Research

(a) Psychologists do not conduct a study involvingdeception unless they have determ ined that the use of decep -tive techniques is justified by the study's prospective scien-tific, educational, or app lied value and that equally effectivealternative procedures that do not use deception are notfeasible.(b) Psychologists never deceive research participantsabout significant aspects that would affect their willingnessto participate , such as physical risks, discomfort, or unplea s-ant emotional experiences.(c) Any other deception that is an integral feature ofthe design and conduct of an experiment must be explainedto participants as early as is feasible, preferably at theconclusion of their participation, but no later than at theconclusion of the research. (See also Standard 6.18, Provid-ing Participants With Information About the Study.)6.16 Sharing and Utilizing Data

Psychologists inform research participants of theiranticipated sharing or further use of personally identifiableresearch data and of the possibility of unanticipated futureuses.6.17 Minimizing Invasiveness

In conducting research, psychologists interfere withthe participants or m ilieu from which data are collected onlyin a manner that is warranted by an appropriate researchdesign and that is consistent with psychologists' roles asscientific investigators.6.18 Providing Participants With

Information About the Study(a) Psychologists provide a prompt opportunity forparticipants to obtain appropriate information about thenature, results, and conclusions of the research, and psy-chologists attempt to correct any misconce ptions that partic-ipants may have.(b) If scientific or humane values justify delaying orwithholding this information, psychologists take reasonablemeasures to reduce the risk of harm.6.19 Honoring Commitments

Psychologists take reasonable measures to honor allcommitments they have made to research participants.6.20 Care and Use of Anim als in Research

(a) Psychologists whoconduct research involving ani-mals treat them humanely.

(b) Psychologists acquire, care for, use, and dispose ofanimals in compliance with current federal, state, and locallaws and regulations, and with professional standards.(c) Psychologists trained in research m ethods andexperienced in the care of laboratory animals supervise allprocedures involving animals and are responsible for ensur-ing appropriate consideration of their comfort, health, andhumane treatment.(d) Psychologists e nsure that all individuals usinganimals under their supervision have rece ived instruction inresearch methods and in the care, maintenance, and handlingof the species being used, to the extent appropriate to theirrole. (e) Responsibilities and activities of individuals as-sisting in a research project are consistent with their re-spective competencies.(f) Psycho logists make reason able efforts to minimizethediscomfort, infection, illness, and pain of animal su bjects.(g) A procedure subjecting anim als to pain, stress, orprivation is used only when an alternative procedure isunavailable and the goal is justified by its prospective sc ien-tific, educational, or applied value.(h) Surgical procedures are performed under appro-priate anesthesia; techniques to avoid infection and m inimizepain are followed during and after surgery.

(i) When it is appropriate that the anim al's life beterminated, it is done rapidly, with an effort to minimize pain,and in accordance with accepted procedures.6.21 Reporting of Results

(a) Psychologists do not fabricate data or falsify re-sults in their publications.(b) If psychologists disco ver significant errors in theirpublished data, they take reasonable steps to correct sucherrors in a correction, retraction, erratum , or other appropri-ate publication means.6.22 Plagiarism

Psychologists do not present substantial portions orelements of another's work or data as their own, even if theother work or data source is cited occasionally.6.23 Publication Credit

(a) Psychologists take responsibility and credit, in-cluding authorship credit, only for work they have actuallyperformed or to which they have contributed.(b) Principal authorship and other publication creditsaccurately reflect the relative scientific or professional con-tributions of the individuals involved, regardless of theirrelative status. Mere possession of an institutional position,such as Department Chair, does not justify authorship credit.Minor contributions to the research or to the writing forpublications are appropriately acknowledged, such as infootnotes or in an introductory statement.(c) A student is usually listed as principal author onany multiple-authored article that is substantially based onthe student's dissertation or thesis.

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6.24 Duplicate Publication of DataPsycho logists do not publish, as original data, data thathave been previously published. This does not precluderepublishing data when they are accompanied by properacknowledgment.

6.25 Sharing DataAfter research results are published, psychologists donot withhold the data on which their conclusions are basedfrom other competent professionals who seek to verify thesubstantive claims through reanalysis and who intend to usesuch data only for that purpose, provided that the confiden-tiality of the participants can be protected and unless legalrights concerning proprietary data preclude their release.

6.26 Professional ReviewersPsychologists who review material submitted forpub-lication, grant, or o ther research proposal review respect theconfidentiality of and the proprietary righ ts in such informa-tion of those who submitted it.

7. Forensic Activities7.01 Professionalism

Psychologists who perform forensic functions, suchas assessments, interviews, consultations, reports, or experttestimony, must comply with all other provisions of thisEthics Code to the extent that they apply to such activities. Inaddition, psychologists base their forensic work on appropri-ate knowledge of and competence in the areas underlyingsuch work, including specialized knowledge concerningspecial populations. (See also Standards 1.06, Basis forScientific and Professional Judgm ents; 1.08, Human Differ-ences; 1.15, Misuse of Psychologists' Influence; and 1.23,Documentation of Professional and Scientific Work.)7.02 Forensic Assessments

(a) Psychologists' forensic assessments, recommen-dation s, and reports are based on information and technique s(including personal interviews of the individual, when ap-propriate ) sufficient to provide appro priate substantiation fortheir findings. (See also Standards 1.03, Professional andScientific Relationship; 1.23, Documentation of Profession-al and Scientific Work; 2.01, Evaluation, Diagnosis, andInterventions in Professional Context; and 2.05, InterpretingAssessment Results.)(b) Except as noted in (c), below, psychologists pro-vide written or oral forensic reports or testimony of thepsychologica l chara cteristics of an individual only after theyhave conducted an exam ination of the individual adequate tosupport their statements or conclusions.(c) Wh en, despite reasonable efforts, such an exami-nation is not feasible, psycho logists clarify the impact of theirlimited information on the reliability and validity of theirreports and testimony, and they appropriately limit the natureand extent of their conclusions or recommendations.

7.03 Clarification of RoleIn most circumstances, psychologists avoid perform-ing multiple and potentially conflicting roles in forensicmatters. When psychologists may be called on to serve inmore than one role in a legal proceedingfor example, asconsultant or expe rt for one party or for the court and as a factwitnessthey clarify role expectations and the extent ofconfidentiality in advance to the exten t feasible, and thereaf-ter as changes occur, in order to avoid compromising theirprofessional judgment and objectivity and in order to avoid

misleading others regarding their role.7.04 Truthfulness and Candor

(a) In forensic testimony and reports, psychologiststestify truthfully, hone stly, and candidly and, consistent w ithapplicable legal proced ures, describe fairly the bases for theirtestimony and conclusions.(b) Wh enever necessary to avoid misleading, psy-chologists acknowledge the limits of their data or conclu-sions.7.05 Prior Relationships

A prior professional relationship with a party does notpreclude psychologists from testifying as fact witnesses orfrom testifying to their services to the extent permitted byapplicable law. Psychologists appropriately take into ac-count ways in which the prior relationship m ight affect theirprofessional objectivity or opinions and disclose the poten-tial conflict to the relevant pa rties.7.06 Compliance With Law and Rules

In performing forensic roles, psychologists are rea-sonably familiar with the rules governing their roles. Psycho lo-gists are aware of the occasionally competing demandsplaced upon them by these principles and the requirements ofthe court system, and attempt to resolve these conflicts bymaking known their commitment to this Ethics Code andtaking steps to resolve the conflict in a responsible ma nner.(See also Standard 1.02, Relationship of Ethics and Law.)8. Resolving Ethical Issues8.01 Familiarity With Ethics Code

Psychologists have an obligation to be familiar withthis Ethics Code, other applicable ethics codes, and theirapplication to psych ologists' work. Lack of awareness ormisunderstanding of an ethical standard is not itself a defenseto a charge of unethical conduct.8.02 Confronting Ethical Issues

When a psychologist is uncertain whether a particularsituation or course of action w ould violate this Ethics Code,thepsychologist ordinarily consults with other psychologistsknowledgeable about ethical issues, with state or national



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psychology ethics committees, or with other appropriateauthorities in order to choose a proper response.8.03 Conflicts Between Ethics andOrganizational Demands

If the demands of an organization with which psy-chologists are affiliated conflict with this Ethics Code,psychologists clarify the nature of the conflict, make knowntheir commitment to the Ethics Code, and to the extentfeasible, seek to resolve the conflict in a way that permits thefullest adherence to the Ethics Code.8.04 Informal Resolution ofEthical Violations

When p sychologists be lieve that there may have beenan ethical violation by another psy chologist, they attempt toresolve the issue by bringing it to the attention of thatindividual if an informal resolution appears appropriate andthe intervention does not violate any confidentiality rightsthat may be involved.

8.05 Reporting Ethical ViolationsIf an apparent ethical violation is not appropriate forinformal resolution under Standard 8.04 or is not resolvedproperly in that fashion, psychologists take further actionappropriate to the situation, unless such action conflicts w ithconfidentiality righ ts in ways that cannot be resolved. Suchaction might include referral to state or national com mitteeson professional ethics or to state licensing boa rds.

8.06 Cooperating With Ethics Com mitteesPsychologists cooperate in ethics investigations, pro-ceedings, and resulting requirements of the APA or anyaffiliated state psychological association to which they be-long. In doing so, they make reasonab le efforts to resolve anyissues as to confidentiality. Failure to cooperate is itself anethics violation.

8.07 Improper ComplaintsPsychologists do not file or encourage the filing ofethics complaints that are frivolous and are intended to harmthe respondent rather than to protect the public.

December 1992 American Psychologist Standard 8.03-Stan dard 8.07 1611

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