Chapter 8 of 816% of exam

Ethical, Legal, and Professional Issues

This domain centers on the APA Ethics Code (adopted 2002, amended in 2010 and 2016), professional standards, relevant law, and ethics in research, supervision and technology. Items name a situation and ask what a standard requires; knowing the standard's exact wording settles most of them.

Structure of the Code and resolving concerns

The APA Code has an Introduction, a Preamble, five aspirational General Principles and ten sections of enforceable Ethical Standards. Knowing which parts are enforceable matters for several items. Questions about a colleague's conduct turn on the sequence the Code sets out and on confidentiality.

Principles vs Standards
General Principles A to E are aspirational and not a basis for sanctions; the Ethical Standards are enforceable.
APA Ethics Code, General Principles
Informal resolution first
When appropriate and confidentiality allows, raise a possible violation with the colleague (1.04); formal reporting is for substantial harm or failed informal resolution (1.05).
APA Standards 1.04, 1.05
Confidentiality limits reporting
The 1.05 reporting duty does not apply when intervening would violate confidentiality rights.
APA Standard 1.05

Relationships and boundaries

Boundary standards cover multiple relationships, sexual relationships and nonmonetary payment. Some are absolute prohibitions with time limits, while others depend on whether harm or impaired objectivity is reasonably expected. Items test exactly where each line is drawn.

Multiple relationships
Not unethical unless they could reasonably be expected to impair objectivity or effectiveness or risk exploitation or harm.
APA Standard 3.05
Former clients
A two-year minimum after therapy ends; after that, still barred except in very rare cases, and the psychologist must show there was no exploitation.
APA Standard 10.08
Students and supervisees
No sexual relationships with students or supervisees in one's department or over whom one has or may have evaluative authority.
APA Standard 7.07
Barter
Permitted only if not clinically contraindicated and not exploitative.
APA Standard 6.05

Consent, confidentiality and records

Informed consent and confidentiality standards set what clients must be told and what may be disclosed without consent. Records standards govern retention, access and release. Federal HIPAA rules add a separate category for psychotherapy notes.

Assent and permission
For persons legally unable to consent, explain, seek assent, consider best interests and obtain permission from a legally authorized person.
APA Standard 3.10(b)
Trainees
Clients of a trainee are told the therapist is supervised and given the supervisor's name.
APA Standard 10.01(c)
Consultation
Share only what is needed, without identifying information unless the client consents or it cannot be avoided.
APA Standard 4.06
Records and nonpayment
Records needed for emergency treatment may not be withheld because of unpaid fees.
APA Standard 6.03
Psychotherapy notes under HIPAA
Notes analyzing session conversation kept separate from the record; most uses and disclosures need a specific authorization.
45 CFR 164.501, 164.508(a)(2)

Assessment, research and public statements

Assessment standards separate the client's test data from the test materials that must stay secure. Research standards govern consent, deception and fairness to student participants, and publication standards govern credit. Advertising standards limit how psychologists promote their services.

Test data vs test materials
With a client release, test data are provided unless substantial harm or misuse is likely; manuals and items are test materials kept secure.
APA Standards 9.04, 9.11
Deception and debriefing
Disclose built-in deception promptly, by the close of data collection at the latest, and let participants remove their data.
APA Standard 8.07(c)
Research consent
Consent may be waived for no-risk anonymous questionnaires and similar cases; course-required participation needs equitable alternatives.
APA Standards 8.04(b), 8.05
Publication credit
A student is principal author on an article substantially based on the student's dissertation, except in exceptional circumstances.
APA Standard 8.12(c)
Testimonials
Do not solicit testimonials from current therapy clients.
APA Standard 5.05

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