Note: Only the APA Ethics Committee can issue
authoritative interpretations of the APA Ethics Code. The discussion
herein by the authors of the Publication Manual should not be understood
or relied upon as an official interpretation of the Ethics Code.
Also on page 364, replace the reference to APA (1992b) with the
following:
Starting on page 387, Appendix C should be wholly replaced with
the following:
The following ethical standards are reprinted from the "Ethical
Principles of Psychologists and Code of Conduct," which appeared
in the December 2002 issue of the American Psychologist (Vol. 57,
pp. 1060—1073). Standards 4.01—4.07 deal with privacy
and confidentiality and Standards 8.01—8.15 address research
and publication. For the complete list of the standards, you may
view the entire 2002 code online at http:www.apa.org/ethics/code2002.html
4.01 Maintaining Confidentiality
Psychologists have a primary obligation and take reasonable precautions
to protect confidential information obtained through or stored in
any medium, recognizing that the extent and limits of confidentiality
may be regulated by law or established by institutional rules or
professional or scientific relationship. (See also Standard 2.05,
Delegation of Work to Others.)
4.02 Discussing the Limits of Confidentiality
(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 scientific or professional relationship (1) the relevant
limits of confidentiality 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 confidentiality occurs at the outset of the relationship and
thereafter as new circumstances may warrant.
(c) Psychologists who offer services, products, or information via
electronic transmission inform clients/patients of the risks to
privacy and limits of confidentiality.
4.03 Recording
Before recording the voices or images of individuals to whom
they provide services, psychologists obtain permission 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 Informed Consent for Research; and 8.07, Deception
in Research.)
4.04 Minimizing Intrusions on Privacy
(a) Psychologists include in written and oral reports and
consultations, only information germane to the purpose for which
the communication is made.
(b) Psychologists discuss confidential information obtained in their
work only for appropriate scientific or professional purposes and
only with persons clearly concerned with such matters.
4.05 Disclosures
(a) Psychologists may disclose confidential information with
the appropriate consent of the organizational client, the individual
client/patient, or another legally authorized person on behalf of
the client/patient unless prohibited by law.
(b) Psychologists disclose confidential information without the
consent of the individual only as mandated by law, or where permitted
by law for a valid purpose such as to (1) provide needed professional
services; (2) obtain appropriate professional consultations; (3)
protect the client/patient, psychologist, or others from harm; or
(4) obtain payment for services from a client/patient, in which
instance disclosure is limited to the minimum that is necessary
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 confidential information that reasonably could lead to
the identification of a client/patient, research participant, or
other person or organization with whom they have a confidential
relationship unless they have obtained the prior consent of the
person or organization or the disclosure cannot be avoided, and
(2) they disclose information only to the extent necessary to achieve
the purposes of the consultation. (See also Standard 4.01, Maintaining
Confidentiality.)
4.07 Use of Confidential Information for
Didactic or Other Purposes
Psychologists do not disclose in their writings, lectures, or other
public media, confidential, personally identifiable information
concerning their clients/patients, students, 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.
6.02 Maintenance, Dissemination, and Disposal of Confidential Records
of Professional and Scientific Work
(a) Psychologists maintain confidentiality in creating, storing,
accessing, transferring, and disposing of records under their control,
whether these are written, automated, or in any other medium. (See
also Standards 4.01, Maintaining Confidentiality, and 6.01, Documentation
of Professional and Scientific Work and Maintenance of Records.)
(b) If confidential information concerning recipients 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 personal identifiers.
(c) Psychologists make plans in advance to facilitate the appropriate
transfer and to protect the confidentiality of records and data
in the event of psychologists' withdrawal from positions or practice.
(See also Standards 3.12, Interruption of Psychological Services,
and 10.09, Interruption of Therapy.)
8.01 Institutional Approval
When institutional approval is required, psychologists provide
accurate information about their research proposals and obtain approval
prior to conducting the research. They 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, expected duration, and procedures;
(2) their right to decline to participate and to withdraw from the
research once participation has begun; (3) the foreseeable consequences
of declining or withdrawing; (4) reasonably foreseeable factors
that may be expected to influence their willingness to participate
such as potential risks, discomfort, or adverse effects; (5) any
prospective research benefits; (6) limits of confidentiality; (7)
incentives for participation; and (8) whom to contact for questions
about the research and research participants' rights. They 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, Dispensing With Informed
Consent for Research; and 8.07, Deception in Research.)
(b) Psychologists conducting intervention research involving the
use of experimental treatments clarify to participants 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) compensation
for or monetary costs of participating including, if appropriate,
whether reimbursement from the participant or a third-party payor
will be sought. (See also Standard 8.02a, Informed Consent to Research.)
8.03 Informed Consent for Recording Voices
and Images in Research
Psychologists obtain informed consent from research 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 identification or
harm, or (2) the research design includes deception, and consent
for the use of the recording is obtained during debriefing. (See
also Standard 8.07, Deception in Research.)
8.04 Client/Patient, Student, and Subordinate
Research Participants
(a) When psychologists conduct research with clients/patients,
students, or subordinates as participants, psychologists take steps
to protect the prospective participants from adverse consequences
of declining or withdrawing from participation.
(b) When research participation is a course requirement or an opportunity
for extra credit, the prospective participant is given the choice
of equitable alternative activities.
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 normal educational practices, curricula,
or classroom management methods conducted in educational settings;
(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
financial standing, employability, or reputation, and confidentiality
is protected; or (c) the study of factors related to job or organization
effectiveness conducted in organizational settings for which there
is no risk to participants' employability, and confidentiality is
protected or (2) where otherwise permitted by law or federal or
institutional regulations.
8.06 Offering Inducements for Research Participation
(a) Psychologists make reasonable efforts to avoid offering
excessive or inappropriate financial or other inducements for research
participation when such inducements are likely to coerce participation.
(b) When offering professional services as an inducement 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 Clients/Patients.)
8.07 Deception in Research
(a) Psychologists do not conduct a study involving deception
unless they have determined that the use of deceptive techniques
is justified by the study's significant prospective scientific,
educational, or applied value and that effective nondeceptive alternative
procedures are not feasible.
(b) Psychologists do not deceive prospective participants about
research that is reasonably expected to cause physical pain or severe
emotional distress.
(c) Psychologists explain any deception that is an integral feature
of the design and conduct of an experiment to participants as early
as is feasible, preferably at the conclusion of their participation,
but no later than at the conclusion of the data collection, and
permit participants to withdraw their data. (See also Standard 8.08,
Debriefing.)
8.08 Debriefing
(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.
(b) If scientific or humane values justify delaying or withholding
this information, psychologists take reasonable measures to reduce
the risk of harm.
(c) When psychologists become aware that research 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 local 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 ensuring appropriate consideration
of their comfort, health, and humane treatment.
(c) Psychologists ensure that all individuals under their supervision
who are using animals have received instruction in research methods
and in the care, maintenance, and handling of the species being
used, to the extent appropriate to their role. (See also Standard
2.05, Delegation of Work to Others.)
(d) Psychologists make reasonable efforts to minimize the discomfort,
infection, illness, and pain of animal subjects.
(e) Psychologists use a procedure subjecting animals to pain, stress,
or privation only when an alternative procedure is unavailable and
the goal is justified by its prospective scientific, educational,
or applied value.
(f) Psychologists perform surgical procedures under appropriate
anesthesia and follow techniques to avoid infection and minimize
pain during and after surgery.
(g) When it is appropriate that an animal's life be terminated,
psychologists proceed rapidly, with an effort to minimize pain and
in accordance with accepted procedures.
8.10 Reporting Research Results
(a) Psychologists do not fabricate data. (See also Standard 5.01a,
Avoidance of False or Deceptive Statements.)
(b) If psychologists discover significant errors in their published
data, they take reasonable steps to correct such errors in a correction,
retraction, erratum, or other appropriate 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, including
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
reflect the relative scientific or professional contributions of
the individuals involved, regardless of their relative 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 for publications are acknowledged appropriately,
such as in footnotes or in an introductory statement.
(c) Except under exceptional circumstances, a student 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 research 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. This does not preclude republishing data when
they are accompanied by proper acknowledgment.
8.14 Sharing Research Data for Verification
(a) After research results are published, psychologists 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 confidentiality of the participants can be protected
and unless legal rights concerning proprietary data preclude their
release. This does not preclude psychologists from requiring that
such individuals or groups be responsible for costs associated with
the provision of such information.
(b) Psychologists who request data from other psychologists to verify
the substantive claims through reanalysis may use shared data only
for the declared purpose. Requesting psychologists obtain prior
written agreement for all other uses of the data.
8.15 Reviewers
Psychologists who review material submitted for presentation,
publication, grant, or research proposal review respect the confidentiality
of and the proprietary rights in such information of those who submitted
it.
*Only the APA Ethics Committee can issue authoritative interpretations
of the APA Ethics Code. The language herein is offered as guidance
from the authors of the Publication Manual but should not be understood
or relied upon as an official interpretation of the Ethics Code.
