Deception in Research

(This code is effective as of January 1, 2010.)

 

PREAMBLE

 

Rehabilitation counselors provide services within the Scope of Practice for Rehabilitation Counseling. They demonstrate beliefs, attitudes, knowledge, and skills, to provide competent counseling services and to work collaboratively with diverse groups of individuals, including clients, as well as with programs, institutions, employers, and service delivery systems and provide both direct (e.g., counseling) and indirect (e.g., case review, feasibility evaluation) services. Regardless of the specific tasks, work settings, or technology used, rehabilitation counselors demonstrate adherence to ethical standards and ensure the standards are vigorously enforced. The Code of Professional Ethics for Rehabilitation Counselors, henceforth referred to as the Code, is designed to provide guidance for the ethical practice of rehabilitation counselors. The primary obligation of rehabilitation counselors is to clients, defined as individuals with or directly affected by a disability, functional limitation(s), or medical condition and who receive services from rehabilitation counselors. In some settings, clients may be referred to by other terms such as, but not limited to, consumers and service recipients. Rehabilitation counseling services may be provided to individuals other than those with disabilities. Rehabilitation counselors do not have clients in a forensic setting. The subjects of the objective and unbiased evaluations are evaluees. In all instances, the primary obligation remains to clients or evaluees and adherence to the Code is required.

 

The basic objectives of the Code are to: (1) promote public welfare by specifying ethical behavior expected of rehabilitation counselors; (2) establish principles that define ethical behavior and best practices of rehabilitation counselors; (3) serve as an ethical guide designed to assist rehabilitation counselors in constructing a professional course of action that best serves those utilizing rehabilitation services; and, (4) serve as the basis for the processing of alleged Code violations by certified rehabilitation counselors.

 

Rehabilitation counselors are committed to facilitating the personal, social, and economic independence of individuals with disabilities. In fulfilling this commitment, rehabilitation counselors recognize diversity and embrace a cultural approach in support of the worth, dignity, potential, and uniqueness of individuals with disabilities within their social and cultural context. They look to professional values as an important way of living out an ethical commitment. The primary values that serve as a foundation for this Code include a commitment to:

 

• Respecting human rights and dignity;
•  Ensuring the integrity of all professional relationships;
•  Acting to alleviate personal distress and suffering;
• Enhancing the quality of professional knowledge and its application to increase professional and personal effectiveness;
• Appreciating the diversity of human experience and culture; and,
• Advocating for the fair and adequate provision of services. These values inform principles.

 

They represent one important way of expressing a general ethical commitment that becomes more precisely defined and action-oriented when expressed as a principle. The fundamental spirit of caring and respect with which the Code is written is based upon six principles of ethical behavior:

 

Autonomy: To respect the rights of clients to be self-governing within their social and cultural framework. Beneficence: To do good to others; to promote the well-being of clients.

Fidelity: To be faithful; to keep promises and honor the trust placed in rehabilitation counselors.

Justice: To be fair in the treatment of all clients; to provide appropriate services to all.

Nonmaleficence: To do no harm to others.

Veracity: To be honest.

 

Although the Code provides guidance for ethical practice, it is impossible to address every possible ethical dilemma that rehabilitation counselors may face. When faced with ethical dilemmas that are difficult to resolve, rehabilitation counselors are expected to engage in a carefully considered ethical decision-making process. Reasonable differences of opinion can and do exist among rehabilitation counselors with respect to the ways in which values, ethical principles, and ethical standards would be applied when they conflict. While there is no specific ethical decision-making model that is most effective, rehabilitation counselors are expected to be familiar with and apply a credible model of decision-making that can bear public scrutiny. Rehabilitation counselors are aware that seeking consultation and/or supervision is an important part of ethical decision-making.

 

The Enforceable Standards within the Code are the exacting standards intended to provide guidance in specific circumstances and serve as the basis for processing complaints initiated against certified rehabilitation counselors.

 

Each Enforceable Standard is not meant to be interpreted in isolation. Instead, it is important for rehabilitation counselors to interpret standards in conjunction with other related standards in various sections of the Code. A brief glossary is located after Section L to provide readers with a concise description of some of the terms used in the Code.

 

ENFORCEABLE STANDARDS OF ETHICAL PRACTICE

 

SECTION A: THE COUNSELING RELATIONSHIP

 

A.1. WELFARE OF THOSE SERVED BY REHABILITATION COUNSELORS

 

a. PRIMARY RESPONSIBILITY. The primary responsibility of rehabilitation counselors is to respect the dignity and to promote the welfare of clients. Clients are defined as individuals with, or directly affected by a disability, functional limitation(s), or medical condition and who receive services from rehabilitation counselors. At times, rehabilitation counseling services may be provided to individuals other than those with a disability. In all instances, the primary obligation of rehabilitation counselors is to promote the welfare of their clients.

 

b. REHABILITATION AND COUNSELING PLANS. Rehabilitation counselors and clients work jointly in devising and revising integrated, individual, and mutually agreed upon rehabilitation and counseling plans that offer a reasonable promise of success and are consistent with the abilities and circumstances of clients. Rehabilitation counselors and clients regularly review rehabilitation and counseling plans to assess continued viability and effectiveness.

 

c. EMPLOYMENT NEEDS. Rehabilitation counselors work with clients to consider employment consistent with the overall abilities, functional capabilities and limitations, general temperament, interest and aptitude patterns, social skills, education, general qualifications, transferable skills, and other relevant characteristics and needs of clients. Rehabilitation counselors assist in the placement of clients in available positions that are consistent with the interest, culture, and the welfare of clients and/or employers.

 

d. AUTONOMY. Rehabilitation counselors respect the rights of clients to make decisions on their own behalf. On decisions that may limit or diminish the autonomy of clients, decision-making on behalf of clients is taken only after careful deliberation. Rehabilitation counselors advocate for the resumption of responsibility by clients as quickly as possible.

 

A.2. RESPECTING DIVERSITY

 

a. RESPECTING CULTURE. Rehabilitation counselors demonstrate respect for the cultural background of clients in developing and implementing rehabilitation and treatment plans, and providing and adapting interventions.

 

b. NONDISCRIMINATION. Rehabilitation counselors do not condone or engage in discrimination based on age, color, race, national origin, culture, disability, ethnicity, gender, gender identity, religion/spirituality, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis proscribed by law.

 

A.3. CLIENT RIGHTS IN THE COUNSELING RELATIONSHIP

 

a. PROFESSIONAL DISCLOSURE STATEMENT. Rehabilitation counselors have an obligation to review with clients orally, in writing, and in a manner that best accommodates any of their limitation, the rights and responsibilities of both rehabilitation counselors and clients. Disclosure at the outset of the counseling relationship should minimally include: (1) the qualifications, credentials, and relevant experience of the rehabilitation counselor; (2) purposes, goals, techniques, limitations, and the nature of potential risks, and benefits of services; (3) frequency and length of services; (4) confidentiality and limitations regarding confidentiality (including how a supervisor and/or treatment team professional is involved); (5) contingencies for continuation of services upon the incapacitation or death of the rehabilitation counselor; (6) fees and billing arrangements; (7) record preservation and release policies; (8) risks associated with electronic communication; and, (9) legal issues affecting services. Rehabilitation counselors recognize that disclosure of these issues may need to be reiterated or expanded upon throughout the counseling relationship, and/or disclosure related to other matters may be required depending on the nature of services provided and matters that arise during the rehabilitation counseling relationship.

 

b. INFORMED CONSENT. Rehabilitation counselors recognize that clients have the freedom to choose whether to enter into or remain in a rehabilitation counseling relationship. Rehabilitation counselors respect the rights of clients to participate in ongoing rehabilitation counseling planning and to make decisions to refuse any services or modality changes, while also ensuring that clients are advised of the consequences of such refusal. Rehabilitation counselors recognize that clients need information to make an informed decision regarding services and that professional disclosure is required for informed consent to be an ongoing part of the rehabilitation counseling process. Rehabilitation counselors appropriately document discussions of disclosure and informed consent throughout the rehabilitation counseling relationship.

 

c. DEVELOPMENTAL AND CULTURAL SENSITIVITY. Rehabilitation counselors communicate information in ways that are both developmentally and culturally appropriate. Rehabilitation counselors provide services (e.g., arranging for a qualified interpreter or translator) when necessary to ensure comprehension by clients. In collaboration with clients, rehabilitation counselors consider cultural implications of informed consent procedures and, when possible, rehabilitation counselors adjust their practices accordingly.

 

d. INABILITY TO GIVE CONSENT. When counseling minors or persons unable to give voluntary consent, rehabilitation counselors seek the assent of clients and include clients in decision-making as appropriate. Rehabilitation counselors recognize the need to balance the ethical rights of clients to make choices, the mental or legal capacity of clients to give consent or assent, and parental, guardian, or familial legal rights and responsibilities to protect clients and make decisions on behalf of clients.

 

e. SUPPORT NETWORK INVOLVEMENT. Rehabilitation counselors recognize that support by others may be important to clients. Rehabilitation counselors consider enlisting the support, understanding, and involvement of others (e.g., religious/spiritual/community leaders, family members, friends, and guardians) as resources, when appropriate, with consent from clients.

 

A.4. AVOIDING HARM AND AVOIDING VALUE IMPOSITION

 

a. AVOIDING HARM. Rehabilitation counselors act to avoid harming clients, trainees, supervisees, and research participants and to minimize or to remedy unavoidable or unanticipated harm.

 

b. PERSONAL VALUES. Rehabilitation counselors are aware of their values, attitudes, beliefs, and behaviors and avoid imposing values that are inconsistent with rehabilitation counseling goals.

 

A.5. ROLES AND RELATIONSHIPS WITH CLIENTS

 

a. PROHIBITION OF SEXUAL OR ROMANTIC RELATIONSHIPS WITH CURRENT CLIENTS. Sexual or romantic rehabilitation counselor–client interactions or relationships with current clients, their romantic partners, or their immediate family members are prohibited.

 

b. SEXUAL OR ROMANTIC RELATIONSHIPS WITH FORMER CLIENTS. Sexual or romantic rehabilitation counselor–client interactions or relationships with former clients, their romantic partners, or their immediate family members are prohibited for a period of five years following the last professional contact. Even after five years, rehabilitation counselors give careful consideration to the potential for sexual or romantic relationships to cause harm to former clients. In cases of potential exploitation and/or harm, rehabilitation counselors avoid entering such interactions or relationships.

 

c. PROHIBITION OF SEXUAL OR ROMANTIC RELATIONSHIPS WITH CERTAIN FORMER CLIENTS. If clients have a history of physical, emotional, or sexual abuse or if clients have ever been diagnosed with any form of psychosis or personality disorder, mental retardation, marked cognitive impairment, or if clients are likely to remain in need of therapy due to the intensity or chronicity of a problem, rehabilitation counselors do not engage in sexual activities or sexual contact with former clients, regardless of the length of time elapsed since termination of the client relationship.

 

d. NONPROFESSIONAL INTERACTIONS OR RELATIONSHIPS OTHER THAN SEXUAL OR ROMANTIC INTERACTIONS OR RELATIONSHIPS. Rehabilitation counselors avoid nonprofessional relationships with clients, former clients, their romantic partners, or their immediate family members, except when such interactions are potentially beneficial to clients or former clients. In cases where nonprofessional interactions may be potentially beneficial to clients or former clients, rehabilitation counselors must document in case records, prior to interactions (when feasible), the rationale for such interactions, the potential benefits, and anticipated consequences for the clients or former clients and other involved parties. Such interactions are initiated with appropriate consent from clients and are time-limited (e.g., extended free-standing friendships are prohibited) or context specific (e.g., constrained to an organizational or community setting). Where unintentional harm occurs to clients or former clients, or to other involved parties, due to nonprofessional interactions, rehabilitation counselors must show evidence of an attempt to remedy such harm. Examples of potentially beneficial interactions include, but are not limited to, attending a formal ceremony (e.g., a wedding/commitment ceremony or graduation); purchasing a service or product provided by clients or former clients (excepting unrestricted bartering); hospital visits to ill family members; or mutual membership in professional associations, organizations, or communities.

 

e. COUNSELING RELATIONSHIPS WITH FORMER ROMANTIC PARTNERS PROHIBITED. Rehabilitation counselors do not provide counseling services to individuals with whom they have had a prior sexual or romantic relationship.

 

f. ROLE CHANGES IN THE PROFESSIONAL RELATIONSHIP. When rehabilitation counselors change roles from the original or most recent contracted relationship, they obtain informed consent from clients or evaluees and explain the right to refuse services related to the change. Examples of role changes include: (1) changing from individual to group, relationship or family counseling, or vice versa; (2) changing from a forensic to a primary care role, or vice versa; (3) changing from a nonforensic evaluative role to a rehabilitation or therapeutic role, or vice versa; (4) changing from a rehabilitation counselor to a researcher role (e.g., enlisting clients as research participants), or vice versa; and, (5) changing from a rehabilitation counselor to a mediator role, or vice versa. The clients or evaluees must be fully informed of any anticipated consequences (e.g., financial, legal, personal, or therapeutic) due to a role change by the rehabilitation counselor.

 

g. RECEIVING GIFTS. Rehabilitation counselors understand the challenges of accepting gifts from clients and recognize that in some cultures, small gifts are a token of respect and gratitude. When determining whether to accept gifts from clients, rehabilitation counselors take into account the cultural or community practice, therapeutic relationship, the monetary value of gifts, the motivation of the client for giving gifts, and the motivation of the rehabilitation counselor for accepting or declining gifts.

 

A.6. MULTIPLE CLIENTS When rehabilitation counselors agree to provide counseling services to two or more persons who have a relationship (e.g., husband/wife; parent/child), rehabilitation counselors clarify at the outset which person is, or which persons are, to be served and the nature of the relationship rehabilitation counselors have with each involved person. If it becomes apparent that rehabilitation counselors may be called upon to perform potentially conflicting roles, rehabilitation counselors clarify, adjust, or withdraw from roles appropriately.

 

A.7. GROUP WORK

 

a. SCREENING. Rehabilitation counselors screen prospective group counseling/therapy participants. To the extent possible, rehabilitation counselors select members whose needs and goals are compatible with goals of the group, who do not impede the group process, and whose well-being is not jeopardized by the group experience.

 

b. PROTECTING CLIENTS. In a group setting, rehabilitation counselors take reasonable precautions to protect clients from harm or trauma.

 

A.8. TERMINATION AND REFERRAL

 

a. ABANDONMENT PROHIBITED. Rehabilitation counselors do not abandon or neglect clients in counseling. Rehabilitation counselors assist in making appropriate arrangements for the continuation of services when necessary (e.g., during interruptions such as vacations, illness, and following termination).

 

b. INITIAL DETERMINATION OF INABILITY TO ASSIST CLIENTS. If rehabilitation counselors determine they are unable to be of professional assistance to clients, rehabilitation counselors avoid entering such counseling relationships.

 

c. APPROPRIATE TERMINATION AND REFERRAL. Rehabilitation counselors terminate counseling relationships when it becomes reasonably apparent that clients no longer need assistance, are not likely to benefit, or are being harmed by continued counseling. Rehabilitation counselors may terminate counseling when in jeopardy of harm by clients or other persons with whom clients have a relationship, or when clients do not pay agreed-upon fees. Rehabilitation counselors provide pretermination counseling and recommend other clinically and culturally appropriate service sources when necessary.

 

d. APPROPRIATE TRANSFER OF SERVICES. When rehabilitation counselors transfer or refer clients to other practitioners, they ensure that appropriate counseling and administrative processes are completed in a timely manner and that open communication is maintained with both clients and practitioners. Rehabilitation counselors prepare and disseminate, to identified colleagues or records custodian, a plan for the transfer of clients and files in the case of their incapacitation, death, or termination of practice.

 

A.9. END-OF-LIFE CARE FOR TERMINALLY ILL CLIENTS

 

a. QUALITY OF CARE. Rehabilitation counselors take measures that enable clients to: (1) obtain high quality end-of-life care for their physical, emotional, social, and spiritual needs; (2) exercise the highest degree of self-determination possible; (3) be given every opportunity possible to engage in informed decision-making regarding their end-of-life care; and, (4) receive complete and adequate assessment regarding their ability to make competent, rational decisions on their own behalf from mental health professionals who are experienced in end-of-life care practice.

 

b. REHABILITATION COUNSELOR COMPETENCE, CHOICE, AND REFERRAL. Rehabilitation counselors may choose to work or not work with terminally ill clients who wish to explore their end-of-life options. Rehabilitation counselors provide appropriate referral information if they are not competent to address such concerns.

 

c. CONFIDENTIALITY. Rehabilitation counselors who provide services to terminally ill individuals who are considering hastening their own deaths have the option of breaking or not breaking confidentiality on this matter, depending on applicable laws and the specific circumstances of the situation and after seeking consultation or supervision from appropriate professional and legal parties.

 

SECTION B: CONFIDENTIALITY, PRIVILEGED COMMUNICATION, AND PRIVACY

 

B.1. RESPECTING CLIENT RIGHTS

 

a. CULTURAL DIVERSITY CONSIDERATIONS. Rehabilitation counselors maintain beliefs, attitudes, knowledge, and skills regarding cultural meanings of confidentiality and privacy. Rehabilitation counselors hold ongoing discussions with clients as to how, when, and with whom information is to be shared.

 

b. RESPECT FOR PRIVACY. Rehabilitation counselors respect privacy rights of clients. Rehabilitation counselors solicit private information from clients only when it is beneficial to the counseling process.

 

c. RESPECT FOR CONFIDENTIALITY. Rehabilitation counselors do not share confidential information without consent from clients or without sound legal or ethical justification.

 

d. EXPLANATION OF LIMITATIONS. At initiation and throughout the counseling process, rehabilitation counselors inform clients of the limitations of confidentiality and seek to identify foreseeable situations in which confidentiality must be breached.

 

B.2. EXCEPTIONS

 

a. DANGER AND LEGAL REQUIREMENTS. The general requirement that rehabilitation counselors keep information confidential does not apply when disclosure is required to protect clients or identified others from serious and foreseeable harm, or when legal requirements demand that confidential information must be revealed. Rehabilitation counselors consult with other professionals when in doubt as to the validity of an exception.

 

b. CONTAGIOUS, LIFE-THREATENING DISEASES. When clients disclose that they have a disease commonly known to be both communicable and life threatening, rehabilitation counselors may be justified in disclosing information to identifiable third parties, if they are known to be at demonstrable and high risk of contracting the disease. Prior to making a disclosure, rehabilitation counselors confirm that there is such a diagnosis and assess the intent of clients to inform the third parties about their disease or to engage in any behaviors that may be harmful to identifiable third parties.

 

c. COURT-ORDERED DISCLOSURE. When subpoenaed to release confidential or privileged information without permission from clients, rehabilitation counselors obtain written, informed consent from clients or take steps to prohibit the disclosure or have it limited as narrowly as possible due to potential harm to clients or the counseling relationship. Whenever reasonable, rehabilitation counselors obtain a court directive to clarify the nature and extent of the response to a subpoena.

 

d. MINIMAL DISCLOSURE. When circumstances require the disclosure of confidential information, only essential information is revealed.

 

B.3. INFORMATION SHARED WITH OTHERS

 

a. WORK ENVIRONMENT. Rehabilitation counselors make every effort to ensure that privacy and confidentiality of clients is maintained by employees, supervisees, students, clerical assistants, and volunteers.

 

b. PROFESSIONAL COLLABORATION. If rehabilitation of clients involves the sharing of their information among team members, clients are advised of this fact and are informed of the team’s existence and composition. Rehabilitation counselors carefully consider implications for clients in extending confidential information if participating in their service teams.

 

c. CLIENTS SERVED BY OTHERS. When rehabilitation counselors learn that clients have an ongoing professional relationship with another rehabilitation counselor or treating professional, they request release from clients to inform the other professionals and strive to establish a positive and collaborative professional relationship. File review, second-opinion services, and other indirect services are not considered an ongoing professional relationship.

 

d. CLIENT ASSISTANTS. When clients are accompanied by an individual providing assistance to clients (e.g., interpreter, personal care assistant), rehabilitation counselors ensure that the assistant is apprised of the need to maintain and document confidentiality. At all times, clients retain the right to decide who can be present as client assistants.

 

e. CONFIDENTIAL SETTINGS. Rehabilitation counselors discuss confidential information only in offices or settings in which they can reasonably ensure the privacy of clients.

 

f. THIRD-PARTY PAYERS. Rehabilitation counselors disclose information to third-party payers only when clients have authorized such disclosure, unless otherwise required by law or statute.

 

g. DECEASED CLIENTS. Rehabilitation counselors protect the confidentiality of deceased clients, consistent with legal requirements and agency policies.

 

B.4. GROUPS AND FAMILIES

 

a. GROUP WORK. In group work, rehabilitation counselors clearly explain the importance and parameters of confidentiality for the specific group being entered.

 

b. COUPLES AND FAMILY COUNSELING. In couples and family counseling, rehabilitation counselors clearly define who the clients are and discuss expectations and limitations of confidentiality. Rehabilitation counselors seek agreement and document in writing such agreement among all involved parties having capacity to give consent concerning each individual’s right to confidentiality. Rehabilitation counselors clearly define whether they share or do not share information with family members that is privately, individually communicated to rehabilitation counselors.

 

B.5. RESPONSIBILITY TO MINORS OR CLIENTS LACKING CAPACITY TO CONSENT

 

a. RESPONSIBILITY TO CLIENTS. When counseling minor clients or adult clients who lack the capacity to give voluntary, informed consent, rehabilitation counselors protect the confidentiality of information received in the counseling relationship as specified by national or local laws, written policies, and applicable ethical standards.

 

b. RESPONSIBILITY TO PARENTS AND LEGAL GUARDIANS. Rehabilitation counselors inform parents and legal guardians about the role of rehabilitation counselors and the confidential nature of the counseling relationship. Rehabilitation counselors are sensitive to the cultural diversity of families and respect the inherent rights and responsibilities of parents/guardians over the welfare of their children/charges according to law. Rehabilitation counselors work to establish, as appropriate, collaborative relationships with parents/guardians to best serve clients.

 

c. RELEASE OF CONFIDENTIAL INFORMATION. When minor clients or adult clients lack the capacity to give voluntary consent to release confidential information, rehabilitation counselors seek permission from parents or legal guardians to disclose information. In such instances, rehabilitation counselors inform clients consistent with their level of understanding and take culturally appropriate measures to safeguard the confidentiality of clients.

 

B.6. RECORDS

 

a. REQUIREMENT OF RECORDS. Rehabilitation counselors include sufficient and timely documentation in the records of their clients to facilitate the delivery and continuity of needed services. Rehabilitation counselors take reasonable steps to ensure that documentation in records accurately reflects progress and services provided to clients. If errors are made in records, rehabilitation counselors take steps to properly note the correction of such errors according to agency or institutional policies.

 

b. CONFIDENTIALITY OF RECORDS. Rehabilitation counselors ensure that records are kept in a secure location and that only authorized persons have access to records.

 

c. CLIENT ACCESS. Rehabilitation counselors recognize that counseling records are kept for the benefit of clients and therefore provide access to records and copies of records when requested by clients, unless prohibited by law. In instances where the records contain information that may be sensitive, confusing, or detrimental to clients, rehabilitation counselors have a responsibility to educate clients regarding such information. In situations involving multiple clients, access to records is limited to those parts of records that do not include confidential information related to other clients. When rehabilitation counselors are in possession of records from others sources, they refer clients back to the original source.

 

d. DISCLOSURE OR TRANSFER. Unless exceptions to confidentiality exist, rehabilitation counselors obtain written permission from clients to disclose or transfer records to legitimate third parties. Steps are taken to ensure that recipients of counseling records are sensitive to their confidential nature.

 

e. STORAGE AND DISPOSAL AFTER TERMINATION. Rehabilitation counselors store the records of their clients following termination of services to ensure reasonable future access, maintain records in accordance with national or local statutes governing records, and dispose of records and other sensitive materials in a manner that protects the confidentiality of clients.

 

f. REASONABLE PRECAUTIONS. Rehabilitation counselors take reasonable precautions to protect the confidentiality of clients in the event of disaster or termination of practice, incapacity, or death of the rehabilitation counselor.

 

B.7. CONSULTATION

 

a. AGREEMENTS. When acting as consultants, rehabilitation counselors seek agreement among parties involved concerning each individual’s right to confidentiality, the obligation of each individual to preserve confidential information, and the limits of confidentiality of information shared by others.

 

b. RESPECT FOR PRIVACY. Rehabilitation counselors discuss information obtained in consultation only with persons directly involved with the case. Written and oral reports presented by rehabilitation counselors contain only data germane to the purposes of the consultation, and every effort is made to protect the identity of clients and to avoid undue invasion of privacy.

 

c. DISCLOSURE OF CONFIDENTIAL INFORMATION. When consulting with colleagues, rehabilitation counselors do not disclose confidential information that reasonably could lead to the identification of clients or other persons or organizations with whom they have a confidential relationship unless they have obtained the prior consent of the persons or organizations or the disclosure cannot be avoided. They disclose information only to the extent necessary to achieve the purpose of the consultation.

 

SECTION C: ADVOCACY AND ACCESSIBILITY

 

C.1. ADVOCACY

 

a. ATTITUDINAL BARRIERS. In direct service with clients, rehabilitation counselors address attitudinal barriers, including stereotyping and discrimination, toward individuals with disabilities. They increase their own awareness and sensitivity to individuals with disabilities.

 

b. ADVOCACY. Rehabilitation counselors provide clients with appropriate information to facilitate their self-advocacy actions whenever possible. They work with clients to help them understand their rights and responsibilities, speak for themselves, make decisions, and contribute to society. When appropriate and with the consent of clients, rehabilitation counselors act as advocates on behalf of clients at the local, regional, and/or national levels.

 

c. ADVOCACY IN OWN AGENCY AND WITH COOPERATING AGENCIES. Rehabilitation counselors remain aware of actions taken by their own and cooperating agencies on behalf of clients and act as advocates for clients who cannot advocate for themselves to ensure effective service delivery.

 

d. ADVOCACY AND CONFIDENTIALITY. Rehabilitation counselors obtain the consent of clients prior to engaging in advocacy efforts on behalf of specific, identifiable clients to improve the provision of services and to work toward removal of systemic barriers or obstacles that inhibit access, growth, and development of clients.

 

e. AREAS OF KNOWLEDGE AND COMPETENCY. Rehabilitation counselors are knowledgeable about local, regional, and national systems and laws, and how they affect access to employment, education, transportation, housing, financial benefits, and medical services for people with disabilities. They obtain sufficient training in these systems in order to advocate effectively for clients and/or to facilitate self-advocacy of clients in these areas.

 

f. KNOWLEDGE OF BENEFIT SYSTEMS. Rehabilitation counselors are aware that disability benefit systems directly affect the quality of life of clients. They provide accurate and timely information or appropriate resources and referrals for these benefits.

 

C.2. ACCESSIBILITY

 

a. COUNSELING PRACTICE. Rehabilitation counselors facilitate the provision of necessary accommodations, including physically and programmatically accessible facilities and services to individuals with disabilities.

 

b. BARRIERS TO ACCESS. Rehabilitation counselors collaborate with clients and/or others to identify barriers based on the functional limitations of clients. They communicate information on barriers to public and private authorities to facilitate removal of barriers to access.

 

c. REFERRAL ACCESSIBILITY. Prior to referring clients to a program, facility, or employment setting, rehabilitation counselors assist clients in ensuring that these are appropriately accessible, and do not engage in discrimination based on age, color, race, national origin, culture, disability, ethnicity, gender, gender identity, religion/spirituality, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis proscribed by law.

 

SECTION D: PROFESSIONAL RESPONSIBILITY

 

D.1. PROFESSIONAL COMPETENCE

 

a. BOUNDARIES OF COMPETENCE. Rehabilitation counselors practice only within the boundaries of their competence, based on their education, training, supervised experience, professional credentials, and appropriate professional experience. Rehabilitation counselors demonstrate beliefs, attitudes, knowledge, and skills pertinent to working with diverse client populations. Rehabilitation counselors do not misrepresent their role or competence to clients.

 

b. NEW SPECIALTY AREAS OF PRACTICE. Rehabilitation counselors practice in specialty areas new to them only after having obtained appropriate education, training, and supervised experience. While developing skills in new specialty areas, rehabilitation counselors take steps to ensure the competence of their work and to protect clients from possible harm.

 

c. QUALIFIED FOR EMPLOYMENT. Rehabilitation counselors accept employment for positions for which they are qualified by education, training, supervised experience, professional credentials, and appropriate professional experience. Rehabilitation counselors hire individuals for rehabilitation counseling positions who are qualified and competent for those positions.

 

d. MONITOR EFFECTIVENESS. Rehabilitation counselors continually monitor their effectiveness as professionals and take steps to improve when necessary. Rehabilitation counselors take reasonable steps to seek peer supervision as needed to evaluate their efficacy as rehabilitation counselors.

 

e. CONTINUING EDUCATION. Rehabilitation counselors recognize the need for continuing education to acquire and maintain a reasonable level of awareness of current scientific and professional information in their fields of activity. They take steps to maintain competence in the skills they use, are open to new procedures, and keep current with the diverse populations and specific populations with whom they work.

 

D.2. CULTURAL COMPETENCE/DIVERSITY

 

a. INTERVENTIONS. Rehabilitation counselors develop and adapt interventions and services to incorporate consideration of cultural perspective of clients and recognition of barriers external to clients that may interfere with achieving effective rehabilitation outcomes.

 

b. NONDISCRIMINATION. Rehabilitation counselors do not discriminate against clients, students, employees, supervisees, or research participants in a manner that has a negative effect on these persons.

 

D.3. FUNCTIONAL COMPETENCE

 

a. IMPAIRMENT. Rehabilitation counselors are alert to the signs of impairment from their own physical, mental, or emotional problems, and refrain from offering or providing professional services when such impairment is likely to harm clients or others. They seek assistance for problems that reach the level of professional impairment, and, if necessary, they limit, suspend, or terminate their professional responsibilities until such time it is determined that they may safely resume their work. Rehabilitation counselors assist colleagues or supervisors in recognizing their own professional impairment and provide consultation and assistance when warranted with colleagues or supervisors showing signs of impairment and intervene as appropriate to prevent harm to clients.

 

b. DISASTER PREPARATION AND RESPONSE. Rehabilitation counselors make reasonable efforts to plan for facilitating continued services for clients in the event that rehabilitation counseling services are interrupted by disaster, such as acts of violence, terrorism, or a natural disaster.

 

D.4. PROFESSIONAL CREDENTIALS

 

a. ACCURATE REPRESENTATION. Rehabilitation counselors claim or imply only professional qualifications actually completed and correct any known misrepresentations of their qualifications by others. Rehabilitation counselors truthfully represent the qualifications of their professional colleagues. Rehabilitation counselors clearly distinguish between accredited and non-accredited degrees, paid and volunteer work experience, and accurately describe their continuing education and specialized training.

 

b. CREDENTIALS. Rehabilitation counselors claim only licenses or certifications that are current and in good standing.

 

c. EDUCATIONAL DEGREES. Rehabilitation counselors clearly differentiate between earned and honorary degrees.

 

d. IMPLYING DOCTORAL-LEVEL COMPETENCE. Rehabilitation counselors refer to themselves as “doctor” in a counseling context only when their doctorate is in counseling or a closely related field from an accredited university.

 

D.5. RESPONSIBILITY TO THE PUBLIC AND OTHER PROFESSIONALS

 

a . SEXUAL HARASSMENT. Rehabilitation counselors do not condone or participate in sexual harassment.

 

b. REPORTS TO THIRD PARTIES. Rehabilitation counselors are accurate, honest, and objective in reporting their professional activities and judgments to appropriate third parties, including courts, health insurance companies, those who are the recipients of evaluation reports, and others.

 

c. MEDIA PRESENTATIONS. When rehabilitation counselors provide advice or comment by means of public lectures, demonstrations, radio or television programs, prerecorded tapes, technologybased applications, printed articles, mailed materials, or other media, they take reasonable precautions to ensure that: (1) the statements are based on appropriate professional counseling literature and practice; (2) the statements are otherwise consistent with the Code; and, (3) the recipients of the information are not encouraged to infer that a professional rehabilitation counseling relationship has been established.

 

d. EXPLOITATION OF OTHERS. Rehabilitation counselors do not exploit others in their professional relationships to seek or receive unjustified personal gains, sexual favors, unfair advantages, or unearned goods or services.

 

e. CONFLICT OF INTEREST. Rehabilitation counselors recognize that their own personal values, moral beliefs, or personal and professional relationships may interfere with their ability to practice competently. Under such circumstances, rehabilitation counselors are obligated to decline participation or to limit their assistance in a manner consistent with professional obligations.

 

f. VERACITY. Rehabilitation counselors do not engage in any act or omission of a dishonest, deceitful, or fraudulent nature in the conduct of their professional activities.

 

g. DISPARAGING REMARKS. Rehabilitation counselors do not disparage individuals or groups of individuals.

 

h. PERSONAL PUBLIC STATEMENTS. When making personal statements in a public context, rehabilitation counselors clarify that they are speaking from their personal perspective and that they are not speaking on behalf of all rehabilitation counselors, the profession, or any professional organizations with which they may be affiliated.

 

D.6. SCIENTIFIC BASES FOR INTERVENTIONS

 

a. TECHNIQUES/PROCEDURES/MODALITIES. Rehabilitation counselors use techniques/procedures/modalities that are grounded in theory and/or have an empirical or scientific foundation. When using techniques/procedures/modalities that are not grounded in theory and/or do not have an empirical or scientific foundation, rehabilitation counselors define the techniques/procedures/modalities as unproven or developing. They explain the potential risks and ethical considerations of using such techniques/procedures/modalities and take steps to protect clients from possible harm.

 

b. CREDIBLE RESOURCES. Rehabilitation counselors ensure that the resources used or accessed in counseling are credible and valid (e.g., Internet link, books used in bibliotherapy).

 

SECTION E: RELATIONSHIPS WITH OTHER PROFESSIONALS

 

E.1. RELATIONSHIPS WITH COLLEAGUES, EMPLOYERS, AND EMPLOYEES

 

a. CULTURAL COMPETENCY CONSIDERATIONS. Rehabilitation counselors maintain beliefs, attitudes, knowledge, and skills regarding their interactions with people across cultures. Rehabilitation counselors are respectful of approaches to counseling services that differ from their own and of traditions and practices of other professional groups with which they work.

 

b. QUESTIONABLE CONDITIONS. Rehabilitation counselors alert their employers to conditions or inappropriate policies or practices that may be potentially disruptive or damaging to the professional responsibilities of rehabilitation counselors or that may limit their effectiveness. In those instances where rehabilitation counselors are critical of policies, they attempt to affect changes in such policies or procedures through constructive action within the organization. Such action may include referral to appropriate certification, accreditation, or licensure organizations, or voluntary termination of employment.

 

c. EMPLOYER POLICIES. The acceptance of employment in an agency or institution implies that rehabilitation counselors are in agreement with its general policies and principles. Rehabilitation counselors strive to reach agreement with employers as to acceptable standards of conduct that allow for changes in employer policies conducive to the growth and development of clients.

 

d. PROTECTION FROM PUNITIVE ACTION. Rehabilitation counselors take care not to harass or dismiss employees who have acted in a responsible and ethical manner to expose inappropriate employer policies or practices.

 

e. PERSONNEL SELECTION AND ASSIGNMENT. Rehabilitation counselors select competent staff and assign responsibilities compatible with their skills and experiences.

 

f. DISCRIMINATION. Rehabilitation counselors, as either employers or employees, engage in fair practices with regard to hiring, promoting, and training.

 

E.2. CONSULTATION

 

a. CONSULTATION AS AN OPTION. Rehabilitation counselors may choose to consult with professionally competent persons about their clients. In choosing consultants, rehabilitation counselors avoid placing consultants in a conflict of interest situation that precludes the consultant from being a proper party to the efforts of rehabilitation counselors to help clients. If rehabilitation counselors are engaged in a work setting that compromises this consultation standard, they consult with other professionals whenever possible to consider justifiable alternatives.

 

b. CONSULTANT COMPETENCY. Rehabilitation counselors take reasonable steps to ensure that they have the appropriate resources and competencies when providing consultation services. Rehabilitation counselors provide appropriate referral resources when requested or needed.

 

c. INFORMED CONSENT IN CONSULTATION. When providing consultation, rehabilitation counselors have an obligation to review, in writing and verbally, the rights and responsibilities of both rehabilitation counselors and consultees. Rehabilitation counselors use clear and understandable language to inform all parties involved about the purpose of the services to be provided, relevant costs, potential risks and benefits, and the limits of confidentiality. Working in conjunction with the consultees, rehabilitation counselors attempt to develop a clear definition of the problem, goals for change, and predicted consequences of interventions that are culturally responsive and appropriate to the needs of consultees.

 

E.3. AGENCY AND TEAM RELATIONSHIPS

 

a. CLIENTS AS TEAM MEMBER. Rehabilitation counselors ensure that clients and/or their legally recognized representatives are afforded the opportunity for full participation in decisions related to the services they receive. Only those with a need to know are allowed access to the information of clients, and only then upon a properly executed release of information request or upon receipt of a court order.

 

b. INTERDISCIPLINARY TEAMWORK. Rehabilitation counselors who are members of interdisciplinary teams delivering multifaceted services to clients must keep the focus on how to serve clients best. They participate in and contribute to decisions that affect the well-being of clients by drawing on the perspectives, values, and experiences of the counseling profession and those of colleagues from other disciplines.

 

c. COMMUNICATION. Rehabilitation counselors ensure that there is fair and mutual understanding of rehabilitation plans by all parties cooperating in the rehabilitation of clients.

 

d. ESTABLISHING PROFESSIONAL AND ETHICAL OBLIGATIONS. Rehabilitation counselors who are members of interdisciplinary teams clarify professional and ethical obligations of the team as a whole and of its individual members. Rehabilitation counselors implement team decisions in rehabilitation plans and procedures, even when not personally agreeing with such decisions, unless these decisions breach the Code. When team decisions raise ethical concerns, rehabilitation counselors first attempt to resolve the concerns within the team. If they cannot reach resolution among team members, rehabilitation counselors consider other approaches to address their concerns consistent with the well-being of clients.

 

e. REPORTS. Rehabilitation counselors secure from other specialists appropriate reports and evaluations when such reports are essential for rehabilitation planning and/or service delivery.

 

SECTION F: FORENSIC AND INDIRECT SERVICES

 

F.1. CLIENT OR EVALUEE RIGHTS

 

a. PRIMARY OBLIGATIONS. Rehabilitation counselors produce unbiased, objective opinions and findings that can be substantiated by information and methodologies appropriate to the evaluation, which may include examination of individuals, research, and/or review of records. Rehabilitation counselors form opinions based on their professional knowledge and expertise that can be supported by the data gathered in evaluations. Rehabilitation counselors define the limits of their opinions or testimony, especially when an examination of individuals has not been conducted. Rehabilitation counselors acting as expert witnesses generate written documentation, either in the form of case notes or a report, as to their involvement and/or conclusions.

 

b. INFORMED CONSENT. Individuals being evaluated are informed in writing that the relationship is for the purpose of an evaluation and that a report of findings may be produced. Written consent for evaluations are obtained from those being evaluated or the individuals’ legal representatives/guardians unless: (1) there is a clinical or cultural reason that this is not possible; (2) a court or legal jurisdiction orders evaluations to be conducted without the written consent of individuals being evaluated; and/or (3) deceased evaluees are the subject of evaluations. If written consent is not obtained, rehabilitation counselors document verbal consent and the reasons why obtaining written consent was not possible. When minors or vulnerable adults are evaluated, informed consent is obtained from parents or guardians.

 

c. DUAL ROLES. Rehabilitation counselors do not evaluate current or former clients for forensic purposes except under the conditions noted in A.5.f. or government statute. Likewise, rehabilitation counselors do not provide direct services to evaluees whom they have previously provided forensic services in the past except under the conditions noted in A.5.f. or government statute. In a forensic setting, rehabilitation counselors who are engaged as expert witnesses have no clients. The persons who are the subject of objective and unbiased evaluations are considered to be evaluees.

 

d. INDIRECT SERVICE PROVISION. Rehabilitation counselors who are employed by third parties as case consultants or expert witnesses, and who engage in communication with clients or evaluees, fully disclose to individuals (and/or their designees) the role of the rehabilitation counselor and limits of the relationship. Communication includes all forms of written or oral interactions. When there is no intent to provide rehabilitation counseling services directly to clients or evaluees and when there is no in-person meeting or other communication, disclosure by rehabilitation counselors is not required.

 

e. CONFIDENTIALITY. When rehabilitation counselors are required by law, employers’ policies, or extraordinary circumstances to serve in more than one role in judicial or administrative proceedings, they clarify role expectations and the parameters of confidentiality with their colleagues and with evaluees.

 

F.2. REHABILITATION COUNSELOR FORENSIC COMPETENCY AND CONDUCT

 

a. OBJECTIVITY. Rehabilitation counselors are aware of the standards governing their roles in performing forensic activities. Rehabilitation counselors are aware of the occasionally competing demands placed upon them by these standards and the requirements of the legal system, and attempt to resolve these conflicts by making known their commitment to this Code and taking steps to resolve conflicts in a responsible manner.

 

b. QUALIFICATION TO PROVIDE EXPERT TESTIMONY. Rehabilitation counselors have an obligation to present to the court, regarding specific matters to which they testify, the boundaries of their competence, the factual bases (knowledge, skill, experience, training, and education) for their qualifications as an expert, and the relevance of those factual bases to their qualifications as an expert on the specific matters at issue.

 

c. AVOID POTENTIALLY HARMFUL RELATIONSHIPS. Rehabilitation counselors who provide forensic evaluations avoid potentially harmful professional or personal relationships with individuals being evaluated, family members, romantic partners, and close friends of individuals they are evaluating. There may be circumstances however where not entering into professional or personal relationships is potentially more detrimental than providing services. When such is the case, rehabilitation counselors perform and document a risk assessment via use of an ethical decisionmaking model in order to arrive at an informed decision.

 

d. CONFLICT OF INTEREST. Rehabilitation counselors recognize that their own personal values, moral beliefs, or personal and professional relationships with parties to a legal proceeding may interfere with their ability to practice competently. Under such circumstances, rehabilitation counselors are obligated to decline participation or to limit their assistance in a manner consistent with professional obligations.

 

e. VALIDITY OF RESOURCES CONSULTED. Rehabilitation counselors ensure that the resources used or accessed in supporting opinions are credible and valid.

 

f. FOUNDATION OF KNOWLEDGE. Because of their special status as persons qualified as experts to the court, rehabilitation counselors have an obligation to maintain current knowledge of scientific, professional, and legal developments within their area of claimed competence. They are obligated also to use that knowledge, consistent with accepted clinical and scientific standards, in selected data collection methods and procedures for evaluation, treatment, consultation, or scholarly/empirical investigations.

 

g. DUTY TO CONFIRM INFORMATION. Where circumstances reasonably permit, rehabilitation counselors seek to obtain independent and personal verification of data relied upon as part of their professional services to the court or to parties to the legal proceedings.

 

h. CRITIQUE OF OPPOSING WORK PRODUCT. When evaluating or commenting upon the professional work products or qualifications of other experts or parties to legal proceedings, rehabilitation counselors represent their professional disagreements with reference to a fair and accurate evaluation of the data, theories, standards, and opinions of other experts or parties.

 

F.3. FORENSIC PRACTICES

 

a. CASE ACCEPTANCE AND INDEPENDENT OPINION. While all rehabilitation counselors have the discretionary right to accept retention in any case or proceed within their area(s) of expertise, they decline involvement in any case when asked to take or support predetermined positions, assume invalid representation of facts, alter their methodology or process without foundation or compelling reasons, or where there are ethical concerns about the nature of the requested assignments.

 

b. TERMINATION AND ASSIGNMENT TRANSFER. If necessary to withdraw from a case after having been retained, rehabilitation counselors make reasonable efforts to assist evaluees and/or referral sources in locating another rehabilitation counselor to take over the assignment.

 

F.4. FORENSIC BUSINESS PRACTICES

 

a. PAYMENTS AND OUTCOME. Rehabilitation counselors do not enter into financial commitments that may compromise the quality of their services or otherwise raise questions as to their credibility. Rehabilitation counselors neither give nor receive commissions, rebates, contingency or referral fees, gifts, or any other form of remuneration when accepting cases or referring evaluees for professional services. While liens should be avoided, they are sometimes standard practice in particular trial settings. Payment is never contingent on outcome or awards.

 

b. FEE DISPUTES. Should fee disputes arise during the course of evaluating cases and prior to trial, rehabilitation counselors have the ability to discontinue their involvement in cases as long as no harm comes to evaluees.

 

SECTION G: EVALUATION, ASSESSMENT, AND INTERPRETATION

 

G.1. INFORMED CONSENT

 

a. EXPLANATION TO CLIENTS. Prior to assessment, rehabilitation counselors explain the nature and purposes of assessment and the specific use of results by potential recipients. The explanation is given in the language and/or developmental level of clients (or other legally authorized persons on behalf of clients), unless an explicit exception has been agreed upon in advance. Rehabilitation counselors consider personal or cultural context of clients, the level of their understanding of the results, and the impact of the results on clients. Regardless of whether scoring and interpretation are completed by rehabilitation counselors, by assistants, or by computer or other outside services, rehabilitation counselors take reasonable steps to ensure that appropriate explanations are given to clients.

 

b. RECIPIENTS OF RESULTS. Rehabilitation counselors consider the welfare of clients, explicit understandings, and prior agreements in determining who receives the assessment results. Rehabilitation counselors include accurate and appropriate interpretations with any release of individual or group assessment results. Issues of cultural diversity, when present, are taken into consideration when providing interpretations and releasing information.

 

G.2. RELEASE OF INFORMATION TO COMPETENT PROFESSIONALS

 

a. MISUSE OF RESULTS. Rehabilitation counselors do not misuse assessment results, including test results and interpretations, and take reasonable steps to prevent the misuse of such by others.

 

b. RELEASE OF DATA TO QUALIFIED PROFESSIONALS. Rehabilitation counselors release assessment data in which clients are identified only with the consent of clients or their legal representatives, or court order. Such data is released only to professionals recognized as qualified to interpret the data.

 

G.3. PROPER DIAGNOSIS OF MENTAL DISORDERS

 

a. PROPER DIAGNOSIS. If within their professional and individual scope of practice, rehabilitation counselors take special care to provide proper diagnosis of mental disorders. Assessment techniques (including personal interviews) used to determine care of clients (e.g., focus of treatment, types of treatment, or recommended follow-up) are carefully selected and appropriately used.

 

b. CULTURAL SENSITIVITY. Rehabilitation counselors recognize that culture affects the manner in which the disorders of clients are defined. The socioeconomic and cultural experiences of clients are considered when diagnosing.

 

c. HISTORICAL AND SOCIAL PREJUDICES IN DIAGNOSIS AND THE DIAGNOSIS OF PATHOLOGY. Rehabilitation counselors recognize historical and social prejudices in the misdiagnosis and pathologizing of certain individuals and groups. Rehabilitation counselors may refrain from making and/or reporting a diagnosis if they believe it would cause harm to clients or others.

 

G.4. COMPETENCE TO USE AND INTERPRET TESTS

 

a. LIMITS OF COMPETENCE. Rehabilitation counselors utilize only those testing and assessment services for which they have been trained and are competent. Rehabilitation counselors take reasonable measures to ensure the proper use of psychological and career assessment techniques by persons under their supervision. The requirement to develop this competency applies regardless of whether tests are administered through standard or technology-based methods.

 

b. APPROPRIATE USE. Rehabilitation counselors are responsible for the appropriate applications, scoring, interpretations, and use of assessment instruments relevant to the needs of clients, whether they score and interpret such assessments themselves or use technology or other services. Generally new instruments are used within one year of publication, unless rehabilitation counselors document a valid reason why the normative data from previous versions are more applicable to clients.

 

c. RECOMMENDATIONS BASED ON RESULTS. Rehabilitation counselors are responsible for recommendations involving individuals that are based on assessment results, and have a thorough understanding of educational, psychological, and career measurements, including validation criteria, assessment research, and guidelines for assessment development and use. In addition to test results, rehabilitation counselors consider other factors present in the client’s situation (e.g., disability or cultural factors) before making any recommendations, when relevant.

 

d. ACCURATE INFORMATION. Rehabilitation counselors provide accurate information and avoid false claims or misconceptions when making statements about assessment instruments or techniques. Special efforts are made to avoid utilizing test results to make inappropriate diagnoses or inferences.

 

G.5. TEST SELECTION

 

a. APPROPRIATENESS OF INSTRUMENTS. Rehabilitation counselors carefully consider the validity, reliability, psychometric limitations, and appropriateness of instruments when selecting tests for use in given situations or with particular clients.

 

b. REFERRAL INFORMATION. If clients are referred to a third party for assessment, rehabilitation counselors provide specific referral questions and sufficient objective data about clients to ensure that appropriate assessment instruments are utilized.

 

c. CULTURALLY DIVERSE POPULATIONS. Rehabilitation counselors are cautious when selecting assessments for use with individuals from culturally diverse populations to avoid the use of instruments that lack appropriate psychometric properties for those client populations.

 

G.6. CONDITIONS OF TEST ADMINISTRATION

 

a. ADMINISTRATION CONDITIONS. Rehabilitation counselors administer assessments under the same conditions that were established in the standardized development of the instrument. When assessments are not administered under standard conditions, as may be necessary to accommodate clients with disabilities, or when unusual behavior or irregularities occur during the administration, those conditions are noted in interpretation, and the results may be designated as invalid or of questionable validity.

 

b. TECHNOLOGICAL ADMINISTRATION. When using technology or electronic methods to administer assessments, rehabilitation counselors ensure that the instruments are functioning properly and provide accurate results.

 

c. UNSUPERVISED TEST-TAKING. Rehabilitation counselors do not permit unsupervised or inadequately supervised use of tests or assessments unless the tests or assessments are designed, intended, and validated for self-administration and/or scoring.

 

G.7. TEST SCORING AND INTERPRETATION

 

a. REPORTING RESERVATIONS. In reporting assessment results, rehabilitation counselors indicate any reservations that exist regarding validity or reliability because of the circumstances of the assessments or the inappropriateness of the norms for persons tested.

 

b. CULTURAL DIVERSITY ISSUES IN ASSESSMENT. Rehabilitation counselors use caution with assessment techniques that were normed on populations other than that of the client. Rehabilitation counselors recognize the effects of age, color, race, national origin, culture, disability, ethnicity, gender, gender identity, religion/spirituality, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis proscribed by law on test administrations and interpretations, and place test results in proper perspective with other relevant factors.

 

c. RESEARCH INSTRUMENTS. Rehabilitation counselors exercise caution when interpreting the results of research instruments not having sufficient technical data to support respondent results. The specific purposes for the use of such instruments are stated explicitly to examinees.

 

G.8. ASSESSMENT CONSIDERATIONS

 

a. ASSESSMENT SECURITY. Rehabilitation counselors maintain the integrity and security of tests and other assessment techniques consistent with legal and contractual obligations. Rehabilitation counselors do not appropriate, reproduce, or modify published assessments or parts thereof without acknowledgment and permission from the publisher.

 

b. OBSOLETE ASSESSMENT AND OUTDATED RESULTS. Rehabilitation counselors do not use data or results from assessments that are obsolete or outdated. Rehabilitation counselors make every effort to prevent the misuse of obsolete measures and assessment data by others.

 

c. ASSESSMENT CONSTRUCTION. Rehabilitation counselors use established scientific procedures, relevant standards, and current professional knowledge for assessment design in the development, publication, and utilization of educational and psychological assessment techniques.

 

SECTION H: TEACHING, SUPERVISION, AND TRAINING

 

H.1. REHABILITATION COUNSELOR SUPERVISION AND CLIENT WELFARE

 

a. CLIENT WELFARE. Rehabilitation counselor supervisors meet regularly with supervisees to review case notes, samples of clinical work, or live observations in order to ensure the welfare of clients. Supervisees have a responsibility to understand and follow the Code.

 

b. REHABILITATION COUNSELOR CREDENTIALS. Rehabilitation counselor supervisors work to ensure that clients are aware of the qualifications of the supervisees who render services to clients.

 

c. INFORMED CONSENT AND CLIENT RIGHTS. Rehabilitation counselor supervisors make supervisees aware of the rights of clients including the protection of their privacy and confidentiality in the counseling relationship. Supervisees provide clients with professional disclosure information and inform them of how the supervision process influences the limits of confidentiality. Supervisees make clients aware of who has access to records of the counseling relationship and how these records are used.

 

H.2. REHABILITATION COUNSELOR SUPERVISION COMPETENCE

 

a. SUPERVISOR PREPARATION. Rehabilitation counselors who offer supervision services regularly pursue continuing education activities, including both counseling and supervision topics and skills.

 

b. CULTURAL DIVERSITY IN REHABILITATION COUNSELOR SUPERVISION. Rehabilitation counselor supervisors are aware of and address the role of cultural diversity in the supervisory relationship.

 

H.3. ROLES AND RELATIONSHIPS WITH SUPERVISEES OR TRAINEES

 

a. RELATIONSHIP BOUNDARIES WITH SUPERVISEES OR TRAINEES. Rehabilitation counselor supervisors or educators clearly define and maintain ethical professional, personal, and social relationships with their supervisees or trainees. Rehabilitation counselor supervisors or educators avoid nonprofessional relationships with current supervisees or trainees. If rehabilitation counselor supervisors or educators must assume other professional roles (e.g., clinical and/or administrative supervisors, instructors) with supervisees or trainees, they work to minimize potential conflicts and explain to supervisees or trainees the expectations and responsibilities associated with each role. They do not engage in any form of nonprofessional interactions that may compromise the supervisory relationship.

 

b. SEXUAL OR ROMANTIC RELATIONSHIPS. Rehabilitation counselors do not engage in sexual or romantic interactions or relationships with current supervisees or trainees.

 

c. EXPLOITATIVE RELATIONSHIPS. Rehabilitation counselors do not engage in exploitative relationships with individuals with whom they have supervisory, evaluative, or instructional control or authority.

 

d. SEXUAL HARASSMENT. Rehabilitation counselor supervisors or educators do not condone or subject supervisees or trainees to sexual harassment.

 

e. RELATIONSHIPS WITH FORMER SUPERVISEES OR TRAINEES. Rehabilitation counselor supervisors or educators are aware of the power differential in their relationships with supervisees or trainees. Rehabilitation counselor supervisors or educators foster open discussions with former supervisees or trainees when considering engaging in a social, sexual, or other intimate relationships. Rehabilitation counselor supervisors or educators discuss with the former supervisees or trainees how their former relationship may affect the change in relationship.

 

f. NONPROFESSIONAL RELATIONSHIPS. Rehabilitation counselor supervisors or educators avoid nonprofessional or ongoing professional relationships with supervisees or trainees in which there is a risk of potential harm to supervisees or trainees or that may compromise the training experience or grades assigned. In addition, rehabilitation counselor supervisors or educators do not accept any form of professional services, fees, commissions, reimbursement, or remuneration from a site for supervisee or trainee placements.

 

g. CLOSE RELATIVES AND FRIENDS. Rehabilitation counselor supervisors or educators avoid accepting close relatives, romantic partners, or friends as supervisees or trainees. When such circumstances can not be avoided, rehabilitation counselor supervisors or educators utilize a formal review mechanism.

 

h. POTENTIALLY BENEFICIAL RELATIONSHIPS. Rehabilitation counselor supervisors or educators are aware of the power differential in their relationships with supervisees or trainees. If they believe nonprofessional relationships with supervisees or trainees may be potentially beneficial to supervisees or trainees, they take precautions similar to those taken by rehabilitation counselors when working with clients. Examples of potentially beneficial interactions or relationships include attending a formal ceremony; hospital visits; providing support during a stressful event; or mutual membership in professional associations, organizations, or communities. Rehabilitation counselor supervisors or educators engage in open discussions with supervisees or trainees when they consider entering into relationships with them outside of their role as clinical and/or administrative supervisors. Before engaging in nonprofessional relationships, rehabilitation counselor supervisors or educators discuss the rationale for such interactions, potential benefits or drawbacks, and anticipated consequences with supervisees or trainees. Rehabilitation counselor supervisors or educators clarify the specific nature and limitations of the additional role(s) they have with supervisees or trainees. Nonprofessional relationships with supervisees or trainees are time-limited or context specific and initiated with their consent.

 

H.4. REHABILITATION COUNSELOR SUPERVISOR RESPONSIBILITIES

 

a. DISCLOSURE AND INFORMED CONSENT FOR SUPERVISION. Rehabilitation counselor supervisors provide professional disclosure that, at a minimum, is consistent with the jurisdiction in which they practice. Rehabilitation counselor supervisors are responsible for incorporating into their supervision the principles of informed consent. Rehabilitation counselor supervisors inform supervisees of the policies and procedures to which they are to adhere and the mechanisms for due process appeal of individual supervisory actions.

 

b. EMERGENCIES AND ABSENCES. Rehabilitation counselor supervisors establish and communicate to supervisees the procedures for contacting them or, in their absence, alternative on-call supervisors to assist in handling crises.

 

c. STANDARDS FOR REHABILITATION COUNSELOR SUPERVISEES. Rehabilitation counselor supervisors make their supervisees aware of professional and ethical standards and legal responsibilities. Rehabilitation counselor supervisors of post-degree rehabilitation counselors encourage these rehabilitation counselors to adhere to professional standards of practice. d. RESOLVING DIFFERENCES. When cultural, ethical, or professional issues are crucial to the viability of the supervisory relationship, both parties make efforts to resolve differences. When termination is warranted, rehabilitation counselor supervisors make appropriate referrals to possible alternative supervisors.

 

H.5. REHABILITATION COUNSELOR SUPERVISOR EVALUATION, REMEDIATION, AND ENDORSEMENT

 

a. EVALUATION. Rehabilitation counselor supervisors or educators clearly state to supervisees or trainees, prior to and throughout the training program, the levels of competency expected, appraisal methods, and timing of evaluations for both didactic and clinical competencies. Rehabilitation counselor supervisors or educators document and provide supervisees or trainees ongoing performance appraisal and evaluation feedback.

 

b. LIMITATIONS. Throughout ongoing evaluation and appraisal, rehabilitation counselor supervisors or educators are aware of and address the inability of some supervisees or trainees to achieve, improve, or maintain counseling competencies. Rehabilitation counselor supervisors or educators: (1) assist supervisees or trainees in securing remedial assistance when needed; (2) seek professional consultation and document their decision to dismiss or refer supervisees or trainees for assistance; (3) ensure that supervisees or trainees have recourse in a timely manner to address decisions that require them to seek assistance or to dismiss them; and (4) provide supervisees or trainees with due process according to organizational policies and procedures.

 

c. COUNSELING FOR SUPERVISEES. Rehabilitation counselor supervisors or educators address interpersonal competencies of supervisees or trainees in terms of the impact of these issues on clients, supervisory relationships, and professional functioning. With the exception of brief interventions to address situational distress, or as part of educational activities, rehabilitation counselor supervisors or educators do not provide counseling services to supervisees or trainees. If supervisees or trainees request counseling or if counseling is required as part of a remediation process, rehabilitation counselor supervisors or educators provide them with referrals.

 

d. ENDORSEMENT. Rehabilitation counselor supervisors or educators endorse supervisees or trainees for certification, licensure, employment, or completion of academic or training programs based on satisfactory progress and observations while under supervision or training. Regardless of qualifications, supervisors or educators do not endorse supervisees or trainees whom they believe to be impaired in any way that would interfere with the performance of the duties associated with the endorsement.

 

H.6. RESPONSIBILITIES OF REHABILITATION COUNSELOR EDUCATORS

 

a. REHABILITATION COUNSELOR EDUCATORS. Rehabilitation counselor educators who are responsible for developing, implementing, and supervising educational programs are skilled as teachers and practitioners. They are knowledgeable regarding the ethical, legal, and regulatory aspects of the profession, are skilled in applying that knowledge, and make students aware of their responsibilities. Rehabilitation counselor educators conduct rehabilitation counselor education and training programs in an ethical manner and serve as role models for professional behavior.

 

b. INFUSING CULTURAL DIVERSITY. Rehabilitation counselor educators infuse material related to cultural diversity into all courses and workshops for the development of professional rehabilitation counselors.

 

c. INTEGRATION OF STUDY AND PRACTICE. Rehabilitation counselor educators establish education and training programs that integrate academic study and supervised practice.

 

d. TEACHING ETHICS. Rehabilitation counselor educators make students aware of their ethical responsibilities, standards of the profession, and the ethical responsibilities of students to the profession. Rehabilitation counselor educators infuse ethical considerations throughout the curriculum.

 

e. PEER RELATIONSHIPS. Rehabilitation counselor educators make every effort to ensure that the rights of peers are not compromised when students lead counseling groups or provide clinical supervision. Rehabilitation counselor educators take steps to ensure that students understand they have the same ethical obligations as rehabilitation counselor educators, trainers, and supervisors.

 

f. INNOVATIVE TECHNIQUES/PROCEDURES/MODALITIES. When rehabilitation counselor educators teach counseling techniques/procedures/modalities that are innovative, without an empirical foundation or without a well-grounded theoretical foundation, they define the counseling techniques/procedures/modalities as unproven or developing and explain to students the potential risks and ethical considerations of using such techniques/procedures/modalities.

 

g. FIELD PLACEMENTS. Rehabilitation counselor educators develop clear policies within their training programs regarding field placement and other clinical experiences. Rehabilitation counselor educators provide clearly stated roles and responsibilities for students, site supervisors, and program supervisors. They confirm that site supervisors are qualified to provide supervision and inform site supervisors of their professional and ethical responsibilities in this role.

 

h. PROFESSIONAL DISCLOSURE. Before initiating counseling services, rehabilitation counselors-intraining disclose their status as students and explain how this status affects the limits of confidentiality. Rehabilitation counselor educators ensure that clients at field placement are aware of the services rendered and the qualifications of the students and supervisees rendering those services. Students obtain permission from clients before they use any information concerning the counseling relationship in the training process.

 

H.7. STUDENT WELFARE

 

a. ORIENTATION. Rehabilitation counselor educators recognize that orientation is a developmental process that continues throughout the educational and clinical training of students. Rehabilitation counselor educators have an ethical responsibility to provide enough information to prospective or current students about program expectations for them to make informed decisions about entering into and continuing in a program.

 

b. SELF-GROWTH EXPERIENCES. Rehabilitation counselor education programs delineate requirements for self-disclosure as part of self-growth experiences in their admission and program materials. Rehabilitation counselor educators use professional judgment when designing training experiences they conduct that require student self-growth or self-disclosure. Students are made aware of the ramifications their self-disclosure may have when rehabilitation counselors whose primary role as teachers, trainers, or supervisors require acting on ethical obligations to the profession. Evaluative components of experiential training experiences explicitly delineate predetermined academic standards that are separate and do not depend on the level of selfdisclosure of students. As a condition to remain in the program, rehabilitation counselor educators may require that students seek professional help to address any personal concerns that may be affecting their competency.

 

H.8. CULTURAL DIVERSITY COMPETENCE IN REHABILITATION COUNSELOR EDUCATION PROGRAMS AND TRAINING PROGRAMS

 

a. DIVERSITY. Rehabilitation counselor educators actively attempt to recruit and retain a diverse faculty and student body. Rehabilitation counselor educators demonstrate commitment to cultural diversity competence by recognizing and valuing diverse cultures and types of abilities faculty and students bring to the training experience. Rehabilitation counselor educators provide appropriate accommodations as required to enhance and support the well-being and performance of students.

 

b. CULTURAL DIVERSITY COMPETENCE. Rehabilitation counselor educators actively infuse cultural diversity competency into their training and supervision practices. They actively educate trainees to develop and maintain beliefs, attitudes, knowledge, and skills necessary for competent practice with people across cultures.

 

SECTION I: RESEARCH AND PUBLICATION

 

I.1. RESEARCH RESPONSIBILITIES

 

a. USE OF HUMAN PARTICIPANTS. Rehabilitation counselors plan, design, conduct, and report research in a manner that reflects cultural sensitivity, is culturally appropriate, and is consistent with pertinent ethical principles, laws, host institutional regulations, and scientific standards governing research with human participants. They seek consultation when appropriate.

 

b. DEVIATION FROM STANDARD PRACTICES. Rehabilitation counselors seek consultation and observe stringent safeguards to protect the rights of research participants when a research problem suggests a deviation from standard acceptable practices.

 

c. PRECAUTIONS TO AVOID INJURY. Rehabilitation counselors who conduct research with human participants are responsible for the welfare of participants throughout the research process and take reasonable precautions to avoid causing injurious psychological, emotional, physical, or social effects to participants.

 

d. PRINCIPAL RESEARCHER RESPONSIBILITY. The ultimate responsibility for ethical research practice lies with principal researchers. All others involved in the research activities share ethical obligations and responsibilities for their own actions. e. MINIMAL INTERFERENCE. Rehabilitation counselors take precautions to avoid causing disruption in the lives of research participants that may result from their involvement in research.

 

I.2. INFORMED CONSENT AND DISCLOSURE

 

a. INFORMED CONSENT IN RESEARCH. Individuals have the right to consent to become research participants. In seeking consent, rehabilitation counselors use language that: (1) accurately explains the purpose and procedures to be followed; (2) identifies any procedures that are experimental or relatively untried; (3) describes any attendant discomforts and risks; (4) describes any benefits or changes in individuals or organizations that might be reasonably expected; (5) discloses appropriate alternative procedures that would be advantageous for participants; (6) offers to answer any inquiries concerning the procedures; (7) describes any limitations on confidentiality; (8) describes formats and potential target audiences for the dissemination of research findings; and (9) instructs participants that they are free to withdraw their consent and to discontinue participation in the project at any time without penalty.

 

b. DECEPTION. Rehabilitation counselors do not conduct research involving deception unless alternative procedures are not feasible. If such deception has the potential to cause physical or emotional harm to research participants, the research is not conducted, regardless of prospective value. When the methodological requirements of a study necessitate concealment or deception, the investigator explains the reasons for this action as soon as possible during the debriefing.

 

c. VOLUNTARY PARTICIPATION. Participation in research is typically voluntary and without any penalty for refusal to participate. Involuntary participation is appropriate only when it can be demonstrated that participation has no harmful effects on participants and is essential to the research.

 

d. CONFIDENTIALITY OF INFORMATION. Information obtained about participants during the course of research is confidential. When the possibility exists that others may obtain access to such information, ethical research practice requires that the possibility, together with the plans for protecting confidentiality, be explained to participants as part of the procedures for obtaining informed consent.

 

e. INDIVIDUALS NOT CAPABLE OF GIVING INFORMED CONSENT. When individuals are not capable of giving informed consent, rehabilitation counselors provide an appropriate explanation to and obtain agreement for participation and appropriate consent from a legally authorized person.

 

f. COMMITMENTS TO PARTICIPANTS. Rehabilitation counselors take reasonable measures to honor all commitments to research participants.

 

g. EXPLANATIONS AFTER DATA COLLECTION. After data is collected, rehabilitation counselors provide participants with full clarification of the nature of the study to remove any misconceptions participants might have regarding the research. Where scientific or human values justify delaying or withholding information, rehabilitation counselors take reasonable measures to avoid causing harm.

 

h. AGREEMENT OF CONTRIBUTORS. Rehabilitation counselors who conduct joint research establish agreements in advance regarding allocation of tasks, publication credit, and types of acknowledgment received, and incur an obligation to cooperate as agreed.

 

i. INFORMING SPONSORS. Rehabilitation counselors inform sponsors, institutions, and publication channels regarding research procedures and outcomes. Rehabilitation counselors ensure that appropriate bodies and authorities are given pertinent information and acknowledgment.

 

I.3. REPORTING RESULTS

 

a. ACCURATE RESULTS. Rehabilitation counselors plan, conduct, and report research accurately. They provide thorough discussions of the limitations of their data and alternative hypotheses. Rehabilitation counselors do not engage in misleading or fraudulent research, distort data, misrepresent data, or deliberately bias their results. They explicitly mention all variables and conditions known to the investigator(s) that may have affected the outcome of studies or interpretations of data. They describe the extent to which results are applicable for diverse populations.

 

b. OBLIGATION TO REPORT UNFAVORABLE RESULTS. Rehabilitation counselors report the results of any research of professional value. Results that reflect unfavorably on institutions, programs, services, prevailing opinions, or vested interests are not withheld.

 

c. IDENTITY OF PARTICIPANTS. Rehabilitation counselors who supply data, aid in the research of another person, report research results, or make original data available, take due care to disguise the identity of respective participants in the absence of specific authorization from the participants to do otherwise. In situations where participants self-identify their involvement in research studies, researchers take active steps to ensure that data is adapted/changed to protect the identities and welfare of all parties and that discussion of results does not cause harm to participants.

 

d. REPORTING ERRORS. If rehabilitation counselors discover significant errors in their published research, they take reasonable steps to correct such errors in a correction erratum or through other appropriate publication means.

 

e. REPLICATION STUDIES. Rehabilitation counselors are obligated to make available sufficient original research data to qualified professionals who may wish to replicate the study.

 

I.4. PUBLICATIONS AND PRESENTATIONS

 

a. RECOGNIZING CONTRIBUTIONS. When conducting and reporting research, rehabilitation counselors are familiar with and give recognition to previous work on the topic, observe copyright laws, and give full credit to those to whom credit is due.

 

b. CONTRIBUTORS. Rehabilitation counselors give credit through joint authorship, acknowledgment, footnote statements, or other appropriate means to those who have contributed significantly to research or concept development in accordance with such contributions. Principal contributors are listed first and minor technical or professional contributions are acknowledged in notes or introductory statements.

 

c. STUDENT RESEARCH. For articles that are substantially based on students’ course papers, projects, dissertations or theses of students, and for which students have been the primary contributors, they are listed as principal authors.

 

d. DUPLICATE SUBMISSION. Rehabilitation counselors submit manuscripts for consideration to only one journal at a time. Manuscripts that are published in whole or in substantial part in another journal or published work are not submitted for publication without acknowledgment and permission from the previous publication.

 

e. PROFESSIONAL REVIEW. Rehabilitation counselors who review material submitted for publication, research, or other scholarly purposes respect the confidentiality and proprietary rights of those who submitted it. Rehabilitation counselors use care to make publication decisions based on valid and defensible standards. Rehabilitation counselors review article submissions in a timely manner and based on their scope and competency in research methodologies. Rehabilitation counselors who serve as reviewers at the request of editors or publishers make every effort to review only materials that are within their scope of competency and use care to avoid personal biases.

 

f. PLAGIARISM. Rehabilitation counselors do not plagiarize, that is, they do not present another person’s work as their own work.

 

g. REVIEW/REPUBLICATION OF DATA OR IDEAS. Rehabilitation counselors fully acknowledge and make editorial reviewers aware of prior publication of ideas or data where such ideas or data are submitted for review or publication.

 

h. NONPROFESSIONAL RELATIONSHIPS. Rehabilitation counselors avoid nonprofessional relationships with research participants when research involves intensive or extensive interaction. When a nonprofessional interaction between researchers and research participants may be potentially beneficial, researchers must document, prior to the interaction (when feasible), the rationale for such interactions, the potential benefits, and anticipated consequences for research participants. Such interactions are initiated with appropriate consent of research participants. Where unintentional harm occurs to research participants due to nonprofessional interactions, researchers must show evidence of an attempt to remedy such harm.

 

i. SEXUAL OR ROMANTIC RELATIONSHIPS WITH RESEARCH PARTICIPANTS. Rehabilitation counselors do not engage in sexual or romantic rehabilitation counselor–research participant interactions or initiate relationships with current research participants.

 

j. SEXUAL HARASSMENT AND RESEARCH PARTICIPANTS. Rehabilitation counselors do not condone or subject research participants to sexual harassment.

 

I.5. CONFIDENTIALITY

 

a. INSTITUTIONAL APPROVAL. When institutional review board approval is required, rehabilitation counselors provide accurate information about their research proposals and obtain approval prior to conducting their research. They conduct research in accordance with the approved research protocol.

 

b. ADHERENCE TO GUIDELINES. Rehabilitation counselors are responsible for understanding and adhering to national, local, agency, or institutional policies or applicable guidelines regarding confidentiality in their research practices.

 

c. CONFIDENTIALITY OF INFORMATION OBTAINED IN RESEARCH. Violations of participants’ privacy and confidentiality are risks of participation in research involving human participants. Investigators maintain all research records in a secure manner. They explain to participants the risks of violations of privacy and confidentiality and disclose to participants any limits of confidentiality that reasonably can be expected.

 

d. DISCLOSURE OF RESEARCH INFORMATION. Rehabilitation counselors do not disclose confidential information that reasonably could lead to the identification of research participants unless they have obtained the prior consent of participants. Use of data derived from counseling relationships for purposes of training, research, or publication are confined to content that are disguised to ensure the anonymity of the individuals involved.

 

e. AGREEMENT FOR IDENTIFICATION. Rehabilitation counselors identify clients, students, or research participants in a presentation or publication only when it has been reviewed by those clients, students, or research participants and they have agreed to its presentation or publication.

 

SECTION J: TECHNOLOGY AND DISTANCE COUNSELING

 

J.1. BEHAVIOR AND IDENTIFICATION

 

a. APPLICATION AND COMPETENCE. Rehabilitation counselors are held to the same level of expected behavior and competence as defined by the Code regardless of the technology used (e.g., cellular phones, email, facsimile, video, audio, audio-visual) or its application (e.g., assessment, research, data storage).

 

b. PROBLEMATIC USE OF THE INTERNET. Rehabilitation counselors are aware of behavioral differences with the use of the Internet, and/or methods of electronic communication, and how these may impact the counseling process.

 

c. POTENTIAL MISUNDERSTANDINGS. Rehabilitation counselors educate clients on how to prevent and address potential misunderstandings arising from the lack of visual cues and voice intonations when communicating electronically.

 

J.2. ACCESSIBILITY 

 

a. DETERMINING CLIENT CAPABILITIES. When providing technology-assisted services, rehabilitation counselors determine that clients are functionally and linguistically capable of using the application and that the technology is appropriate for the needs of clients. Rehabilitation counselors verify that clients understand the purpose and operation of technology applications and follow-up with clients to correct possible misconceptions, discover appropriate use, and assess subsequent steps.

 

b. ACCESSING TECHNOLOGY. Based on functional, linguistic, or cultural needs of clients, rehabilitation counselors guide clients in obtaining reasonable access to pertinent applications when providing technology-assisted services.

 

J.3. CONFIDENTIALITY, INFORMED CONSENT, AND SECURITY

 

a. CONFIDENTIALITY AND INFORMED CONSENT. Rehabilitation counselors ensure that clients are provided sufficient information to adequately address and explain the limits of: (1) technology used in the counseling process in general; (2) ensuring and maintaining complete confidentiality of client information transmitted through electronic means; (3) a colleague, supervisor, and an employee, such as an Information Technology (IT) administrator or paraprofessional staff, who might have authorized or unauthorized access to electronic transmissions; (4) an authorized or unauthorized user including a family member and fellow employee who has access to any technology the client may use in the counseling process; (5) pertinent legal rights and limitations governing the practice of a profession over jurisdictional boundaries; (6) record maintenance and retention policies; (7) technology failure, unavailability, or crisis contact procedures; and, (8) protecting client information during the counseling process and at the termination of services.

 

b. TRANSMITTING CONFIDENTIAL INFORMATION. Rehabilitation counselors take precautions to ensure the confidentiality of information transmitted through the use of computers, email, facsimile machines, telephones, voicemail, answering machines, and other technology.

 

c. SECURITY. Rehabilitation counselors: (1) use encrypted and/or password-protected Internet sites and/or email communications to help ensure confidentiality when possible and take other reasonable precautions to ensure the confidentiality of information transmitted through the use of computers, email, facsimiles, telephones, voicemail, answering machines, or other technology; (2) notify clients of the inability to use encryption or password protection, the hazards of not using these security measures; and, (3) limit transmissions to general communications that are not specific to clients, and/or use non-descript identifiers.

 

d. IMPOSTERS. In situations where it is difficult to verify the identity of rehabilitation counselors, clients, their guardians, and/or team members, rehabilitation counselors: (1) address imposter concerns, such as using code words, numbers, graphics, or other non-descript identifiers; and (2) establish methods for verifying identities.

 

J.4. TECHNOLOGY-ASSISTED ASSESSMENT

 

Rehabilitation counselors using technology-assisted test interpretations abide by the ethical standards for the use of such assessments regardless of administration, scoring, interpretation, or reporting method and ensure that persons under their supervision are aware of these standards.

 

J.5. CONSULTATION GROUPS

 

When participating in electronic professional consultation or consultation groups (e.g., social networks, listservs, blogs, online courses, supervision, interdisciplinary teams), rehabilitation counselors: (1) establish and/or adhere to the group’s norms promoting behavior that is consistent with ethical standards, and (2) limit disclosure of confidential information.

 

J.6. RECORDS, DATA STORAGE, AND DISPOSAL

 

a. RECORDS MANAGEMENT. Rehabilitation counselors are aware that electronic messages are considered to be part of the records of clients. Since electronic records are preserved, rehabilitation counselors inform clients of the retention method and period, of who has access to the records, and how the records are destroyed.

 

b. PERMISSION TO RECORD. Rehabilitation counselors obtain permission from clients prior to recording sessions through electronic or other means.

 

c. PERMISSION TO OBSERVE. Rehabilitation counselors obtain permission from clients prior to observing counseling sessions, reviewing session transcripts, and/or listening to or viewing recordings of sessions with supervisors, faculty, peers, or others within the training environment.

 

J.7. LEGAL

 

a. ETHICAL/LEGAL REVIEW. Rehabilitation counselors review pertinent legal and ethical codes for possible violations emanating from the practice of distance counseling and/or supervision.

 

b. LAWS AND STATUTES. Rehabilitation counselors ensure that the use of technology does not violate the laws of any local, regional, national, or international entity, observe all relevant statutes, and seek business, legal, and technical assistance when using technology in such a manner.

 

J.8. ADVERTISING

 

a. ONLINE PRESENCE. Rehabilitation counselors maintaining sites on the Internet do so based on the advertising, accessibility, and cultural provisions of the Code. The Internet site is regularly maintained and includes avenues for communication with rehabilitation counselors.

 

b. VERACITY OF ELECTRONIC INFORMATION. Rehabilitation counselors assist clients in determining the validity and reliability of information found on the Internet and/or other technology applications.

 

J.9. RESEARCH AND PUBLICATION

 

a. INFORMED CONSENT. Rehabilitation counselors are aware of the limits of technology-based research with regards to privacy, confidentiality, participant identities, venues used, accuracy, and/or dissemination. They inform participants of those limitations whenever possible, and make provisions to safeguard the collection, dissemination, and storage of data collected.

 

b. INTELLECTUAL PROPERTY. When rehabilitation counselors possess intellectual property of people or entities (e.g., audio, visual, or written historical or electronic media), they take reasonable precautions to protect the technological dissemination of that information through disclosure, informed consent, password protection, encryption, copyright, or other security/intellectual property protection means.

 

J.10. REHABILITATION COUNSELOR UNAVAILABILITY

 

a. TECHNOLOGICAL FAILURE. Rehabilitation counselors explain to clients the possibility of technology failure and provide an alternative means of communication.

 

b. UNAVAILABILITY. Rehabilitation counselors provide clients with instructions for contacting them when they are unavailable through technological means.

 

c. CRISIS CONTACT. Rehabilitation counselors provide referral information for at least one agency or rehabilitation counselor-on-call for purposes of crisis intervention for clients within their geographical region.

 

J.11. DISTANCE COUNSELING CREDENTIAL DISCLOSURE

 

Rehabilitation counselors practicing through Internet sites provide information to clients regarding applicable certification boards and/or licensure bodies to facilitate client rights and protection and to address ethical concerns.

 

J.12. DISTANCE COUNSELING RELATIONSHIPS

 

a. BENEFITS AND LIMITATIONS. Rehabilitation counselors inform clients of the benefits and limitations of using technology applications in the counseling process and in business procedures. Such technologies include, but are not limited to, computer hardware and/or software, telephones, the Internet and other audio and/or video communication, assessment, research, or data storage devices or media.

 

b. INAPPROPRIATE APPLICATIONS. When technology-assisted distance counseling services are deemed inappropriate by rehabilitation counselors or clients, rehabilitation counselors pursue services face-to-face or by other means.

 

c. BOUNDARIES. Rehabilitation counselors discuss and establish boundaries with clients, family members, service providers, and/or team members regarding the appropriate use and/or application of technology and the limits of its use within the counseling relationship.

 

J.13. DISTANCE COUNSELING SECURITY AND BUSINESS PRACTICES

 

a. SELF-DESCRIPTION. Rehabilitation counselors practicing through Internet sites provide information about themselves (e.g., ethnicity, gender) as would be available if the counseling were to take place face-to-face.

 

b. INTERNET SITES. Rehabilitation counselors practicing through Internet sites: (1) obtain the written consent of legal guardians or other authorized legal representatives prior to rendering services in the event clients are minor children, adults who are legally incompetent, or adults incapable of giving informed consent; and (2) strive to provide translation and interpretation capabilities for clients who have a different primary language while also addressing the imperfect nature of such translations or interpretations.

 

c. BUSINESS PRACTICES. As part of the process of establishing informed consent, rehabilitation counselors: (1) discuss time zone differences, local customs, and cultural or language differences that might impact service delivery; and (2) educate clients when technology-assisted distance counseling services are not covered by insurance.

 

J.14. DISTANCE GROUP COUNSELING

 

When participating in distance group counseling, rehabilitation counselors: (1) establish and/or adhere to the group’s norms promoting behavior that is consistent with ethical standards; and (2) limit disclosure of confidential information.

 

J.15. TEACHING, SUPERVISION, AND TRAINING AT A DISTANCE

 

Rehabilitation counselors, educators, supervisors, or trainers working with trainees or supervisees at a distance, disclose to trainees or supervisees the limits of technology in conducting distance teaching, supervision, and training.

 

SECTION K: BUSINESS

 

PRACTICES K.1. ADVERTISING AND SOLICITING CLIENTS

 

a. ACCURATE ADVERTISING. When advertising or otherwise representing their services to the public, rehabilitation counselors identify their credentials in an accurate manner that is not false, misleading, deceptive, or fraudulent.

 

b. TESTIMONIALS. Rehabilitation counselors who use testimonials do not solicit them from current clients or former clients or any other persons who may be vulnerable to undue influence.

 

c. STATEMENTS BY OTHERS. Rehabilitation counselors make reasonable efforts to ensure that statements made by others about them or the profession are accurate. d. RECRUITING THROUGH EMPLOYMENT. Rehabilitation counselors do not use their places of employment or institutional affiliations to recruit or gain clients, supervisees, or consultees for their private practice.

 

e. PRODUCTS AND TRAINING ADVERTISEMENTS. Rehabilitation counselors who develop products related to their profession or conduct workshops or training events ensure that the advertisements concerning these products or events are accurate and disclose adequate information for clients to make informed choices.

 

f. PROMOTING TO THOSE SERVED. Rehabilitation counselors do not use counseling, teaching, training, or supervisory relationships to promote their products or training events in a manner that is deceptive or would exert undue influence on individuals who may be vulnerable. Rehabilitation counselor educators may adopt textbooks they have authored for appropriate instructional purposes.

 

K.2. CLIENT RECORDS

 

a. APPROPRIATE DOCUMENTATION. Rehabilitation counselors establish and maintain documentation consistent with agency policy that accurately, sufficiently, and in a timely manner reflects the services provided and that identifies who provided the services. If case notes need to be altered, it is done in a manner that preserves the original notes and is accompanied by the date of change, information that identifies who made the change, and the rationale for the change.

 

b. PRIVACY. Documentation generated by rehabilitation counselors protects the privacy of clients to the extent that it is possible and includes only relevant or appropriate counseling information.

 

c. RECORDS MAINTENANCE. Rehabilitation counselors maintain records necessary for rendering professional services to clients and as required by applicable laws, regulations, or agency/institution procedures. Subsequent to file closure, records are maintained for the number of years consistent with jurisdictional requirements or for longer periods during which maintenance of such records is necessary or helpful to provide reasonably anticipated future services to clients. After that time, records are destroyed in a manner assuring preservation of confidentiality.

 

K.3. FEES, BARTERING, AND BILLING

 

a. ESTABLISHING FEES. In establishing fees for professional counseling services, rehabilitation counselors consider the financial status and locality of clients. In the event that the established fee structure is inappropriate for clients, rehabilitation counselors assist clients in attempting to find comparable services of acceptable cost.

 

b. ADVANCE UNDERSTANDING OF FEES. Prior to entering the counseling relationship, rehabilitation counselors clearly explain to clients all financial arrangements related to professional services. If rehabilitation counselors intend to use collection agencies or take legal measures to collect fees from clients who do not pay for services as agreed upon, they first inform clients of intended actions and offer clients the opportunity to make payment.

 

c. REFERRAL FEES. Rehabilitation counselors do not give or receive commissions, rebates, or any other form of remuneration when referring clients for professional services.

 

d. WITHHOLDING RECORDS FOR NONPAYMENT. Rehabilitation counselors may not withhold records under their control that are requested and needed for the emergency treatment of clients solely because payment has not been received.

 

e. BARTERING DISCOURAGED. Rehabilitation counselors ordinarily refrain from accepting goods or services from clients in return for rehabilitation counseling services because such arrangements create inherent potential for conflicts, exploitation, and distortion of the professional relationship. Rehabilitation counselors participate in bartering only if the relationship is not exploitative or harmful to clients, if clients request it, if a clear written contract is established, and if such arrangements are an accepted practice in the community or culture of clients. f. BILLING RECORDS. Rehabilitation counselors establish and maintain billing records that are confidential and accurately reflect the services provided, the time engaged in the activity, and that clearly identify who provided the services.

 

K.4. TERMINATION

 

Rehabilitation counselors in fee-for-service relationships may terminate services with clients due to nonpayment of fees under the following conditions: (1) clients were informed of payment responsibilities and the effects of nonpayment or the termination of payment by third parties; and (2) clients do not pose an imminent danger to self or others. As appropriate, rehabilitation counselors refer clients to other qualified professionals to address issues unresolved at the time of termination.

 

SECTION L: RESOLVING ETHICAL ISSUES

 

L.1. KNOWLEDGE OF CRCC STANDARDS

 

Rehabilitation counselors are responsible for reading, understanding, and following the Code, and seeking clarification of any standard that is not understood. Lack of knowledge or misunderstanding of an ethical responsibility is not a defense against a charge of unethical conduct.

 

L.2. APPLICATION OF STANDARDS

 

a. DECISION-MAKING MODELS AND SKILLS. Rehabilitation counselors must be prepared to recognize underlying ethical principles and conflicts among competing interests, as well as to apply appropriate decision-making models and skills to resolve dilemmas and act ethically.

 

b. ADDRESSING UNETHICAL BEHAVIOR. Rehabilitation counselors expect colleagues to adhere to the Code. When rehabilitation counselors possess knowledge that raises doubt as to whether another rehabilitation counselor is acting in an ethical manner, they take appropriate action.

 

c. CONFLICTS BETWEEN ETHICS AND LAWS. Rehabilitation counselors obey the laws and statutes of the legal jurisdiction in which they practice unless there is a conflict with the Code. If ethical responsibilities conflict with laws, regulations, or other governing legal authorities, rehabilitation counselors make known their commitment to the Code and take steps to resolve conflicts. If conflicts cannot be resolved by such means, rehabilitation counselors may adhere to the requirements of law, regulations, or other governing legal authorities.

 

d. KNOWLEDGE OF RELATED CODES OF ETHICS. Rehabilitation counselors understand applicable ethics codes from other professional organizations or from certification and licensure bodies of which they are members. Rehabilitation counselors are aware that the Code forms the basis for CRCC disciplinary actions, and understand that if there is a discrepancy between codes they are held to the CRCC standards.

 

e. CONSULTATION. When uncertain as to whether particular situations or courses of action may be in violation of the Code, rehabilitation counselors consult with other professionals who are knowledgeable about ethics, with supervisors, colleagues, and/or with appropriate authorities, such as CRCC, licensure boards, or legal counsel.

 

f. ORGANIZATION CONFLICTS. If the demands of organizations with which rehabilitation counselors are affiliated pose a conflict with the Code, rehabilitation counselors specify the nature of such conflicts and express to their supervisors or other responsible officials their commitment to the Code. When possible, rehabilitation counselors work toward change within organizations to allow full adherence to the Code. In doing so, they address any confidentiality issues.

 

L.3. SUSPECTED VIOLATIONS

 

a. INFORMAL RESOLUTION. When rehabilitation counselors have reason to believe that another rehabilitation counselor is violating or has violated an ethical standard, they attempt first to resolve the issue informally with the other rehabilitation counselor if feasible, provided such action does not violate confidentiality rights that may be involved.

 

b. REPORTING ETHICAL VIOLATIONS. When an informal resolution is not appropriate or feasible, or if an apparent violation has substantially harmed or is likely to substantially harm persons or organizations and is not appropriate for informal resolution or is not resolved properly, rehabilitation counselors take further action appropriate to the situation. Such action might include referral to local or national committees on professional ethics, voluntary national certification bodies, licensure boards, or to the appropriate institutional authorities. This standard does not apply when an intervention would violate confidentiality rights (e.g., when clients refuse to allow information or statements to be shared) or when rehabilitation counselors have been retained to review the work of another rehabilitation counselor whose professional conduct is in question by a regulatory agency.

 

c. UNWARRANTED COMPLAINTS. Rehabilitation counselors do not initiate, participate in, or encourage the filing of ethics complaints that are made with reckless disregard or willful ignorance of facts that would disprove the allegation, or are intended to harm rehabilitation counselors rather than to protect clients or the public.

 

L.4. COOPERATION WITH ETHICS COMMITTEES

 

Rehabilitation counselors assist in the process of enforcing the Code. Rehabilitation counselors cooperate with requests, proceedings, and requirements of the CRCC Ethics Committee or ethics committees of other duly constituted associations or boards having jurisdiction over those charged with a violation. Rehabilitation counselors are familiar with the Guidelines and Procedures for Processing Complaints and use it as a reference for assisting in the enforcement of the Code.

 

L.5. UNFAIR DISCRIMINATION AGAINST COMPLAINANTS AND RESPONDENTS

 

Rehabilitation counselors do not deny individuals services, employment, advancement, admission to academic or other programs, tenure, or promotions based solely upon their having made or their being the subject of an ethics complaint. This does not preclude taking action based upon the outcome of such proceedings when rehabilitation counselors are found to be in violation of ethical standards.

 

NOTE: Rehabilitation counselors who violate the Code are subject to disciplinary action. Since the use of the Certified Rehabilitation Counselor (CRC®) and Canadian Certified Rehabilitation Counselor (CCRC®) designations are a privilege granted by the Commission on Rehabilitation Counselor Certification (CRCC®), CRCC reserves unto itself the power to suspend or to revoke the privilege or to approve other penalties for a violation. Disciplinary penalties are imposed as warranted by the severity of the offense and its attendant circumstances. All disciplinary actions are undertaken in accordance with published procedures and penalties designed to assure the proper enforcement of the Code within the framework of due process and equal protection under the law.

 

 

GLOSSARY OF TERMS 

 

ADVOCACY: promoting the well-being of individuals and groups and the rehabilitation counseling profession within systems and organizations. Advocacy seeks fair treatment and full physical and programmatic access for clients, and the removal of any barriers or obstacles that inhibit access, growth, and development. 

 

ASSENT: agreement with a proposed course of action in relation to counseling services or plans when a person is otherwise not capable or competent to give formal or legal consent (e.g., informed consent). 

 

AUTONOMY: the right of clients to be self-governing within their social and cultural framework.  The right of clients to make decisions on their own behalf. 

 

BENEFICENCE: to do good to others; to promote the well-being of clients. 

 

CLIENTS: individuals with, or directly affected by, a disability, functional limitation(s), or medical condition and who receive services from rehabilitation counselors. At times, rehabilitation counseling services may be provided to individuals other than those with a disability. 

 

CONFIDENTIALITY: a promise or contract to respect the privacy of clients by not disclosing anything revealed to rehabilitation counselors except under agreed-upon conditions.  

 

CONFLICT OF INTEREST: a situation in which financial or other personal considerations have the potential to compromise or bias professional judgment and objectivity. 

 

CONSULTATION: when one professional seeks the advice of another professional. It is a process in which consultants assist consultees to resolve a specific issue. 

 

CONTINGENCY FEE: any fee for services provided where the fee is payable only if there is a favorable result (defined as part of the fee contract). 

 

COURT ORDER: a directive from a tribunal or court directing certain actions or conduct which rehabilitation counselors are legally required to follow. 

 

CULTURAL COMPETENCE: encompasses beliefs, attitudes, knowledge, and skills that result in an ability to understand, communicate with, and effectively interact with people across cultures. 

 

CULTURALLY DIVERSE: age, color, race, national origin, culture, disability, ethnicity, gender, gender identity, religion/spirituality, sexual orientation, marital status/partnership, language preference, socioeconomic status, or any basis proscribed by law. 

 

DISPARAGING REMARKS: public statements that degrade, belittle, minimize, defame, demean, humiliate, or scorn individuals or groups of individuals. These differ from critiques, which are intended to provide comparisons of thoughts, ideas, methods, work products, or conclusions. If statements criticize the individual as a person, their character or intellect, or are based on incorrect information or fictional claims, these are considered disparaging remarks. 

 

DISTANCE COUNSELING OR EDUCATION: any rehabilitation counseling or education that occurs through electronic auditory and/or electronic visual means.

 

EVALUEES: in a forensic setting, the people who are the subject of the objective and unbiased evaluations. 

 

EXPLOIT: to take advantage of a power differential in a relationship. 

 

FIDELITY: to be faithful; to keep promises and honor the trust placed in rehabilitation counselors. 

  

FORENSIC: to provide expertise involving the application of professional knowledge and the use of scientific, technical, or other specialized knowledge for the resolution of legal or administrative issues, proceedings, or decisions. 

 

FUNCTIONAL: relating to cognitive, sensory, environmental, intellectual, mental, behavioral, emotional, and/or physical capabilities.

 

IMMEDIATE FAMILY MEMBERS: a child, spouse, parent, grandparent, or sibling.  Immediate family members are also defined in a manner that is sensitive to cultural differences. 

 

INFORMED CONSENT: a process of communication between rehabilitation counselors and clients that results in the authorization or decision by clients based upon an appreciation and understanding of the facts and implications of an action. 

 

JUSTICE: to be fair in the treatment of all clients; to provide appropriate services to all. 

 

NONMALEFICENCE: to do no harm to others. 

 

PRIVACY: the right of clients to keep the counseling relationship to oneself (e.g., as a secret).  Privacy is more inclusive than confidentiality, which addresses communications in the counseling context. 

 

PRIVILEGED COMMUNICATION: established by statute and protects clients from having confidential communications with rehabilitation counselors disclosed in legal proceedings without their permission. 

 

PROFESSIONAL DISCLOSURE: the process of communicating pertinent information to clients in order for clients to engage in informed consent. 

 

REGIONAL: state, provincial, or other intermediate level. 

 

RETAINER: a contract between an agency or individual(s) and rehabilitation counselors when the agency/individual(s) pays to reserve the time of rehabilitation counselors. 

 

SEXUAL HARASSMENT: sexual solicitation, physical advances, or verbal or nonverbal conduct that is sexual in nature, that occurs in connection with professional activities or roles, and (1) rehabilitation counselors know or are told the act is unwelcome, offensive, or creates a hostile workplace or learning environment; and (2) is sufficiently severe or intense to be perceived as harassment to a reasonable person in the context in which the behavior occurred. Sexual harassment may consist of a single intense or severe act considered harassment by a reasonable person, or multiple persistent or pervasive acts. 

 

STUDENTS: persons actively enrolled in an academic program. 

 

TEAMS: groups of individuals who participate in a structured or agreed-upon form of collaboration. 

 

TRAINEES: rehabilitation counselors-in-training, students, or participants in in-service or continuing education. 

 

VERACITY: to be honest; truthfulness

PREAMBLE

Introduction

Every discipline that has relatively autonomous control over its entry requirements, training, development of knowledge, standards, methods, and practices does so only within the context of a contract with the society in which it functions. This social contract is based on attitudes of mutual respect and trust, with society granting support for the autonomy of a discipline in exchange for a commitment by the discipline to do everything it can to assure that its members act ethically in conducting the affairs of the discipline within society; in particular, a commitment to try to assure that each member will place the welfare of the society and individual members of that society above the welfare of the discipline and its own members.

 

The Canadian Psychological Association recognizes its responsibility to help assure ethical behaviour and attitudes on the part of psychologists. Attempts to assure ethical behaviour and attitudes include articulating ethical principles, values and standards; promoting those principles, values, and standards through education, peer modelling, and consultation; developing and implementing methods to help psychologists monitor the ethics of their behaviour and attitudes; adjudicating complaints of unethical behaviour; and, taking corrective action when warranted.

This Code articulates ethical principles, values, and standards to guide all members of the Canadian Psychological Association, whether scientists, practitioners, or scientist practitioners, or whether acting in a research, direct service, teaching, student, administrative, supervisory, consultative, peer review, editorial, expert witness, social policy, or any other role related to the discipline of psychology.

 

Structure and Derivation of Code

Structure. Four ethical principles, to be considered and balanced in ethical decision making, are presented. Each principle is followed by a statement of those values which are included in and give definition to the principle. Each values statement is followed by a list of ethical standards which illustrate the application of the specific principle and values to the activities of psychologists. The standards range from minimal behavioural expectations (e.g., Standards I.14, II.34, III.1, IV.24) to more idealized, but achievable, attitudinal and behavioural expectations (e.g., Standards I.16, II.10, III.10, IV.5). In the margin, to the left of the standards, key words are placed to guide the reader through the standards and to illustrate the relationship of the specific standards to the values statement.

Derivation. The four principles represent those ethical principles used most consistently by Canadian psychologists to resolve hypothetical ethical dilemmas sent to them by the CPA Committee on Ethics during the initial development of the Code. In addition to the responses provided by Canadian psychologists, the values statements and ethical standards have been derived from interdisciplinary and international ethics codes, provincial and specialty codes of conduct, and ethics literature.

 

When Principles Conflict

All four principles are to be taken into account and balanced in ethical decision making. However, there are circumstances in which ethical principles will conflict and it will not be possible to give each principle equal weight.

The complexity of ethical conflicts precludes a firm ordering of the principles. However, the four principles have been ordered according to the weight each generally should be given when they conflict, namely:

• Principle I: Respect for the Dignity of Persons. This principle, with its emphasis on moral rights, generally should be given the highest weight, except in circumstances in which there is a clear and imminent danger to the physical safety of any individual.
• Principle II: Responsible Caring. This principle generally should be given the second highest weight. Responsible caring requires competence and should be carried out only in ways that respect the dignity of persons.
• Principle III: Integrity in Relationships. This principle generally should be given the third highest weight. Psychologists are expected to demonstrate the highest integrity in all of their relationships. However, in rare circumstances, values such as openness and straightforwardness may need to be subordinated to the values contained in the Principles of Respect for the Dignity of Persons and Responsible Caring.
• Principle IV: Responsibility to Society. This principle generally should be given the lowest weight of the four principles when it conflicts with one or more of them. Although it is necessary and important to consider responsibility to society in every ethical decision, adherence to this principle must be subject to and guided by Respect for the Dignity of Persons, Responsible Caring, and Integrity in Relationships. When individual welfare appears to conflict with benefits to society, it is often possible to find ways of working for the benefit of society which do not violate respect and responsible caring for individuals. However, if this is not possible, then greater weight must be given to individual welfare.

Even with the above ordering of the principles, psychologists will be faced with ethical dilemmas which are difficult to resolve. In these circumstances, psychologists are expected to engage in an ethical decision-making process that is explicit enough to bear public scrutiny. In some cases, resolution may be a matter of personal conscience. However, decisions of personal conscience are also expected to be the result of a decision-making process which is based on a reasonably coherent set of ethical principles and which can bear public scrutiny. If the psychologist can demonstrate that every reasonable effort was made to apply the ethical principles of this Code and resolution of the conflict has had to depend on the personal conscience of the psychologist, such a psychologist would be deemed to have followed this Code.

The Ethical Decision-Making Process

The ethical decision-making process may occur very rapidly, leading to an easy resolution of an ethical issue. This is particularly true of issues for which clear-cut guidelines or standards exist and for which there is no conflict between principles. On the other hand, some ethical issues (particularly those in which ethical principles conflict) are not easily resolved and might require time-consuming deliberation.

 

The following basic steps typify approaches to ethical decision making:

1. Identification of ethically relevant issues and practices.
2. Development of alternative courses of action.
3. Analysis of likely short-term, ongoing, and long-term risks and benefits of each course of action on the individual(s)/group(s) involved or likely to be affected (e.g., client, client's family or employees, employing institution, students, research participants, colleagues, the discipline, society, self).
4. Choice of course of action after conscientious application of existing principles, values, and standards.
5. Action, with a commitment to assume responsibility for the consequences of the action.
6. Evaluation of the results of the course of action.
7. Assumption of responsibility for consequences of action, including correction of negative consequences, if any, or re- engaging in the decision-making process if the ethical issue is not resolved.

Psychologists engaged in time-consuming deliberation are encouraged and expected to consult with colleagues and/or advisory bodies when such persons can add knowledge and/or objectivity to the decision- making process. Although the decision for action remains with the individual psychologist, the seeking and consideration of such assistance reflects an ethical approach to ethical decision making.

Uses of the Code

This Code is intended to guide psychologists in their everyday conduct, thinking and planning, and in the resolution of ethical dilemmas; that is, it advocates the practice of both proactive and reactive ethics.

 

The Code is also intended to serve as an umbrella document for the development of codes of conduct or other more specific codes. For example, the Code could be used as an ethical framework for the identification of behaviours which would be considered enforceable in a certain jurisdiction, the violation of which would constitute misconduct; and/or, certain jurisdictions could identify those standards in the Code that would be considered of a more serious nature and, therefore, reportable and subject to possible discipline. Also, the principles and values could be used to help specialty areas develop standards which are specific to those areas. Some work in this direction has already occurred within CPA (e.g., use of animals in research, therapy and counselling with women, practice guidelines for providers of psychological services). The principles and values incorporated into this Code, insofar as they come to be reflected in other documents guiding the behaviour of psychologists, will reduce inconsistency and conflict between documents.

 

A third use of the Code is to assist in the adjudication of complaints against psychologists. A body charged with this responsibility is required to investigate allegations, judge whether unacceptable behaviour has occurred, and determine what corrective action should be taken. In determining corrective action, one of the judgements the adjudicating body needs to make is whether an individual conscientiously engaged in an ethical decision-making process and acted in good faith, or whether there was a negligent or wilful disregard of ethical principles. The articulation of the ethical decision-making process contained in this Code provides guidance for making such judgements.

 

Responsibility of the individual psychologist

Responsibility for ethical action by psychologists depends foremost on the integrity of each individual psychologist; that is, on each psychologist's commitment to behave as ethically as possible in every situation. This commitment is essential to the fulfilment of any discipline's contract with society. Acceptance to membership in the Canadian Psychological Association, a scientific and professional association of psychologists, commits members:

1. To adhere to the ethical Code adopted by the Association.
2. To assess and discuss ethical issues and practices with colleagues on a regular basis.
3. To bring concerns about possible unethical actions by a psychologist directly to the psychologist, when appropriate, and to attempt to reach an agreement on the issue and, if needed, on the appropriate action to be taken.
4. To consider seriously others' concerns about one's own possibly unethical actions and attempt to reach an agreement on the issue and, if needed, take appropriate action.
5. To cooperate with duly constituted committees of the Association which are concerned with ethics and ethical conduct.
6. To bring to the attention of the Association ethical issues which require clarification or the development of new guidelines or standards.

Relationship of Code to personal behaviour

This Code is intended to guide and regulate only those activities a psychologist engages in by virtue of being a psychologist. There is no intention to guide or regulate a psychologist's activities outside of this context. Personal behaviour becomes a concern of the discipline only if it is of such a nature that it undermines public trust in the discipline as a whole or if it raises questions about the psychologist's ability to carry out appropriately his/her responsibilities as a psychologist.

Relationship of Code to provincial regulatory bodies

In exercising its responsibility to articulate ethical principles, values, and standards for those who wish to become and remain members in good standing, the Canadian Psychological Association recognizes the multiple membership that some psychologists have (both regulatory and voluntary). The Code has attempted to encompass and incorporate those ethical principles most prevalent in the discipline as a whole, thereby minimizing the possibility of variance with provincial/territorial regulations and guidelines. Psychologists are expected to respect the requirements of their provincial/territorial regulatory bodies. Such requirements may define particular behaviours which constitute misconduct, are reportable to the regulatory body, and/or which are subject to discipline.

Definition of Terms

For the purposes of this Code:

a) Psychologist means any person who is a Fellow, Member, Student Affiliate or Foreign Affiliate of the Canadian Psychological Association, or a member of any psychology voluntary association or regulatory body adopting this Code. (Readers are reminded that provincial/territorial jurisdictions may restrict the legal use of the term psychologist in their jurisdiction and that such restrictions are to be honoured.)

b) Client means a person, family, or group (including an organization or community) receiving service from a psychologist.

c) Clients, research participants, students and any other persons with whom psychologists come in contact in the course of their work, are independent if they can independently contract or give informed consent. Such persons are partially dependent if the decision to contract or give informed consent is shared between two or more parties (e.g., parents and school boards, workers and Worker Compensation Boards, adult members of a family). Such persons are considered to be fully dependent if they have little or no choice about whether or not to receive service or participate in an activity (e.g., patients who have been involuntarily committed to a psychiatric facility, or very young children involved in a research project).

d) Others means any individual or group with whom psychologists come in contact in the course of their work. It may include, but is not limited to: research participants; clients seeking help with personal, family, organizational, industrial or community issues; students; supervisees; employees; colleagues; employers; third party payers; and, members of the general public.

e) Legal or civil rights means those rights protected under laws and statutes recognized by the province in which the psychologist is working.

f) Moral rights means fundamental and inalienable human rights which may or may not be fully protected by existing laws and statutes. Of particular significance to psychologists, for example, are rights to: equal justice; fairness and due process; and, developmentally appropriate privacy, self-determination, and personal liberty. Protection of some aspects of these rights may involve practices which are not contained or controlled within current laws and statutes. Moral rights are not limited to those mentioned in this definition.

g) Unjust discrimination or unjustly discriminatory means activities which are prejudicial or promote prejudice to persons because of their culture, nationality, ethnicity, colour, race, religion, gender, marital status, sexual orientation, physical or mental abilities, age, socio-economic status, and/or any other preference or personal characteristic, condition, or status.

h) Sexual harassment includes either or both of the following: (i) The use of power or authority in an attempt to coerce another person to engage in or tolerate sexual activity. Such uses include explicit or implicit threats of reprisal for noncompliance or promises of reward for compliance. (ii) Engaging in deliberate and/or repeated unsolicited sexually oriented comments, anecdotes, gestures, or touching, if such behaviours: are offensive and unwelcome; create an offensive, hostile or intimidating working environment; or, can be expected to be harmful to the recipient.(1)

i) The discipline of psychology refers to the scientific and applied methods and knowledge of psychology, and to the structures and procedures used by its members for conducting their work in relationship to society, to members of the public, to students, and to each other.

Review Schedule

In order to maintain the relevance and responsiveness of this Code, it will be reviewed by the CPA Board of Directors in three years, and revised as needed. You are invited to forward comments and suggestions, at any time, to the CPA office. In addition to psychologists, this invitation is extended to all readers, including members of other disciplines and the public. principle i: respect for the dignity of persons.

Values Statement

In the course of their work as scientists,practitioners, or scientist-practitioners, psychologists come into contact with many different individuals and groups, including: research participants; clients seeking help with personal, family, organizational, industrial or community issues; students; supervisees; employees; colleagues; employers; third party payers; and, the general public.

 

In these contacts, psychologists accept as fundamental the principle of respect for the dignity of persons; that is, the belief that each person should be treated primarily as a person or an end in him/herself, not as an object or a means to an end. In so doing, psychologists acknowledge that all persons have a right to have their innate worth as human beings appreciated and that this worth is not enhanced or reduced by their culture, nationality, ethnicity, colour, race, religion, gender, marital status, sexual orientation, physical or mental abilities, age, socio-economic status, and/or any other preference or personal characteristic, condition, or status.

 

Although psychologists have a responsibility to respect the dignity of all persons with whom they come in contact in their role as psychologists, the nature of their contract with society demands that their greatest responsibility be to those persons directly receiving or involved in the psychologist's activities and, therefore, normally in a more vulnerable position (e.g., research participants, clients, students). This responsibility is almost always greater than their responsibility to those indirectly involved (e.g., employers, third party payers, the general public).

 

Adherence to the concept of moral rights is an essential component of respect for the dignity of persons. Rights to privacy, self- determination, personal liberty, and natural justice are of particular importance to psychologists, and they have a responsibility to protect and promote these rights in all of their activities. As such, psychologists have a responsibility to develop and follow procedures for informed consent, confidentiality, fair treatment, and due process that are consistent with those rights.

 

As individual rights exist within the context of the rights of others and of responsible caring (see Principle II), there may be circumstances in which the possibility of serious detrimental consequences to themselves or others, a diminished capacity to be autonomous, or a court order, might disallow some aspects of the rights to privacy, self-determination, and personal liberty. Indeed, such circumstances might be serious enough to create a duty to warn others (see Standards I.40 and II.36). However, psychologists still have a responsibility to respect the rights of the person(s) involved to the greatest extent possible under the circumstances, and to do what is necessary and reasonable to reduce the need for future disallowances.

 

In addition, psychologists recognize that as individual, family, group, or community vulnerabilities increase and/or as the power of persons to control their environment or their lives decreases, psychologists have an increasing responsibility to seek ethical advice and to establish safeguards to protect the rights of the persons involved. For this reason, psychologists consider it their responsibility to increase safeguards to protect and promote the rights of persons involved in their activities proportionate to the degree of dependency and the lack of voluntary initiation. For example, this would mean that there would be more safeguards to protect and promote the rights of fully dependent persons than partially dependent persons, and more safeguards for partially- dependent than independent persons.

 

Respect for the dignity of persons also includes the concept of equal justice. With respect to psychologists, this concept implies that all persons are entitled to benefit equally from the contributions of psychology and to equal quality in the processes, procedures, and services being conducted by psychologists. Although individual psychologists might specialize and direct their activities to particular populations, psychologists must not exclude persons on a capricious or unjustly discriminatory basis.

 

Principle I: Respect for the Dignity of Persons

Ethical Standards

In adhering to the Principle of Respect for the Dignity of Persons, psychologists would:

General respect

I.1 Demonstrate appropriate respect for the knowledge, insight, experience, and areas of expertise of others.
I.2 Not engage publicly (e.g., in public statements, presentations, research reports, or with clients) in demeaning descriptions of others, including jokes based on culture, nationality, ethnicity, colour, race, religion, gender, etc., or other remarks which reflect adversely on the dignity of others.
I.3 Use language that conveys respect for the dignity of others (e.g., gender-neutral terms) in all written or verbal communication.
I.4 Abstain from all forms of harassment, including sexual harassment.

General rights

I.5 Avoid or refuse to participate in practices disrespectful of the legal, civil, or moral rights of others.
I.6 Refuse to advise, train, or supply information to anyone who, in the psychologist's judgement, will use the knowledge or skills to infringe on human rights.
I.7 Make every reasonable effort to ensure that psychological knowledge is not misused, intentionally or unintentionally, to infringe on human rights.
I.8 Respect the right of recipients of service, research participants, employees, supervisees, students, and others, to safeguard their own dignity.

Non-discrimination

I.9 Not practice, condone, facilitate, or collaborate with any form of unjust discrimination.
I.10 Act to prevent or correct practices that are unjustly discriminatory.

Informed consent

I.11 Seek as full and active participation as possible from others in decisions which affect them.
I.12 Respect and integrate as much as possible the opinions and wishes of others regarding decisions which affect them.
I.13 Obtain informed consent from all independent and partially dependent persons for any psychological services provided to them except in circumstances of urgent need (e.g., suicidal gesture). In such circumstances, psychologists would proceed with the assent of such persons, but fully informed consent would be obtained as soon as possible. (Also see Standard I.22.)
I.14 Obtain informed consent for all research activities which involve obtrusive measures, invasion into the private lives of research participants, risks to the participant, or any attempt to change the behaviour of research participants.
I.15 Establish and use signed consent forms which specify the dimensions of informed consent or which acknowledge that such dimensions have been explained and are understood, if such forms are required by law or if such forms are desired by the psychologist, the person(s) giving consent, or the organization for whom the psychologist works.
I.16 Recognize that informed consent is the result of a process of reaching an agreement to work collaboratively, rather than of simply having a consent form signed.
I.17 Provide, in obtaining informed consent, as much information as a reasonable or prudent person, family, group, or community would want to know before making a decision or consenting to an activity. The psychologist would relay this information in language which the persons understand (including providing translation into another language, if necessary) and would take whatever reasonable steps are necessary to assure that the information was, in fact, understood.
I.18 Assure, in the process of obtaining informed consent, that at least the following points are understood: purpose and nature of the activity; mutual responsibilities; likely benefits and risks; alternatives; the likely consequences of non-action; the option to refuse or withdraw at any time, without prejudice; over what period of time the consent applies; and, how to rescind consent if desired.
I.19 Clarify the nature of multiple relationships to all concerned parties before obtaining consent, if providing services to or conducting research with individuals, families, groups, or communities at the request or for the use of third parties. This would include, but not be limited to: the purpose of the service or research; the use that will be made of information collected; and, the limits on confidentiality. Third parties may include schools, courts, government agencies, insurance companies, police, and special funding bodies.

Freedom of consent

I.20 Take all reasonable steps to ensure that of consent is not given under conditions coercion or undue pressure. (Also see Standard III.31.)
I.21 Not proceed with any research activity, if consent is given under any condition of coercion or undue pressure. (Also see Standard III.31.)
I.22 Take all reasonable steps to confirm or re-establish freedom of consent, if consent for service is given under conditions of duress or conditions of extreme need.
I.23 Respect the right of individuals to discontinue participation or service at any time, and be responsive to non-verbal indications of a desire to discontinue if the individual has difficulty with verbally communicating such a desire (e.g., young children, verbally disabled persons).

Fair treatment/Due process

I.24 Work and act in a spirit of fair treatment to others.
I.25 Help to establish and abide by due process or other natural justice procedures for employment, evaluation, adjudication, editorial, and peer review activities.
I.26 Compensate others justly for the use of their time, energy, and intelligence, unless such compensation is refused in advance.

Vulnerabilities

I.27 Seek an independent and adequate ethical review of human rights issues and protections for any research involving vulnerable groups and/or persons of diminished capacity to give informed consent, before making a decision to proceed.
I.28 Not use persons of diminished capacity to give informed consent in research studies, if the research involved might equally well be carried out with persons who have a fuller capacity to give informed consent.
I.29 Carry out informed consent processes with those persons who are legally responsible or appointed to give informed consent on behalf of individuals who are not competent to consent on their own behalf.
I.30 Seek willing and adequately informed participation from any person of diminished capacity to give informed consent, and proceed without this assent only if the service or research activity is considered to be of direct benefit to that person.
I.31 Be particularly cautious in establishing the freedom of consent of any individual who is in a dependent relationship to the psychologist (e,g., student, employee). This may include, but is not limited to, offering that person an alternative activity to fulfil their educational or employment goals, or offering a range of research studies or experience opportunities from which the person can select.

Privacy

I.32 Explore and collect only that information which is germane to the purpose(s) for which consent has been obtained.
I.33 Take care not to infringe, in research or service activities, on the personally or culturally defined private space of individuals or groups unless clear permission is granted to do so.
I.34 Record only that private information necessary for the provision of continuous, coordinated service, or for the goals of the particular research study being conducted, or which is required by law (see Standards IV.15, and IV.16).
I.35 Respect the right of employees, supervisees, students, or psychologists-in-training to reasonable personal privacy.
I.36 Store, handle, and transfer all records, both written and unwritten (e.g., computer files, video-tapes), in a way that attends to the needs for privacy and security. This would include having adequate plans for records in circumstances of one's own serious illness or death.
I.37 Take all reasonable steps to ensure that records over which they have control remain personally identifiable only as long as is necessary in the interests of those to whom they refer and/or to the research project for which they were collected, or as required by law, and render anonymous or destroy any records under their control that no longer need to be personally identifiable.

Confidentiality

I.38 Be careful not to relay information which they have gained about colleagues, colleagues' clients, students, and members of organizations gained in the process of their activities as psychologists and which the psychologist has reason to believe is considered confidential by those persons, except as required or justified by law (see Standards IV.15 and IV.16).
I.39 Clarify what measures will be taken to protect confidentiality, and what responsibilities family, group, and community members have for the protection of each other's confidentiality, when engaged in services to or research with individuals, families, groups, or communities.
I.40 Share confidential information with others only with the informed consent of those involved, or in a manner that the individuals involved cannot be identified, except as required or justified by law, or in circumstances of actual or possible serious physical harm or death (see Standard II.36).

Extended responsibility

I.41 Encourage others, if appropriate, to respect the dignity of persons and to expect respect for their own dignity.
I.42 Assume overall responsibility for the scientific and professional activities of their assistants, students, supervisees, and employees with regard to Respect for the Dignity of Persons, all of whom, however, incur similar obligations.

 

Principle II: Responsible Caring

Values Statement

A basic ethical expectation of any discipline is that its activities will benefit members of society or, at least, do no harm. Therefore, psychologists demonstrate an active concern for the welfare of any individual, family, group, or community with whom they relate in their role as psychologists. This concern includes both those directly involved and those indirectly involved in their activities. However, as with Principle I, psychologists' greatest responsibility is to protect the welfare of those directly involved in their activities and, therefore, normally in a more vulnerable position (e.g., research participants, clients, students). Their responsibility to those indirectly involved (e,g., employers, third party payers, the general public) is secondary.

As individuals are usually concerned about their own welfare, obtaining informed consent (see Principle I) is one of the best methods for ensuring that their welfare will be protected. However, it is only when informed consent is combined with the responsible caring of the psychologist that there is considerable ethical protection of the welfare of the person(s) involved.

Responsible caring leads psychologists to take care to discern the potential harm and benefits involved, to predict the likelihood of their occurrence, to proceed only if the potential benefits outweigh the potential harms, to develop and use methods that will minimize harms and maximize benefits, and to take responsibility for correcting any harmful effects that have occurred as a result of their activities.

In order to carry out these steps, psychologists recognize the need for competence and self-knowledge. They consider incompetent action to be unethical per se, as it is unlikely to be of benefit and likely to be harmful. They engage only in those activities in which they have competence, and they perform their activities as competently as possible. They acquire, contribute to, and use the existing knowledge most relevant to the best interests of those concerned. They also engage in self-reflection regarding how their own values, attitudes, experiences, and social context (e.g., culture, ethnicity, colour, religion, gender, sexual orientation, physical and mental ability level, age, and socio-economic status) influence their actions, interpretations, choices, and recommendations. This is done with the intent of increasing the probability that their activities will benefit and not harm the individuals, families, groups and communities to whom they relate in their role as psychologists. Psychologists define harm and benefit in terms of both physical and psychological dimensions. They are concerned about such factors as feelings of self-worth, fear, humiliation, interpersonal trust, cynicism, self-knowledge and general knowledge, as well as such factors as physical safety, comfort, pain, and injury. They are concerned about immediate, short-term, and long-term effects.

Responsible caring recognizes and acknowledges (e.g., through obtaining informed consent) the ability of individuals, families, groups, and communities to care for themselves and each other. It does not replace or undermine such ability. However, psychologists recognize that as vulnerabilities increase and/or as power to control one's own life decreases, they have an increasing responsibility to protect the wellbeing of the individual, family, group, or community involved. For this reason, as in Principle I, psychologists consider it their responsibility to increase safeguards proportionate to the degree of dependency and the lack of voluntary initiation on the part of the persons involved. However, for Principle II, the safeguards are for the well-being of persons rather than for the rights of persons.

Psychologists' treatment and use of animals in their research and teaching activities are also a component of responsible caring. Although animals do not have the same rights as persons (e.g., informed consent), they do have the right to be treated humanely and not to be exposed to unnecessary discomfort, pain, or disruption.

Ethical Standards

In adhering to the Principle of Responsible Caring, psychologists would:

General caring

II.1 Protect and promote the welfare of clients, students, research participants, colleagues, and others.
II.2 Avoid doing harm to clients, students, research participants, colleagues, and others.
II.3 Accept responsibility for the consequences of their actions.
II.4 Refuse to advise, train, or supply information to anyone who, in the psychologist's judgement, will use the knowledge or skills to harm others.
II.5 Make every reasonable effort to ensure that psychological knowledge is not misused, intentionally or unintentionally, to harm others.

Competence and self-knowledge

II.6 Offer or carry out (without supervision) only those activities for which they have established their competence to carry them out to the benefit of others.
II.7 Not delegate activities to persons not competent to carry them out to the benefit of others.
II.8 Take immediate steps to obtain consultation or to refer a client to a colleague or other appropriate professional, whichever is more likely to result in providing the client with competent service, if it becomes apparent that a client's problems are beyond their competence.
II.9 Keep themselves up to date with relevant knowledge, research methods, and techniques, through the reading of relevant literature, peer consultation, and continuing education activities, in order that their service or research activities and conclusions will benefit and not harm others.
II.10 Evaluate how their own experiences, attitudes, culture, beliefs, values, social context, individual differences, and stresses influence their interactions with others, and integrate this awareness into all efforts to benefit and not harm others.
II.11 Seek appropriate help and/or discontinue scientific or professional activity for an appropriate period of time, if a physical or psychological condition reduces their ability to benefit and not harm others.
II.12 Engage in self-care activities which help to avoid conditions (e.g., burnout, addictions) which could result in impaired judgement and interfere with their ability to benefit and not harm others.

Risk/benefit analysis

II.13 Assess the individuals, families, groups, and communities involved in their activities adequately enough to ensure that they will be able to discern what will benefit and not harm those persons.
II.14 Be sufficiently sensitive to and knowledgeable about individual differences and vulnerabilities to discern what will benefit and not harm persons involved in their activities.
II.15 Carry out pilot studies to determine the effects of all new procedures and techniques which might carry some risks, before considering their use on a broader scale.
II.16 Seek an independent and adequate ethical review of the balance of risks and potential benefits of all research which involves procedures of unknown consequence, or where pain, discomfort, or harm are possible, before making a decision to proceed.
II.17 Not carry out any scientific or professional activity unless the probable benefit is proportionately greater than the risk involved.

Maximize benefit

II.18 Provide services which are coordinated over time and with other service providers, in order to avoid duplication or working at cross purposes.
-Such coordination would be promoted by the maintenance of adequate records and communication with other service providers.
II.19 Make themselves aware of the knowledge and skills of other disciplines (e.g., law, medicine) and advise the use of such knowledge and skills, where relevant to the benefit of others.
II.20 Strive to obtain the best possible service for those needing and seeking psychological service. This includes recommending professionals other than psychologists, if appropriate.
II.21 Monitor and evaluate the effect of their activities, record their findings and, if appropriate, communicate new knowledge to others in the field.
II.22 Debrief research participants in such a way that the participants' knowledge is enhanced and the participants have a sense of contribution to knowledge.
II.23 Perform their teaching duties on the basis of careful preparation, so that their instruction is current and scholarly.
II.24 Act on their obligation to facilitate the professional and scientific development of their students, trainees, employees, and supervisees by assuring that these persons understand the values and ethical prescriptions of the discipline, and by providing or arranging for adequate working conditions, timely evaluations, and constructive consultation and experience opportunities.
II.25 Encourage and assist students in publication of worthy student papers.

Minimize harm

II.26 Be acutely aware of the power relationship intherapy and, therefore, not encourage or engage in sexual intimacy with therapy clients, neither during therapy, nor for that period of time following therapy during which the power relationship reasonably could be expected to influence the client's personal decision making.
II.27 Be careful not to engage in activities in a way that could place incidentally involved individuals at risk.
II.28 Be acutely aware of the need for discretion in the recording and communication of information, in order that the information not be interpreted or used to the detriment of others. This includes, but is not limited to: not recording information which could lead to misinterpretation and misuse; avoiding conjecture; clearly labelling opinion; and, communicating information in language that can be understood clearly by the particular recipient of the information.
II.29 Give reasonable assistance to secure needed psychological services or activities, if personally unable to meet requests for needed psychological services or activities.
II.30 Maintain appropriate contact, support, and responsibility for caring until a colleague or other professional begins service, if referring a client to a colleague or other professional.
II.31 Give reasonable notice and be reasonably assured that discontinuation will cause no harm to the client, before discontinuing services.|
II.32 Screen appropriate research participants and select those not likely to be harmed, if risk or harm to some research participants is possible.
II.33 Act to minimize the impact of their research activities on research participants' personality or their physical or mental integrity.

Offset/correct harm

II.34 Terminate an activity when it is clear that the activity is more harmful than beneficial, or when the activity is no longer needed.
II.35 Refuse to help individuals, families, groups, or communities to carry out or submit to activities which, according to current knowledge and/or legal and professional guidelines, would cause serious physical or psychological harm to themselves or others.
II.36 Do everything reasonably possible to stop or offset the consequences of actions by others when these actions are likely to cause serious physical harm or death. This may include reporting to appropriate authorities (e.g., the police) or an intended victim, and would be done even when a confidential relationship is involved. (See Standard I.40)
II.37 Act to stop or offset the consequences of clearly harmful activities being carried out by another psychologist or member of another discipline, when these activities have come to their attention outside of a confidential client relationship with that psychologist or member of another discipline. Depending on the nature of the harmful activities, this may include talking informally with the psychologist or member of the other discipline, obtaining objective information and, if possible, the assurance that the harm will discontinue and be corrected. However, if the harm is serious and/or continues to persist, the situation would be reported to the appropriate regulatory body, authority, and/or committee for action.
II.38 Not place an individual, group, family, or community needing service at a serious disadvantage by offering them no service over an unreasonable period of time in order to fulfill the conditions of a control condition in a research study and, where resources allow, offer such person(s) the service found to be most effective after the research study is completed.
II.39 Debrief research participants in such a way that any harm caused can be discerned, and act to correct any resultant harm.

Care of animals

II.40 Not use animals in their research unless there is a reasonable expectation that the research will increase understanding of the structures and processes underlying behaviour, or increase understanding of the particular animal species used in the study, or result eventually in benefits to the health and welfare of humans or other animals.
II.41 Use a procedure subjecting animals to pain, stress, or privation only if an alternative procedure is unavailable and the goal is justified by its prospective scientific, educational, or applied value.
II.42 Make every effort to minimize the discomfort, illness, and pain of animals. This would include performing surgical procedures only under appropriate anaesthesia, using techniques to avoid infection and minimize pain during and after surgery and, if disposing of experimental animals is carried out at the termination of the study, doing so in a humane way.
II.43 Use animals in classroom demonstrations only if the instructional objectives cannot be achieved through the use of video-tapes, films, or other methods, and if the type of demonstration is warranted by the anticipated instructional gain.

Extended responsibility

II.44 Encourage others, if appropriate, to care responsibly.
II.45 Assume overall responsibility for the scientific and professional activities of their assistants, students, supervisees, and employees with regard to the Principle of Responsible Caring, all of whom, however, incur similar obligations.

 

Principle III: Integrity in Relationships

Values Statement

The relationships formed by psychologists in the course of their work embody explicit and implicit mutual expectations of integrity that are vital to the advancement of scientific knowledge and to the maintenance of public confidence in the discipline of psychology. These expectations include: accuracy and honesty; straight-forwardness and openness; the maximization of objectivity and minimization of bias; and, avoidance of conflicts of interest. Psychologists have a responsibility to meet these expectations and to encourage reciprocity.

In addition to accuracy, honesty, and the obvious prohibitions of fraud or misrepresentation, meeting expectations of integrity is enhanced by self-knowledge and the use of critical analysis. Although it can be argued that science is value-free, scientists are not. Personal values can affect the questions psychologists ask, how they ask those questions, what assumptions they make, their selection of methods, what they observe and what they fail to observe, and how they interpret their data.

Psychologists are not expected to be value-free in conducting their activities. However, they are expected to understand how their backgrounds and values interact with their activities, to be open and honest about the influence of such factors, and to be as objective and unbiased as possible under the circumstances.

The values of openness and straightforwardness exist within the context of Respect for the Dignity of Persons (Principle I) and Responsible Caring (Principle II). As such, there will be circumstances in which openness and straightforwardness will need to be tempered. Full disclosure may not be needed or desired by others and, in some circumstances, may be a risk to their dignity or well-being. In such circumstances, however, psychologists have a responsibility to ensure that their decision not to be fully open or straightforward is justified by higher-order values.

Of special concern to psychologists is the use of deception in research, or the use of any technique (e.g., temporary withholding of information) which could be interpreted as deception by research participants or clients. Although research which uses such techniques can lead to knowledge which is beneficial, and service which uses techniques which might be interpreted as deception can lead to beneficial changes for the client, such benefits must be weighed against the individual's right to self-determination and the importance of public and individual trust in psychology. Psychologists have a serious obligation never to use deception in service activities, and to avoid as much as possible the use of deception in research or the use of any technique which could be interpreted as deception in either research or service activities. They also have a serious obligation to consider the need for, the possible consequences of, and their responsibility to correct any resulting mistrust or other harmful effects from the use of such techniques.

As public trust in the discipline of psychology includes trusting that psychologists will act in the best interests of members of the public, situations which present real or potential conflicts of interest are of concern to psychologists. Conflict-of-interest situations can readily motivate psychologists to act in ways which meet their own personal, political, or business interests at the expense of the best interests of members of the public. Although avoidance of all situations which present a conflict of interest is not possible, it is the responsibility of psychologists to avoid as many as possible and, when such situations cannot be avoided, to ensure that the best interests of members of the public are protected.

Integrity in relationships implies that psychologists, as a matter of honesty, have a responsibility to maintain competence in any speciality area for which they declare competence, whether or not they are currently practising in that area. It also requires that psychologists, in as much as they present themselves as members and representatives of a specific discipline, have a responsibility to actively rely on and be guided by that discipline and its guidelines and requirements.

Ethical Standards

In adhering to the Principle of Integrity in Relationships, psychologists would:

Accuracy/honesty

III.1 Not participate in, condone, or be associated with dishonesty, fraud, or misrepresentation.
III.2 Accurately represent their own and their associates' qualifications, education, experience, competence, and affiliations, in all spoken, written, or printed communications, being careful not to use descriptions or information which could be misinterpreted.
III.3 Carefully protect their own and their associates' credentials from being misrepresented by others, and act quickly to correct any such misrepresentation.
III.4 Maintain competence in their declared area(s) of psychological competence, as well as in their current area(s) of activity. (See Standard II.9.)
III.5 Accurately represent their activities, functions, and likely or actual outcomes of their work, in all spoken, written, or printed communication. This includes, but is not limited to: advertisements of services; course and workshop descriptions; academic grading requirements; and, research reports.
III.6 Ensure that their activities, functions, and likely or actual outcomes of their activities are not misrepresented by others, and act quickly to correct any such misrepresentation.
III.7 Take credit only for the work and ideas that they have actually done or generated, and give credit for work done or ideas contributed by others (including students) in proportion to their contribution.
III.8 Acknowledge the limitations of their knowledge, methods, findings, interventions, and views.
III.9 Not suppress disconfirming evidence of their findings and views, acknowledging alternative hypotheses and explanations.

Objectivity/lack of bias

III.10 Evaluate how their personal experiences, attitudes, values, social context, individual of differences, and stresses influence their activities and thinking, integrating this awareness into all attempts to be objective and unbiased in their research, service and other activities.
III.11 Take care to communicate as completely and objectively as possible, and to clearly differentiate facts, opinions, theories, hypotheses, and ideas, if communicating their knowledge, findings, and views.
III.12 Present instructional information accurately, avoiding bias in the selection and presentation of information, and publicly acknowledge any personal values or bias which influence the selection and presentation of information.
III.13 Act quickly to clarify any distortion by a sponsor, client, or other persons, of the findings of their research.

Straightforwardness/openness

III.14 Be clear and straightforward about all information needed to establish informed consent or any other valid written or unwritten agreement (for example: fees; concerns; mutual responsibilities; ethical responsibilities of psychologists; purpose and nature of the relationship; alternatives; likely experiences; possible conflicts; possible outcomes; and, expectations for processing, using, and sharing any information generated).
III.15 Provide suitable information about the results of assessments, evaluations, or research findings to the persons involved, if appropriate and/or if asked. This information would be communicated in understandable language.
III.16 Fully explain reasons for their actions to persons who have been affected by their actions, if appropriate and/or if asked.
III.17 Honour all promises and commitments included in any written or verbal agreement unless serious and unexpected circumstances (e.g., illness) intervene. If such circumstances occur, then the psychologist would make a full and honest explanation to other parties involved.
III.18 Make clear whether they are acting as private citizens, as members of specific organizations or groups, or as representatives of the discipline of psychology, when making statements or when involved in public activities.
III.19 Conduct research in a way that is consistent with a commitment to honest, open inquiry, and to clear communication of any research aims, sponsorship, social context, personal values, or financial interests that may affect or appear to affect their research.
III.20 Submit their research, in some accurate form and within the limits of confidentiality, to independent colleagues with expertise in the research area, for their comments and evaluations.
III.21 Encourage the free exchange of ideas between themselves and their students.
III.22 Make no attempt to conceal the status of a trainee.

Avoidance of deception

III.23 Not engage in deception in any service activity.
III.24 Not engage in deception in research or the use of techniques which might be interpreted as deception, in research or service activities, if there are alternative procedures available and/or if the negative effects cannot be predicted or offset.
III.25 Not engage in deception in research or the use of techniques which might be interpreted as deception in research or service activities, if it would interfere with the individual's understanding of facts which clearly might influence a decision to give informed consent.
III.26 Use the minimum necessary deception in research or techniques which might be interpreted as deception in research, or service activities.
III.27 Provide research participants, during debriefing, with a clarification of the nature of the study, if deception or the use of techniques which could be interpreted as deception has occurred. In such circumstances, psychologists would seek to remove any misconceptions which might have arisen and to re-establish any trust which might have been lost, assuring the participant during debriefing that the real or apparent deception was neither arbitrary nor capricious. (Also, see Standard II.22.)
III.28 Act to re-establish with clients any trust which might have been lost due to the use of techniques which might be interpreted as deception.
III.29 Seek an independent and adequate ethical review of the risks to public or individual trust and of safeguards to protect such trust for any research which uses deception or techniques which might be interpreted as deception, before making a decision to proceed

Avoidance of conflict of interest

III.30 Not exploit any relationship established as a psychologist to further personal, political, or business interests at the expense of the best interests of their clients, research participants, students, employers, or others. This includes, but is not limited to: soliciting clients of one's employing agency for private practice; taking advantage of trust or dependency to engage in sexual activities or to frighten clients into receiving services; appropriating student's ideas, research or work; using the resources of one's employing institution for purposes not agreed to; securing or accepting significant financial or material benefit for activities which are already awarded by salary or other compensation; and, prejudicing others against a colleague for reasons of personal gain.
III.31 Not offer rewards sufficient to motivate an individual or group to participate in an activity that has possible or known risks to themselves or others. (See Standards I.20; I.21; II.2; and, II.44.)
III.32 Avoid dual relationships (e.g.. with students, employees, or clients) and other situations which might present a conflict of interest or which might reduce their ability to be objective and unbiased in their determinations of what might be in the best interests of others.
III.33 Inform all parties, if a real or potential conflict of interest arises, of the need to resolve the situation in a manner that is consistent with Respect for the Dignity of Persons (Principle I) and Responsible Caring (Principle II), and take all reasonable steps to resolve the issue in such a manner.

Reliance on the discipline

III.34 Familiarize themselves with their discipline's rules and regulations, and abide by them, unless abiding by them would be seriously detrimental to the rights or well-being of others as demonstrated in the Principles of Respect for the Dignity of Persons or Responsible Caring. (See Standard IV.16 for guidelines regarding the resolution of such conflicts.)
III.35 Familiarize themselves with and demonstrate a commitment to maintaining the standards of their discipline.
III.36 Seek consultation from colleagues and/or appropriate groups and committees, and give due regard to their advice in arriving at a responsible decision, if faced with difficult situations.

Extended responsibility

III.37 Encourage others, if appropriate, to relate with integrity.
III.38 Assume overall responsibility for the scientific and professional activities of their assistants, students, supervisers, and employees with regard to the Principle of Integrity in Relationships, all of whom, however, incur similar obligations.

 

Principle IV: Responsibility to Society

Values Statement

Psychology functions as a discipline within the context of human society.(2)Psychologists, both in their work and as private citizens, have responsibilities to the societies in which they live and work, such as the neighbourhood or city, and to the welfare of all human beings in those societies.

Two of the legitimate expectations of psychology as a science and a profession are that it will increase knowledge and that it will conduct its affairs in such ways that it will promote the welfare of all human beings.

In the context of society, the above expectations imply that scientific freedom will be balanced by scientific responsibility; that is, psychologists will actively increase knowledge only through the use of activities and methods that are consistent with ethical requirements, and be willing to demonstrate that such requirements have been met.

The expectations also imply that psychologists will do whatever they can to ensure that psychological knowledge, when used in the development of social structures and policies, will be used for beneficial purposes, and that the discipline's own structures and policies will support those beneficial purposes. Within the context of this document, social structures and policies which have beneficial purposes are defined as those which more readily support and reflect respect for the dignity of persons, responsible caring, integrity in relationships, and responsibility to society. If psychological knowledge or structures are used against these purposes, psychologists have an ethical responsibility to try to draw attention to and correct the misuse. Although this is a collective responsibility, those psychologists having direct involvement in the structures of the discipline, in social development, and/or in the theoretical or research data base that is being used (e.g., through research, expert testimony, or policy advice) have the greatest responsibility to act. Other psychologists must decide for themselves the most appropriate and beneficial use of their time and talents to help meet this collective responsibility.

In carrying out their work, psychologists acknowledge that many social structures have evolved slowly over time in response to human need, are valued by society, and are primarily beneficial. In such circumstances, psychologists convey respect for these social structures and avoid unwarranted or unnecessary disruption. Suggestions for and action toward changes or enhancement of such structures are carried out only through processes which seek to achieve a consensus within society through democratic means.

On the other hand, if structures or policies seriously ignore or oppose the principles of respect for the dignity of the person, responsible caring, integrity in relationships, or responsibility to society, psychologists involved have a responsibility to be critical and advocate for change to occur as quickly as possible.

In order to be responsible to society and to contribute constructively to its ongoing evolution, psychologists need to be self-reflective about the place of the discipline of psychology in society. They need to engage in even-tempered observation and interpretation of the effects of societal structures and policies, and their process of change, developing the ability of psychologists to increase the beneficial use of psychological knowledge and structures, and avoid their misuse. The discipline needs to be willing to set high standards for its members, to do what it can to assure that such standards are met, and to support its members in their attempts to maintain the standards. Once again, individual psychologists must decide for themselves the most appropriate and beneficial use of their time and talents in helping to meet these collective responsibilities.

Footnote 2: Society is used here in the broad sense of a body of individuals living as members of one or more human communities, rather than in the limited sense of state or government.

Ethical Standards

In adhering to the Principle of Responsibility to Society, psychologists would:

Development of knowledge

IV.1 Contribute to the discipline of psychology and of society's understanding of itself and human beings generally, through a free pursuit and sharing of knowledge, unless such activity conflicts with other basic ethical requirements.
IV.2 Keep informed of progress in their area(s) of psychological activity, take this progress into account in their work, and try to make their own contributions to this progress.

Beneficial activities

IV.3 Participate in and contribute to continuing education and the professional and scientific growth of self and colleagues.
IV.4 Assist in the development of those who enter the discipline of psychology by helping them to acquire a full understanding of the ethics, responsibilities, and needed competencies of their chosen area(s), including an understanding of critical analysis and of the variations, uses, and possible misuses of the scientific paradigm.
IV.5 Participate in the process of critical self-evaluation of the discipline's place in society and in the development and implementation of structures and procedures which help the discipline to contribute to beneficial societal functioning and changes.
IV.6 Engage in regular monitoring, assessment, and reporting (e.g., through peer review, and in program reviews, case management reviews, and reports of one's own research) of their ethical practices and safeguards.
IV.7 Help develop, promote, and participate in accountability processes and procedures related to their work.
IV.8 Uphold the discipline's responsibility to society by promoting and maintaining the highest standards of the discipline.
IV.9 Protect the skills, knowledge, and interpretations of psychology from being misused, used incompetently, or made useless (e.g., loss of security of assessment techniques) by others.
IV.10 Contribute to the general welfare of society (e.g., improving accessibility of services, regardless of ability to pay) and/or to the general welfare of their discipline by offering a portion of their time to work for which they receive little or no financial return.
IV.11 Uphold the discipline's responsibility to society by bringing incompetent or unethical behaviour, including misuses of psychological knowledge and techniques, to the attention of ap- propriate regulatory bodies, authorities, and/or committees, in a manner consistent with the ethical principles of this Code, if informal resolution or correction of the situation is not appropriate or possible.
IV.12 Only enter into agreements or contracts which allow them to act in accordance with the ethical principles and standards of this Code.

Respect for society

IV.13 Acquire an adequate knowledge of the culture, social structure, and customs of a community before beginning any major work there.
IV.14 Convey respect for and abide by prevailing community mores, social customs, and cultural expectations in their scientific and professional activities, provided that this does not contravene any of the ethical principles of this Code.
IV.15 Abide by the laws of the society in which they work. If those laws seriously conflict with the ethical principles contained herein, psychologists would do whatever they could to uphold the ethical principles. If upholding the ethical principles could result in serious personal consequences (e.g., jail or physical harm), decision for final action would be considered a matter of personal conscience.
IV.16 Consult with colleagues, if faced with an apparent conflict between keeping a law and following an ethical principle, unless in an emergency, and seek consensus as to the most ethical course of action and the most responsible, knowledgeable, effective, and respectful way to carry it out.

Development of society

IV.17 Act to change those aspects of the discipline of psychology which detract from beneficial societal changes, where appropriate and possible.
IV.18 Be sensitive to the needs, current issues, and problems of society, if determining research questions to be asked, services to be developed, information to be collected, or the interpretation of results or findings.
IV.19 Be especially careful to keep well informed through relevant reading, peer consultation and continuing education, if their work is related to societal issues.
IV.20 Speak out, in a manner consistent with the four principles of this Code, when they possess expert knowledge that bears on important societal issues being studied or discussed.
IV.21 Provide thorough discussion of the limits of their data, if their work touches on social policy and structure.
IV.22 Make themselves aware of the current social and political climate and of previous and possible future societal misuses of psychological knowledge, and exercise due discretion in communicating psychological information (e.g., research results, theoretical knowledge) in order to discourage any further misuse.
IV.23 Exercise particular care when reporting the results of any work regarding vulnerable groups, ensuring that results are not likely to be misinterpreted or misused in the development of social policy, attitudes, and practices (e.g., encouraging manipulation of vulnerable persons or reinforcing discrimination against any specific population).
IV.24 Not contribute to nor engage in research or any other activity which promotes or is intended for use in the torture of persons, the development of prohibited weapons, destruction of the environment, or any other act which contravenes international law.
IV.25 Provide the public with any psychological knowledge relevant to the public's informed participation in the shaping of social policies and structures, if involved in public policy issues.
IV.26 Speak out and/or act, in a manner consistent with the four principles of this Code, if the policies, practices or regulations of the social structure within which they work seriously ignore or oppose any of the principles of this Code.

Extended responsibility

IV.27 Encourage others, if appropriate, to exercise responsibility to society.
IV.28 Assume overall responsibility for the scientific and professional activities of their assistants, students, supervisees, and employees with regard to the Principle of Responsibility to Society, all of whom, however, incur similar obligations.

Copyright Canadian Psychological Association (1995)

 

 

 

 

 

PREAMBLE

Introduction

Every discipline that has relatively autonomous control over its entry requirements, training, development of knowledge, standards, methods, and practices does so only within the context of a contract with the society in which it functions. This social contract is based on attitudes of mutual respect and trust, with society granting support for the autonomy of a discipline in exchange for a commitment by the discipline to do everything it can to assure that its members act ethically in conducting the affairs of the discipline within society; in particular, a commitment to try to assure that each member will place the welfare of the society and individual members of that society above the welfare of the discipline and its own members. By virtue of this social contract, psychologists have a higher duty of care to members of society than the general duty of care that all members of society have to each other.

The Canadian Psychological Association recognizes its responsibility to help assure ethical behaviour and attitudes on the part of psychologists. Attempts to assure ethical behaviour and attitudes include articulating ethical principles, values, and standards; promoting those principles, values, and standards through education, peer modelling, and consultation; developing and implementing methods to help psychologists monitor the ethics of their behaviour and attitudes; adjudicating complaints of unethical behaviour; and, taking corrective action when warranted.

This Code articulates ethical principles, values, and standards to guide all members of the Canadian Psychological Association, whether scientists, practitioners, or scientist practitioners, or whether acting in a research, direct service, teaching, student, trainee, administrative, management, employer, employee, supervisory, consultative, peer review, editorial, expert witness, social policy, or any other role related to the discipline of psychology.

Structure and Derivation of Code

Structure. Four ethical principles, to be considered and balanced in ethical decision making, are presented. Each principle is followed by a statement of those values that are included in and give definition to the principle. Each values statement is followed by a list of ethical standards that illustrate the application of the specific principle and values to the activities of psychologists. The standards range from minimal behavioural expectations (e.g., Standards I.28, II.28, III.33, IV.27) to more idealized, but achievable, attitudinal and behavioural expectations (e.g., Standards I.12, II.12, III.10, IV.6). In the margin, to the left of the standards, key words are placed to guide the reader through the standards and to illustrate the relationship of the specific standards to the values statement.

Derivation. The four principles represent those ethical principles used most consistently by Canadian psychologists to resolve hypothetical ethical dilemmas sent to them by the CPA Committee on Ethics during the initial development of the Code. In addition to the responses provided by Canadian psychologists, the values statements and ethical standards have been derived from interdisciplinary and international ethics codes, provincial and specialty codes of conduct, and ethics literature.

 

When Principles Conflict

All four principles are to be taken into account and balanced in ethical decision making. However, there are circumstances in which ethical principles will conflict and it will not be possible to give each principle equal weight. The complexity of ethical conflicts precludes a firm ordering of the principles. However, the four principles have been ordered according to the weight each generally should be given when they conflict, namely:

 

• Principle I: Respect for the Dignity of Persons. This principle, with its emphasis on moral rights, generally should be given the highest weight, except in circumstances in which there is a clear and imminent danger to the physical safety of any person.
• Principle II: Responsible Caring. This principle generally should be given the second highest weight. Responsible caring requires competence and should be carried out only in ways that respect the dignity of persons.
• Principle III: Integrity in Relationships. This principle generally should be given the third highest weight. Psychologists are expected to demonstrate the highest integrity in all of their relationships. However, in rare circumstances, values such as openness and straightforwardness might need to be subordinated to the values contained in the Principles of Respect for the Dignity of Persons and Responsible Caring.
• Principle IV: Responsibility to Society. This principle generally should be given the lowest weight of the four principles when it conflicts with one or more of them. Although it is necessary and important to consider responsibility to society in every ethical decision, adherence to this principle must be subject to and guided by Respect for the Dignity of Persons, Responsible Caring, and Integrity in Relationships. When a person's welfare appears to conflict with benefits to society, it is often possible to find ways of working for the benefit of society that do not violate respect and responsible caring for the person. However, if this is not possible, the dignity and well-being of a person should not be sacrificed to a vision of the greater good of society, and greater weight must be given to respect and responsible caring for the person.

 

Even with the above ordering of the principles, psychologists will be faced with ethical dilemmas that are difficult to resolve. In these circumstances, psychologists are expected to engage in an ethical decision-making process that is explicit enough to bear public scrutiny. In some cases, resolution might be a matter of personal conscience. However, decisions of personal conscience are also expected to be the result of a decision-making process that is based on a reasonably coherent set of ethical principles and that can bear public scrutiny. If the psychologist can demonstrate that every reasonable effort was made to apply the ethical principles of this Code and resolution of the conflict has had to depend on the personal conscience of the psychologist, such a psychologist would be deemed to have followed this Code.

The Ethical Decision-Making Process

The ethical decision-making process might occur very rapidly, leading to an easy resolution of an ethical issue. This is particularly true of issues for which clear-cut guidelines or standards exist and for which there is no conflict between principles. On the other hand, some ethical issues (particularly those in which ethical principles conflict) are not easily resolved, might be emotionally distressful, and might require time-consuming deliberation.

 

The following basic steps typify approaches to ethical decision making:

 

1. Identification of the individuals and groups potentially affected by the decision.
2. Identification of ethically relevant issues and practices, including the interests, rights, and any relevant characteristics of the individuals and groups involved and of the system or circumstances in which the ethical problem arose.
3. Consideration of how personal biases, stresses, or self-interest might influence the development of or choice between courses of action.
4. Development of alternative courses of action.
5. Analysis of likely short-term, ongoing, and long-term risks and benefits of each course of action on the individual(s)/group(s) involved or likely to be affected (e.g., client, client's family or employees, employing institution, students, research participants, colleagues, the discipline, society, self).
6. Choice of course of action after conscientious application of existing principles, values, and standards.
7. Action, with a commitment to assume responsibility for the consequences of the action.
8. Evaluation of the results of the course of action.
9. Assumption of responsibility for consequences of action, including correction of negative consequences, if any, or re-engaging in the decision-making process if the ethical issue is not resolved.
10. Appropriate action, as warranted and feasible, to prevent future occurrences of the dilemma (e.g., communication and problem solving with colleagues; changes in procedures and practices).

Psychologists engaged in time-consuming deliberation are encouraged and expected to consult with parties affected by the ethical problem, when appropriate, and with colleagues and/or advisory bodies when such persons can add knowledge or objectivity to the decision-making process. Although the decision for action remains with the individual psychologist, the seeking and consideration of such assistance reflects an ethical approach to ethical decision making.

Uses of the Code

This Code is intended to guide psychologists in their everyday conduct, thinking, and planning, and in the resolution of ethical dilemmas; that is, it advocates the practice of both proactive and reactive ethics.

 

The Code also is intended to serve as an umbrella document for the development of codes of conduct or other more specific codes. For example, the Code could be used as an ethical framework for the identification of behaviours that would be considered enforceable in a jurisdiction, the violation of which would constitute misconduct; or, jurisdictions could identify those standards in the Code that would be considered of a more serious nature and, therefore, reportable and subject to possible discipline. In addition, the principles and values could be used to help specialty areas develop standards that are specific to those areas. Some work in this direction has already occurred within CPA (e.g., Guidelines for the Use of Animals in Research and Instruction in Psychology, Guidelines for Non- Discriminatory Practice, Guidelines for Psychologists in Addressing Recovered Memories). The principles and values incorporated into this Code, insofar as they come to be reflected in other documents guiding the behaviour of psychologists, will reduce inconsistency and conflict between documents.

 

A third use of the Code is to assist in the adjudication of complaints against psychologists. A body charged with this responsibility is required to investigate allegations, judge whether unacceptable behaviour has occurred, and determine what corrective action should be taken. In judging whether unacceptable conduct has occurred, many jurisdictions refer to a code of conduct. Some complaints, however, are about conduct that is not addressed directly in a code of conduct. The Code provides an ethical framework for determining whether the complaint is of enough concern, either at the level of the individual psychologist or at the level of the profession as a whole, to warrant corrective action (e.g., discipline of the individual psychologist, general educational activities for members, or incorporation into the code of conduct). In determining corrective action for an individual psychologist, one of the judgments the adjudicating body needs to make is whether an individual conscientiously engaged in an ethical decision-making process and acted in good faith, or whether there was a negligent or willful disregard of ethical principles. The articulation of the ethical decision-making process contained in this Code provides guidance for making such judgements.

 

Responsibility of the individual psychologist

The discipline's contract with society commits the discipline and its members to act as a moral community that develops its ethical awareness and sensitivity, educates new members in the ethics of the discipline, manages its affairs and its members in an ethical manner, is as self-correcting as possible, and is accountable both internally and externally.

 

However, responsibility for ethical action depends foremost on the integrity of each individual psychologist; that is, on each psychologist's commitment to behave as ethically as possible in every situation. Acceptance to membership in the Canadian Psychological Association, a scientific and professional association of psychologists, commits members:

1. To adhere to th Association's Code in all current activities as a psychologist.
2. To apply conscientiously the ethical principles and values of the Code to new and emerging areas of activity.
3. To assess and discuss ethical issues and practices with colleagues on a regular basis.
4. To bring to the attention of the Association ethical issues that require clarification or the development of new guidelines or standards.
5. To bring concerns about possible unethical actions by a psychologist directly to the psychologist when the action appears to be primarily a lack of sensitivity, knowledge, or experience, and attempt to reach an agreement on the issue and, if needed, on the appropriate action to be taken.
6. To bring concerns about possible unethical actions of a more serious nature (e.g., actions that have caused or could cause serious harm, or actions that are considered misconduct in the jurisdiction) to the person(s) or body(ies) best suited to investigating the situation and to stopping or offsetting the harm.
7. To consider seriously others' concerns about one's own possibly unethical actions and attempt to reach an agreement on the issue and, if needed, take appropriate action.
8. In bringing or in responding to concerns about possible unethical actions, not to be vexatious or malicious.
9. To cooperate with duly constituted committees of the Association that are concerned with ethics and ethical conduct.

Relationship of Code to personal behaviour

This Code is intended to guide and regulate only those activities a psychologist engages in by virtue of being a psychologist. There is no intention to guide or regulate a psychologist's activities outside of this context. Personal behaviour becomes a concern of the discipline only if it is of such a nature that it undermines public trust in the discipline as a whole or if it raises questions about the psychologist's ability to carry out appropriately his/her responsibilities as a psychologist.

Relationship of Code to provincial regulatory bodies

In exercising its responsibility to articulate ethical principles, values, and standards for those who wish to become and remain members in good standing, the Canadian Psychological Association recognizes the multiple memberships that some psychologists have (both regulatory and voluntary). The Code has attempted to encompass and incorporate those ethical principles most prevalent in the discipline as a whole, thereby minimizing the possibility of variance with provincial/territorial regulations and guidelines. Psychologists are expected to respect the requirements of their provincial/territorial regulatory bodies. Such requirements might define particular behaviours that constitute misconduct, are reportable to the regulatory body, and/or are subject to discipline.

Definition of terms

For the purposes of this Code:

 

a. “Psychologist” means any person who is a Fellow, Member, Student Affiliate or Foreign Affiliate of the Canadian Psychological Association, or a member of any psychology voluntary association or regulatory body adopting this Code. (Readers are reminded that provincial/territorial jurisdictions might restrict the legal use of the term psychologist in their jurisdiction and that such restrictions are to be honoured.)

b. “Client” means an individual, family, or group (including an organization or community) receiving service from a psychologist.

c. Clients, research participants, students, and any other persons with whom psychologists come in contact in the course of their work, are “independent” if they can independently contract or give informed consent. Such persons are“ partially dependent” if the decision to contract or give informed consent is shared between two or more parties (e.g., parents and school boards, workers
and Workers' Compensation Boards, adult members of a family). Such Adapted from: Canadian Psychological Association. (1985). Guidelines for the elimination of sexual harassment. Ottawa, Author. persons are considered to be “fully dependent” if they have little or no choice about whether or not to receive service or participate in an activity (e.g., patients who have been involuntarily committed to a psychiatric facility, or very young children involved in a research project).

d. "Others” means any persons with whom psychologists come in contact in the course of their work. This may include, but is not limited to: clients seeking help with individual, family, organizational, industrial, or community issues; research participants; employees; students; trainees; supervisees; colleagues; employers; third party payers; and, members of the general public.

e. “Legal or civil rights” means those rights protected under laws and statutes recognized by the province or territory in which the psychologist is working.

f. “Moral rights” means fundamental and inalienable human rights that might or might not be fully protected by existing laws and statutes. Of particular significance to psychologists, for example, are rights to: distributive justice; fairness and due process; and, developmentally appropriate privacy, selfdetermination, and personal liberty. Protection of some aspects of these rights might involve practices that are not contained or controlled within current laws and statutes. Moral rights are not limited to those mentioned in this definition.

g. “Unjust discrimination” or “unjustly discriminatory” means activities that are prejudicial or promote prejudice to persons because of their culture, nationality, ethnicity, colour, race, religion, sex, gender, marital status, sexual orientation, physical or mental abilities, age, socio-economic status, or any other preference or personal characteristic, condition, or status.

h. “Sexual harassment” includes either or both of the following: (i) The use of power or authority in an attempt to coerce another person to engage in or tolerate sexual activity. Such uses include explicit or implicit threats of reprisal for noncompliance, or promises of reward for compliance. (ii) Engaging in deliberate and/or repeated unsolicited sexually oriented comments, anecdotes, gestures, or touching, if such behaviours: are offensive and unwelcome; create an offensive, hostile, or intimidating working, learning, or service environment; or, can be expected to be harmful to the recipient.1

i. The “discipline of psychology” refers to the scientific and applied methods and knowledge of psychology, and to the structures and procedures used by its members for conducting their work in relationship to society, to members of the public, to students or trainees, and to each other.

Footnote 1: Adapted from: Canadian Psychological Association. (1985). Guidelines for the elimination of sexual harassment. Ottawa, Author.

Review schedule

To maintain the relevance and responsiveness of this Code, it will be reviewed regularly by the CPA Board of Directors, and revised as needed. You are invited to forward comments and suggestions, at any time, to the CPA office. In addition to psychologists, this invitation is extended to all readers, including members of the public and other disciplines.

 

Principle I: Respect for the Dignity of Persons

Values statement

In the course of their work as scientists, practitioners, or scientist-practitioners, psychologists come into contact with many different individuals and groups, including: research participants; clients seeking help with individual, family, organizational, industrial, or community issues; students; trainees; supervisees; employees; business partners; business competitors; colleagues; employers; third party payers; and, the general public.

 

In these contacts, psychologists accept as fundamental the principle of respect for the dignity of persons; that is, the belief that each person should be treated primarily as a person or an end in him/herself, not as an object or a means to an end. In so doing, psychologists acknowledge that all persons have a right to have their innate worth as human beings appreciated and that this worth is not dependent upon their culture, nationality, ethnicity, colour, race, religion, sex, gender, marital status, sexual orientation, physical or mental abilities, age, socio-economic status, or any other preference or personal characteristic, condition, or status.

 

Although psychologists have a responsibility to respect the dignity of all persons with whom they come in contact in their role as psychologists, the nature of their contract with society demands that their greatest responsibility be to those persons in the most vulnerable position. Normally, persons directly receiving or involved in the psychologist's activities are in such a position (e.g., research participants, clients, students). This responsibility is almost always greater than their responsibility to those indirectly involved (e.g., employers, third party payers, the general public).

Adherence to the concept of moral rights is an essential component of respect for the dignity of persons. Rights to privacy, self-determination, personal liberty, and natural justice are of particular importance to psychologists, and they have a responsibility to protect and promote these rights in all of their activities. As such, psychologists have a responsibility to develop and follow procedures for informed consent, confidentiality, fair treatment, and due process that are consistent with those rights.

 

As individual rights exist within the context of the rights of others and of responsible caring (see Principle II), there might be circumstances in which the possibility of serious detrimental consequences to themselves or others, a diminished capacity to be autonomous, or a court order, would disallow some aspects of the rights to privacy, self-determination, and personal liberty. Indeed, such circumstances might be serious enough to create a duty to warn or protect others (see Standards I.45 and II.39). However, psychologists still have a responsibility to respect the rights of the person(s) involved to the greatest extent possible under the circumstances, and to do what is necessary and reasonable to reduce the need for future disallowances.

 

Psychologists recognize that, although all persons possess moral rights, the manner in which such rights are promoted, protected, and exercised varies across communities and cultures. For instance, definitions of what is considered private vary, as does the role of families and other community members in personal decision making. In their work, psychologists acknowledge and respect such differences, while guarding against clear violations of moral rights.

 

In addition, psychologists recognize that as individual, family, group, or community vulnerabilities increase, or as the power of persons to control their environment or their lives decreases, psychologists have an increasing responsibility to seek ethical advice and to establish safeguards to protect the rights of the persons involved. For this reason, psychologists consider it their responsibility to increase safeguards to protect and promote the rights of persons involved in their activities proportionate to the degree of dependency and the lack of voluntary initiation. For example, this would mean that there would be more safeguards to protect and promote the rights of fully dependent persons than partially dependent persons, and more safeguards for partially dependent than independent persons.

 

Respect for the dignity of persons also includes the concept of distributive justice. With respect to psychologists, this concept implies that all persons are entitled to benefit equally from the contributions
of psychology and to equal quality in the processes, procedures, and services being conducted by psychologists, regardless of the person's characteristics, condition, or status. Although individual psychologists might specialize and direct their activities to particular populations, or might decline to engage in activities based on the limits of their competence or acknowledgment of problems in some relationships, psychologists must not exclude persons on a capricious or unjustly discriminatory basis.

 

By virtue of the social contract that the discipline has with society, psychologists have a higher duty of care to members of society than the general duty of care all members of society have to each other. However, psychologists are entitled to protect themselves from serious violations of their own moral rights (e.g., privacy, personal liberty) in carrying out their work as psychologists.

 

Ethical Standards

In adhering to the Principle of Respect for the Dignity of Persons, psychologists would:

 

General respect

I.1 Demonstrate appropriate respect for the knowledge, insight, experience, and areas of expertise of others.
I.2 Not engage publicly (e.g., in public statements, presentations, research reports, or with clients) in degrading comments about others, including demeaning jokes based on such characteristics as culture, nationality, ethnicity, colour, race, religion, sex, gender, or sexual orientation.
I.3 Strive to use language that conveys respect for the dignity of persons as much as possible in all written or oral communication.
I.4 Abstain from all forms of harassment, including sexual harassment.

General rights

I.5 Avoid or refuse to participate in practices disrespectful of the legal, civil, or moral rights of others.
I.6 Refuse to advise, train, or supply information to anyone who, in the psychologist's judgement, will use the knowledge or skills to infringe on human rights.
I.7 Make every reasonable effort to ensure that psychological knowledge is not misused, intentionally or unintentionally, to infringe on human rights.
I.8 Respect the right of research participants, clients, employees, supervisees, students, trainees, and others to safeguard their own dignity.

Non-discrimination

I.9 Not practice, condone, facilitate, or collaborate with any form of unjust discrimination.
I.10 Act to prevent or correct practices that are unjustly discriminatory.
I.11 Seek to design research, teaching, practice, and business activities in such a way that they contribute to the fair distribution of benefits to individuals and groups, and that they do not unfairly exclude those who are vulnerable or might be disadvantaged.

Fair treatment/Due process

I.12 Work and act in a spirit of fair treatment to others.
I.13 Help to establish and abide by due process or other natural justice procedures for employment, evaluation, adjudication, editorial, and peer review activities.
I.13 Obtain informed consent from all independent and partially dependent persons for any psychological services provided to them except in circumstances of urgent need (e.g., suicidal gesture). In such circumstances, psychologists would proceed with the assent of such persons, but fully informed consent would be obtained as soon as possible. (Also see Standard I.22.)
I.14 Compensate others fairly for the use of their time, energy, and knowledge, unless such compensation is refused in advance.
I.15 Establish fees that are fair in light of the time, energy, and knowledge of the psychologist and any associates or employees, and in light of the market value of the product or service. (Also see Standard IV.12.)

Informed consent

I.16 Seek as full and active participation as possible from others in decisions that affect them, respecting and integrating as much as possible their opinions and wishes.
I.17 Recognize that informed consent is the result of a process of reaching an agreement to work collaboratively, rather than of simply having a consent form signed.
I.18 Respect the expressed wishes of persons to involve others (e.g., family members, community members) in their decision making regarding informed consent. This would include respect for written and clearly expressed unwritten advance directives.
I.19 Obtain informed consent from all independent and partially dependent persons for any psychological services provided to them except in circumstances of urgent need (e.g., disaster or other crisis). In urgent circumstances, psychologists would proceed with the assent of such persons, but fully informed consent would be obtained as soon as possible. (Also see Standard I.29.)
I.20 Obtain informed consent for all research activities that involve obtrusive measures, invasion of privacy, more than minimal risk of harm, or any attempt to change the behaviour of research participants.
I.21 Establish and use signed consent forms that specify the dimensions of informed consent or that acknowledge that such dimensions have been explained and are understood, if such forms are required by law or if such forms are desired by the psychologist, the person(s) giving consent, or the organization for whom the psychologist works.
I.22 Accept and document oral consent, in situations in which signed consent forms are not acceptable culturally or in which there are other good reasons for not using them.
I.23 Provide, in obtaining informed consent, as much information as reasonable or prudent persons would want to know before making a decision or consenting to the activity. The psychologist would relay this information in language that the persons understand (including providing translation into another language, if necessary) and would take whatever reasonable steps are needed to ensure that the information was, in fact, understood.
I.24 Ensure, in the process of obtaining informed consent, that at least the following points are understood: purpose and nature of the activity; mutual responsibilities; confidentiality protections and limitations; likely benefits and risks; alternatives; the likely consequences of non-action; the option to refuse or withdraw at any time, without prejudice; over what period of time the consent applies; and, how to rescind consent if desired. (Also see Standards III.23-30.)
I.25 Provide new information in a timely manner, whenever such information becomes available and is significant enough that it reasonably could be seen as relevant to the original or ongoing informed consent.
I.26 Clarify the nature of multiple relationships to all concerned parties before obtaining consent, if providing services to or conducting research at the request or for the use of third parties. This would include, but not be limited to: the purpose of the service or research; the reasonably anticipated use that will be made of information collected; and, the limits on confidentiality. Third parties may include schools, courts, government agencies, insurance companies, police, and special funding bodies.

Freedom of consent

I.27 Take all reasonable steps to ensure that consent is not given under conditions of coercion, undue pressure, or undue reward. (Also see Standard III.32.)
I.28 Not proceed with any research activity, if consent is given under any condition of coercion, undue pressure, or undue reward. (Also see Standard III.32.)
I.29 Take all reasonable steps to confirm or re-establish freedom of consent, if consent for service is given under conditions of duress or conditions of extreme need.
I.30 Respect the right of persons to discontinue participation or service at any time, and be responsive to non-verbal indications of a desire to discontinue if a person has difficulty with verbally communicating such a desire (e.g., young children, verbally disabled persons) or, due to culture, is unlikely to communicate such a desire orally.

Protections for vulnerable persons

I.31 Seek an independent and adequate ethical review of human rights issues and protections for any research involving members of vulnerable groups, including persons of diminished capacity to give informed consent, before making a decision to proceed.
I.32 Not use persons of diminished capacity to give informed consent in research studies, if the research involved may be carried out equally well with persons who have a fuller capacity to give informed consent.
I.33 Seek to use methods that maximize the understanding and ability to consent of persons of diminished capacity to give informed consent, and that reduce the need for a substitute decision maker.
I.34 Carry out informed consent processes with those persons who are legally responsible or appointed to give informed consent on behalf of persons not competent to consent on their own behalf, seeking to ensure respect for any previously expressed preferences of persons not competent to consent.
I.35 Seek willing and adequately informed participation from any person of diminished capacity to give informed consent, and proceed without this assent only if the service or research activity is considered to be of direct benefit to that person.
I.36 Be particularly cautious in establishing the freedom of consent of any person who is in a dependent relationship to the psychologist (e.g., student, employee). This may include, but is not limited to, offering that person an alternative activity to fulfill their educational or employment goals, or offering a range of research studies or experience opportunities from which the person can select, none of which is so onerous as to be coercive.

Privacy

I.37 Seek and collect only information that is germane to the purpose(s) for which consent has been obtained.
I.38 Take care not to infringe, in research, teaching, or service activities, on the personally, developmentally, or culturally defined private space of individuals or groups, unless clear permission is granted to do so.
I.39 Record only that private information necessary for the provision of continuous, coordinated service, or for the goals of the particular research study being conducted, or that is required or justified by law. (Also see Standards IV.17 and IV.18.)
I.40 Respect the right of research participants, employees, supervisees, students, and trainees to reasonable personal privacy.
I.41 Collect, store, handle, and transfer all private information, whether written or unwritten (e.g., communication during service provision, written records, e-mail or fax communication, computer files, video-tapes), in a way that attends to the needs for privacy and security. This would include having adequate plans for records in circumstances of one's own serious illness, termination of employment, or death.
I.42 Take all reasonable steps to ensure that records over which they have control remain personally identifiable only as long as necessary in the interests of those to whom they refer and/or to the research project for which they were collected, or as required or justified by law (e.g., the possible need to defend oneself against future allegations), and render anonymous or destroy any records under their control that no longer need to be personally identifiable. (Also see Standards IV.17 and IV.18.)

Confidentiality

I.43 Be careful not to relay information about colleagues, colleagues' clients, research participants, employees, supervisees, students, trainees, and members of organizations, gained in the process of their activities as psychologists, that the psychologist has reason to believe is considered confidential by those persons, except as required or justified by law. (Also see Standards IV.17 and IV.18.)
I.44 Clarify what measures will be taken to protect confidentiality, and what responsibilities family, group, and community members have for the protection of each other's confidentiality, when engaged in services to or research with individuals, families, groups, or communities.
I.45 Share confidential information with others only with the informed consent of those involved, or in a manner that the persons involved cannot be identified, except as required or justified by law, or in circumstances of actual or possible serious physical harm or death. (Also see Standards II.39, IV.17, and IV.18.)

Extended responsibility

I.46 Encourage others, in a manner consistent with this Code, to respect the dignity of persons and to expect respect for their own dignity.
I.47 Assume overall responsibility for the scientific and professional activities of their assistants, employees, students, supervisees, and trainees with regard to Respect for the Dignity of Persons, all of whom, however, incur similar obligations.

 

Principle II: Responsible Caring

Values statement

A basic ethical expectation of any discipline is that its activities will benefit members of society or, at least, do no harm. Therefore, psychologists demonstrate an active concern for the welfare of any individual, family, group, or community with whom they relate in their role as psychologists. This concern includes both those directly involved and those indirectly involved in their activities. However, as with Principle I, psychologists' greatest responsibility is to protect the welfare of those in the most vulnerable position. Normally, persons directly involved in their activities (e.g., research participants, clients, students) are in such a position. Psychologists' responsibility to those indirectly involved (e.g., employers, third party payers, the general public) normally is secondary.

 

As persons usually consider their own welfare in their personal decision making, obtaining informed consent (see Principle I) is one of the best methods for ensuring that their welfare will be protected. However, it is only when such consent is combined with the responsible caring of the psychologist that there is considerable ethical protection of the welfare of the person(s) involved.

 

Responsible caring leads psychologists to take care to discern the potential harm and benefits involved, to predict the likelihood of their occurrence, to proceed only if the potential benefits outweigh the potential harms, to develop and use methods that will minimize harms and maximize benefits, and to take responsibility for correcting clearly harmful effects that have occurred as a direct result of their research, teaching, practice, or business activities.

In order to carry out these steps, psychologists recognize the need for competence and self-knowledge. They consider incompetent action to be unethical per se, as it is unlikely to be of benefit and likely to be harmful. They engage only in those activities in which they have competence or for which they are receiving supervision, and they perform their activities as competently as possible. They acquire, contribute to, and use the existing knowledge most relevant to the best interests of those concerned. They also engage in self-reflection regarding how their own values, attitudes, experiences, and social context (e.g., culture, ethnicity, colour, religion, sex, gender, sexual orientation, physical and mental abilities, age, and socio-economic status) influence their actions, interpretations, choices, and recommendations. This is done with the intent of increasing the probability that their activities will benefit and not harm the individuals, families, groups, and communities to whom they relate in their role as psychologists. Psychologists define harm and benefit in terms of both physical and psychological dimensions. They are concerned about such factors as: social, family, and community relationships; personal and cultural identity; feelings of self-worth, fear, humiliation, interpersonal trust, and cynicism; self-knowledge and general knowledge; and, such factors as physical safety, comfort, pain, and injury. They are concerned about immediate, short-term, and long-term effects.

 

Responsible caring recognizes and respects (e.g., through obtaining informed consent) the ability of individuals, families, groups, and communities to make decisions for themselves and to care for themselves and each other. It does not replace or undermine such ability, nor does it substitute one person's opinion about what is in the best interests of another person for that other person's competent decision making. However, psychologists recognize that, as vulnerabilities increase or as power to control one's own life decreases, psychologists have an increasing responsibility to protect the wellbeing of the individual, family, group, or community involved. For this reason, as in Principle I, psychologists consider it their responsibility to increase safeguards proportionate to the degree of dependency and the lack of voluntary initiation on the part of the persons involved. However, for Principle II, the safeguards are for the well-being of persons rather than for the rights of persons.

 

Psychologists' treatment and use of animals in their research and teaching activities are also a component of responsible caring. Although animals do not have the same moral rights as persons (e.g., privacy), they do have the right to be treated humanely and not to be exposed to unnecessary discomfort, pain, or disruption.

 

By virtue of the social contract that the discipline has with society, psychologists have a higher duty of care to members of society than the general duty of care all members of society have to each other. However, psychologists are entitled to protect their own basic well-being (e.g., physical safety, family relationships) in their work as psychologists.

Ethical Standards

In adhering to the Principle of Responsible Caring, psychologists would:

General caring

II.1 Protect and promote the welfare of clients, research participants, employees, supervisees, students, trainees, colleagues, and others.
II.2 Avoid doing harm to clients, research participants, employees, supervisees, students, trainees, colleagues, and others.
II.3 Accept responsibility for the consequences of their actions.
II.4 Refuse to advise, train, or supply information to anyone who, in the psychologist's judgment, will use the knowledge or skills to harm others.
II.5 Make every reasonable effort to ensure that psychological knowledge is not misused, intentionally or unintentionally, to harm others.

Competence and self-knowledge

II.6 Offer or carry out (without supervision) only those activities for which they have established their competence to carry them out to the benefit of others.
II.7 Not delegate activities to persons not competent to carry them out to the benefit of others.
II.8 Take immediate steps to obtain consultation or to refer a client to a colleague or other appropriate professional, whichever is more likely to result in providing the client with competent service, if it becomes apparent that a client's problems are beyond their competence.
II.9 Keep themselves up to date with a broad range of relevant knowledge, research methods, and techniques, and their impact on persons and society, through the reading of relevant literature, peer consultation, and continuing education activities, in order that their service or research activities and conclusions will benefit and not harm others.
II.10 Evaluate how their own experiences, attitudes, culture, beliefs, values, social context, individual differences, specific training, and stresses influence their interactions with others, and integrate this awareness into all efforts to benefit and not harm others.
II.11 Seek appropriate help and/or discontinue scientific or professional activity for an appropriate period of time, if a physical or psychological condition reduces their ability to benefit and not
harm others.
II.12 Engage in self-care activities that help to avoid conditions (e.g., burnout, addictions) that could result in impaired judgment and interfere with their ability to benefit and not harm others.

Risk/benefit analysis

II.13 Assess the individuals, families, groups, and communities involved in their activities adequately enough to ensure that they will be able to discern what will benefit and not harm the persons involved.
II.14 Be sufficiently sensitive to and knowledgeable about individual, group, community, and cultural differences and vulnerabilities to discern what will benefit and not harm persons involved in their activities.
II.15 Carry out pilot studies to determine the effects of all new procedures and techniques that might carry more than minimal risk, before considering their use on a broader scale.
II.16 Seek an independent and adequate ethical review of the balance of risks and potential benefits of all research and new interventions that involve procedures of unknown consequence, or where pain, discomfort, or harm are possible, before making a decision to proceed.
II.17 Not carry out any scientific or professional activity unless the probable benefit is proportionately greater than the risk involved.

Maximize benefit

II.18 Provide services that are coordinated over time and with other service providers, in order to avoid duplication or working at cross purposes.
II.19 Create and maintain records relating to their activities that are sufficient to support continuity and appropriate coordination of their activities with the activities of others.
II.20 Make themselves aware of the knowledge and skills of other disciplines (e.g., law, medicine, business administration) and advise the use of such knowledge and skills, where relevant to the benefit of others.
II.21 Strive to provide and/or obtain the best possible service for those needing and seeking psychological service. This may include, but is not limited to: selecting interventions that are relevant to the needs and characteristics of the client and that have reasonable theoretical or empirically-supported efficacy in light of those needs and characteristics; consulting with, or including in service delivery, persons relevant to the culture or belief systems of those served; advocating on behalf of the client; and, recommending professionals other than psychologists when appropriate.
II.22 Monitor and evaluate the effect of their activities, record their findings, and communicate new knowledge to relevant others.
II.23 Debrief research participants in such a way that the participants' knowledge is enhanced and the participants have a sense of contribution to knowledge. (Also see Standards III.26 and III.27.)
II.24 Perform their teaching duties on the basis of careful preparation, so that their instruction is current and scholarly.
II.25 Facilitate the professional and scientific development of their employees, supervisees, students, and trainees by ensuring that these persons understand the values and ethical prescriptions of the discipline, and by providing or arranging for adequate working conditions, timely evaluations, and constructive consultation and experience opportunities.
II.26 Encourage and assist students in publication of worthy student papers.

Minimize harm

II.27 Be acutely aware of the power relationship in therapy and, therefore, not encourage or engage in sexual intimacy with therapy clients, neither during therapy, nor for that period of time following therapy during which the power relationship reasonably could be expected to influence the client's personal decision making. (Also see Standard III.31.)
II.28 Not encourage or engage in sexual intimacy with students or trainees with whom the psychologist has an evaluative or other relationship of direct authority. (Also see Standard III.31.)
II.29 Be careful not to engage in activities in a way that could place incidentally involved persons at risk.
II.30 Be acutely aware of the need for discretion in the recording and communication of information, in order that the information not be misinterpreted or misused to the detriment of others. This includes, but is not limited to: not recording information that could lead to misinterpretation and misuse; avoiding conjecture; clearly labelling opinion; and, communicating information in language that can be understood clearly by the recipient of the information.
II.31 Give reasonable assistance to secure needed psychological services or activities, if personally unable to meet requests for needed psychological services or activities.
II.32 Provide a client, if appropriate and if desired by the client, with reasonable assistance to find a way to receive needed services in the event that third party payments are exhausted and the client cannot afford the fees involved.
II.33 Maintain appropriate contact, support, and responsibility for caring until a colleague or other professional begins service, if referring a client to a colleague or other professional.
II.34 Give reasonable notice and be reasonably assured that discontinuation will cause no harm to the client, before discontinuing services.
II.35 Screen appropriate research participants and select those least likely to be harmed, if more than minimal risk of harm to some research participants is possible.
II.36 Act to minimize the impact of their research activities on research participants' personalities, or on their physical or mental integrity.

Offset/correct harm

II.37 Terminate an activity when it is clear that the activity carries more than minimal risk of harm and is found to be more harmful than beneficial, or when the activity is no longer needed.
II.38 Refuse to help individuals, families, groups, or communities to carry out or submit to activities that, according to current knowledge, or legal or professional guidelines, would cause serious physical or psychological harm to themselves or others.
II.39 Do everything reasonably possible to stop or offset the consequences of actions by others when these actions are likely to cause serious physical harm or death. This may include reporting to appropriate authorities (e.g., the police), an intended victim, or a family member or other support person who can intervene, and would be done even when a confidential relationship is involved. (Also see Standard I.45.)
II.40 Act to stop or offset the consequences of seriously harmful activities being carried out by another psychologist or member of another discipline, when there is objective information about the activities and the harm, and when these activities have come to their attention outside of a confidential client relationship between themselves and the psychologist or member of another discipline. This may include reporting to the appropriate regulatory body, authority, or committee for action, depending on the psychologist's judgment about the person(s) or body(ies) best suited to stop or offset the harm, and depending upon regulatory requirements and definitions of misconduct.
II.41 Act also to stop or offset the consequences of harmful activities carried out by another psychologist or member of another discipline, when the harm is not serious or the activities appear to be primarily a lack of sensitivity, knowledge, or experience, and when the activities have come to their attention outside of a confidential client relationship between themselves and the psychologist or member of another discipline. This may include talking informally with the psychologist or member of the other discipline, obtaining objective information and, if possible and relevant, the assurance that the harm will discontinue and be corrected. If in a vulnerable position (e.g., employee, trainee) with respect to the other psychologist or member of the other discipline, it may include asking persons in less vulnerable positions to participate in the meeting(s).
II.42 Be open to the concerns of others about perceptions of harm that they as a psychologist might be causing, stop activities that are causing harm, and not punish or seek punishment for those who raise such concerns in good faith.
II.43 Not place an individual, group, family, or community needing service at a serious disadvantage by offering them no service in order to fulfill the conditions of a research design, when a standard service is available.
II.44 Debrief research participants in such a way that any harm caused can be discerned, and act to correct any resultant harm. (Also see Standards III.26 and III.27.)

Care of animals

II.45 Not use animals in their research unless there is a reasonable expectation that the research will increase understanding of the structures and processes underlying behaviour, or increase understanding of the particular animal species used in the study, or result eventually in benefits to the health and welfare of humans or other animals.
II.46 Use a procedure subjecting animals to pain, stress, or privation only if an alternative procedure is unavailable and the goal is justified by its prospective scientific, educational, or applied value.
II.47 Make every effort to minimize the discomfort, illness, and pain of animals. This would include performing surgical procedures only under appropriate anaesthesia, using techniques to avoid infection and minimize pain during and after surgery and, if disposing of experimental animals is carried out at the termination of the study, doing so in a humane way.
II.48 Use animals in classroom demonstrations only if the instructional objectives cannot be achieved through the use of video-tapes, films, or other methods, and if the type of demonstration is warranted by the anticipated instructional gain.

Extended responsibility

II.49 Encourage others, in a manner consistent with this Code, to care responsibly.
II.50 Assume overall responsibility for the scientific and professional activities of their assistants, employees, supervisees, students, and trainees with regard to the Principle of Responsible Caring, all of whom, however, incur similar obligations.

 

Principle III: Integrity in Relationships

Values statement

The relationships formed by psychologists in the course of their work embody explicit and implicit mutual expectations of integrity that are vital to the advancement of scientific knowledge and to the maintenance of public confidence in the discipline of psychology. These expectations include: accuracy and honesty; straightforwardness and openness; the maximization of objectivity and minimization of bias; and, avoidance of conflicts of interest. Psychologists have a responsibility to meet these expectations and to encourage reciprocity.

In addition to accuracy, honesty, and the obvious prohibitions of fraud or misrepresentation, meeting expectations of integrity is enhanced by self-knowledge and the use of critical analysis. Although it can be argued that science is value-free and impartial, scientists are not. Personal values and self-interest can affect the questions psychologists ask, how they ask those questions, what assumptions they make, their selection of methods, what they observe and what they fail to observe, and how they interpret their data.

Psychologists are not expected to be value-free or totally without self-interest in conducting their activities. However, they are expected to understand how their backgrounds, personal needs, and values interact with their activities, to be open and honest about the influence of such factors, and to be as objective and unbiased as possible under the circumstances.

The values of openness and straightforwardness exist within the context of Respect for the Dignity of Persons (Principle I) and Responsible Caring (Principle II). As such, there will be circumstances in which openness and straightforwardness will need to be tempered. Fully open and straightforward disclosure might not be needed or desired by others and, in some circumstances, might be a risk to their dignity or well-being, or considered culturally inappropriate. In such circumstances, however, psychologists have a responsibility to ensure that their decision not to be fully open or straightforward is justified by higher-order values and does not invalidate any informed consent procedures.

Of special concern to psychologists is the provision of incomplete disclosure when obtaining informed consent for research participation, or temporarily leading research participants to believe that a research project has a purpose other than its actual purpose. These actions sometimes occur in research where full disclosure would be likely to influence the responses of the research participants and thus invalidate the results. Although research that uses such techniques can lead to knowledge that is beneficial, such benefits must be weighed against the research participant's right to self-determination and the importance of public and individual trust in psychology. Psychologists have a serious obligation to avoid as much as possible the use of such research procedures. They also have a serious obligation to consider the need for, the possible consequences of, and their responsibility to correct any resulting mistrust or other harmful effects from their use.

As public trust in the discipline of psychology includes trusting that psychologists will act in the best interests of members of the public, situations that present real or potential conflicts of interest are of concern to psychologists. Conflict-of-interest situations are those that can lead to distorted judgment and can motivate psychologists to act in ways that meet their own personal, political, financial, or business interests at the expense of the best interests of members of the public. Although avoidance of all conflicts of interest and potential exploitation of others is not possible, some are of such a high risk to protecting the interests of members of the public and to maintaining the trust of the public, that they are considered never acceptable (see Standard III.31). The risk level of other conflicts of interest (e.g., dual or multiple relationships) might be partially dependent on cultural factors and the specific type of professional relationship (e.g., long-term psychotherapy vs. community development activities). It is the responsibility of psychologists to avoid dual or multiple relationships and other conflicts of interest when appropriate and possible. When such situations cannot be avoided or are inappropriate to avoid, psychologists have a responsibility to declare that they have a conflict of interest, to seek advice, and to establish safeguards to ensure that the best interests of members of the public are protected.

Integrity in relationships implies that psychologists, as a matter of honesty, have a responsibility to maintain competence in any specialty area for which they declare competence, whether or not they are currently practising in that area. It also requires that psychologists, in as much as they present themselves as members and representatives of a specific discipline, have a responsibility to actively rely on and be guided by that discipline and its guidelines and requirements.

Ethical Standards

In adhering to the Principle of Integrity in Relationships, psychologists would:

Accuracy/honesty

III.1 Not knowingly participate in, condone, or be associated with dishonesty, fraud, or misrepresentation.
III.2 Accurately represent their own and their colleagues' credentials, qualifications, education, experience, competence, and affiliations, in all spoken, written, or printed communications, being careful not to use descriptions or information that could be misinterpreted (e.g., citing membership in a voluntary association of psychologists as a testament of competence).
III.3 Carefully protect their own and their colleagues' credentials from being misrepresented by others, and act quickly to correct any such misrepresentation.
III.4 Maintain competence in their declared area(s) of psychological competence, as well as in their current area(s) of activity. (Also see Standard II.9.)
III.5 Accurately represent their own and their colleagues' activities, functions, contributions, and likely or actual outcomes of their activities (including research results) in all spoken, written, or printed communication. This includes, but is not limited to: advertisements of services or products; course and workshop descriptions; academic grading requirements; and, research reports.
III.6 Ensure that their own and their colleagues' activities, functions, contributions, and likely or actual outcomes of their activities (including research results) are not misrepresented by others, and act quickly to correct any such misrepresentation.
III.7 Take credit only for the work and ideas that they have actually done or generated, and give credit for work done or ideas contributed by others (including students), in proportion to their contribution.
III.8 Acknowledge the limitations of their own and their colleagues' knowledge, methods, findings, interventions, and views.
III. 9 Not suppress disconfirming evidence of their own and their colleagues' findings and views, acknowledging alternative hypotheses and explanations.

Objectivity/Lack of bias

III.10 Evaluate how their personal experiences, attitudes, values, social context, individual differences, stresses, and specific training influence their activities and thinking, integrating this awareness into all attempts to be objective and unbiased in their research, service, and other activities.
III.11 Take care to communicate as completely and objectively as possible, and to clearly differentiate facts, opinions, theories, hypotheses, and ideas, when communicating knowledge, findings, and views.
III.12 Present instructional information accurately, avoiding bias in the selection and presentation of information, and publicly acknowledge any personal values or bias that influence the selection and presentation of information.
III.13 Act quickly to clarify any distortion by a sponsor, client, agency (e.g., news media), or other persons, of the findings of their research.

Straightforwardness/Openness

III.14 Be clear and straightforward about all information needed to establish informed consent or any other valid written or unwritten agreement (for example: fees, including any limitations imposed by third-party payers; relevant business policies and practices; mutual concerns; mutual responsibilities; ethical responsibilities of psychologists; purpose and nature of the relationship, including research participation; alternatives; likely experiences; possible conflicts; possible outcomes; and, expectations for processing, using, and sharing any information generated).
III.15 Provide suitable information about the results of assessments, evaluations, or research findings to the persons involved, if appropriate and if asked. This information would be communicated in understandable language.
III.16 Fully explain reasons for their actions to persons who have been affected by their actions, if appropriate and if asked.
III.17 Honour all promises and commitments included in any written or verbal agreement, unless serious and unexpected circumstances (e.g., illness) intervene. If such circumstances occur, then the psychologist would make a full and honest explanation to other parties involved.
III.18 Make clear whether they are acting as private citizens, as members of specific organizations or groups, or as representatives of the discipline of psychology, when making statements or when involved in public activities.
III.19 Carry out, present, and discuss research in a way that is consistent with a commitment to honest, open inquiry, and to clear communication of any research aims, sponsorship, social context, personal values, or financial interests that might affect or appear to affect the research.
III.20 Submit their research, in some accurate form and within the limits of confidentiality, to persons with expertise in the research area, for their comments and evaluations, prior to publication or the preparation of any final report.
III.21 Encourage and not interfere with the free and open exchange of psychological knowledge and theory between themselves, their students, colleagues, and the public.
III.22 Make no attempt to conceal the status of a trainee and, if a trainee is providing direct client service, ensure that the client is informed of that fact.

Avoidance of deception

III.23 Not engage in incomplete disclosure, or in temporarily leading research participants to believe that a research project or some aspect of it has a different purpose, if there are alternative procedures available or if the negative effects cannot be predicted or offset.
III.24 Not engage in incomplete disclosure, or in temporarily leading research participants to believe that a research project or some aspect of it has a different purpose, if it would interfere with the person's understanding of facts that clearly might influence a decision to give adequately informed consent (e.g., withholding information about the level of risk, discomfort, or inconvenience).
III.25 Use the minimum necessary incomplete disclosure or temporary leading of research participants to believe that a research project or some aspect of it has a different purpose, when such research procedures are used.
III.26 Debrief research participants as soon as possible after the participants' involvement, if there has been incomplete disclosure or temporary leading of research participants to believe that a research project or some aspect of it has a different purpose.
III.27 Provide research participants, during such debriefing, with a clarification of the nature of the study, seek to remove any misconceptions that might have arisen, and seek to re-establish any trust that might have been lost, assuring the participants that the research procedures were neither arbitrary nor capricious, but necessary for scientifically valid findings. (Also see Standards II.23 and II.44.)
III.28 Act to re-establish with research participants any trust that might have been lost due to the use of incomplete disclosure or temporarily leading research participants to believe that the research project or some aspect of it had a different purpose.
III.29 Give a research participant the option of removing his or her data,if the research participant expresses concern during the debriefing about the incomplete disclosure or the temporary leading of the research participant to believe that the research project or some aspect of it had a different purpose, and if removal of the data will not compromise the validity of the research design and hence diminish the ethical value of the participation of the other research participants.
III.30 Seek an independent and adequate ethical review of the risks to public or individual trust and of safeguards to protect such trust for any research that plans to provide incomplete disclosure or temporarily lead research participants to believe that the research project or some aspect of it has a different purpose, before making a decision to proceed.

Avoidance of conflict of interest

III.31 Not exploit any relationship established as a psychologist to further personal, political, or business interests at the expense of the best interests of their clients, research participants, students, employers, or others. This includes, but is not limited to: soliciting clients of one's employing agency for private practice; taking advantage of trust or dependency to encourage or engage in sexual intimacies (e.g., with clients not included in Standard II.27, with clients' partners or relatives, with students or trainees not included in Standard II.28, or with research participants); taking advantage of trust or dependency to frighten clients into receiving services; misappropriating students' ideas, research or work; using the resources of one's employing institution for purposes not agreed to; giving or receiving kickbacks or bonuses for referrals; seeking or accepting loans or investments from clients; and, prejudicing others against a colleague for reasons of personal gain.
III.32 Not offer rewards sufficient to motivate an individual or group to participate in an activity that has possible or known risks to themselves or others. (Also see Standards I.27, I.28, II.2, and II.49.)
III.33 Avoid dual or multiple relationships (e.g.. with clients, research participants, employees, supervisees, students, or trainees) and other situations that might present a conflict of interest or that might reduce their ability to be objective and unbiased in their determinations of what might be in the best interests of others.
III.34 Manage dual or multiple relationships that are unavoidable due to cultural norms or other circumstances in such a manner that bias, lack of objectivity, and risk of exploitation are minimized. This might include obtaining ongoing supervision or consultation for the duration of the dual or multiple relationship, or involving a third party in obtaining consent (e.g., approaching a client or employee about becoming a research participant).
III.35 Inform all parties, if a real or potential conflict of interest arises, of the need to resolve the situation in a manner that is consistent with Respect for the Dignity of Persons (Principle I) and Responsible Caring (Principle II), and take all reasonable steps to resolve the issue in such a manner.

Reliance on the discipline

III.36 Familiarize themselves with their discipline's rules and regulations, and abide by them, unless abiding by them would be seriously detrimental to the rights or welfare of others as demonstrated in the Principles of Respect for the Dignity of Persons or Responsible Caring. (See Standards IV.17 and IV.18 for guidelines regarding the resolution of such conflicts.) III.37 Familiarize themselves with and demonstrate a commitment to maintaining the standards of their discipline.
III.37 Familiarize themselves with and demonstrate a commitment to maintaining the standards of their discipline.
III.38 Seek consultation from colleagues and/or appropriate groups and committees, and give due regard to their advice in arriving at a responsible decision, if faced with difficult situations.

Extended responsibility

III.39 Encourage others, in a manner consistent with this Code, to relate with integrity.
III.40 Assume overall responsibility for the scientific and professional activities of their assistants, employees, supervisees, students, and trainees with regard to the Principle of Integrity in Relationships, all of whom, however, incur similar obligations.

 

Principle IV: Responsibility to Society

Values statement

Psychology functions as a discipline within the context of human society.1 Psychologists, both in their work and as private citizens, have responsibilities to the societies in which they live and work, such as the neighbourhood or city, and to the welfare of all human beings in those societies.

Two of the legitimate expectations of psychology as a science and a profession are that it will increase knowledge and that it will conduct its affairs in such ways that it will promote the welfare of all human beings.

Freedom of enquiry and debate (including scientific and academic freedom) is a foundation of psychological education, science, and practice. In the context of society, the above expectations imply that psychologists will exercise this freedom through the use of activities and methods that are consistent with ethical requirements.

The above expectations also imply that psychologists will do whatever they can to ensure that psychological knowledge, when used in the development of social structures and policies, will be used for beneficial purposes, and that the discipline's own structures and policies will support those beneficial purposes. Within the context of this document, social structures and policies that have beneficial purposes are defined as those that more readily support and reflect respect for the dignity of persons, responsible caring, integrity in relationships, and responsibility to society. If psychological knowledge or structures are used against these purposes, psychologists have an ethical responsibility to try to draw attention to and correct the misuse. Although this is a collective responsibility, those psychologists having direct involvement in the structures of the discipline, in social development, or in the theoretical or research data base that is being used (e.g., through research, expert testimony, or policy advice) have the greatest responsibility to act. Other psychologists must decide for themselves the most appropriate and beneficial use of their time and talents to help meet this collective responsibility.

In carrying out their work, psychologists acknowledge that many social structures have evolved slowly over time in response to human need and are valued by the societies that have developed them. In such circumstances, psychologists convey respect for such social structures and avoid unwarranted or unnecessary disruption. Suggestions for and action toward changes or enhancement of such structures are carried out through processes that seek to achieve a consensus within those societies and/or through democratic means.

On the other hand, if structures or policies seriously ignore or oppose the principles of respect for the dignity of persons, responsible caring, integrity in relationships, or responsibility to society, psychologists involved have a responsibility to speak out in a manner consistent with the principles of this Code, and advocate for appropriate change to occur as quickly as possible.

In order to be responsible and accountable to society, and to contribute constructively to its ongoing development, psychologists need to be willing to work in partnership with others, be self-reflective, and be open to external suggestions and criticisms about the place of the discipline of psychology in society. They need to engage in even-tempered observation and interpretation of the effects of societal structures and policies, and their process of change, developing the ability of psychologists to increase the beneficial use of psychological knowledge and structures, and avoid their misuse. The discipline needs to be willing to set high standards for its members, to do what it can to assure that such standards are met, and to support its members in their attempts to maintain the standards. Once again, individual psychologists must decide for themselves the most appropriate and beneficial use of their time and talents in helping to meet these collective responsibilities.

Footnote 2: Society is used here in the broad sense of a group of persons living as members of one or more human communities, rather than in the limited sense of state or government.

Ethical Standards

In adhering to the Principle of Responsibility to Society, psychologists would:

Development of knowledge

IV.1 Contribute to the discipline of psychology and of society's understanding of itself and human beings generally, through free enquiry and the acquisition, transmission, and expression of knowledge and ideas, unless such activities conflict with other basic ethical requirements.
IV.2 Not interfere with, or condone interference with, free enquiry and the acquisition, transmission, and expression of knowledge and ideas that do not conflict with other basic ethical requirements.
IV.3 Keep informed of progress in their area(s) of psychological activity, take this progress into account in their work, and try to make their own contributions to this progress.

Beneficial activities

IV.4 Participate in and contribute to continuing education and the professional and scientific growth of self and colleagues.
IV.5 Assist in the development of those who enter the discipline of psychology by helping them to acquire a full understanding of their ethical responsibilities, and the needed competencies of their chosen area(s), including an understanding of critical analysis and of the variations, uses, and possible misuses of the scientific paradigm.
IV.6 Participate in the process of critical self-evaluation of the discipline's place in society, and in the development and implementation of structures and procedures that help the discipline to contribute to beneficial societal functioning and changes.
IV.7 Provide and/or contribute to a work environment that supports the respectful expression of ethical concern or dissent, and the constructive resolution of such concern or dissent.
IV.8 Engage in regular monitoring, assessment, and reporting (e.g., through peer review, and in programme reviews, case management reviews, and reports of one's own research) of their ethical practices and safeguards.
IV.9 Help develop, promote, and participate in accountability processes and procedures related to their work
IV.10 Uphold the discipline's responsibility to society by promoting and maintaining the highest standards of the discipline.
IV.11 Protect the skills, knowledge, and interpretations of psychology from being misused, used incompetently, or made useless (e.g., loss of security of assessment techniques) by others.
IV.12 Contribute to the general welfare of society (e.g., improving accessibility of services, regardless of ability to pay) and/or to the general welfare of their discipline, by offering a portion of their time to work for which they receive little or no financial return.
IV.13 Uphold the discipline's responsibility to society by bringing incompetent or unethical behaviour, including misuses of psychological knowledge and techniques, to the attention of appropriate authorities, committees, or regulatory bodies, in a manner consistent with the ethical principles of this Code, if informal resolution or correction of the situation is not appropriate or possible.
IV.14 Enter only into agreements or contracts that allow them to act in accordance with the ethical principles and standards of this Code.

Respect for society

IV.15 Acquire an adequate knowledge of the culture, social structure, and customs of a community before beginning any major work there.
IV.16 Convey respect for and abide by prevailing community mores, social customs, and cultural expectations in their scientific and professional activities, provided that this does not contravene any of the ethical principles of this Code.
IV.17 Familiarize themselves with the laws and regulations of the societies in which they work, especially those that are related to their activities as psychologists, and abide by them. If those laws or regulations seriously conflict with the ethical principles contained herein, psychologists would do whatever they could to uphold the ethical principles. If upholding the ethical principles could result in serious personal consequences (e.g., jail or physical harm), decision for final action would be considered a matter of personal conscience.
IV.18 Consult with colleagues, if faced with an apparent conflict between abiding by a law or regulation and following an ethical principle, unless in an emergency, and seek consensus as to the most ethical course of action and the most responsible, knowledgeable, effective, and respectful way to carry it out.

Development of society

IV.19 Act to change those aspects of the discipline of psychology that detract from beneficial societal changes, where appropriate and possible.
IV.20 Be sensitive to the needs, current issues, and problems of society, when determining research questions to be asked, services to be developed, content to be taught, information to be collected, or appropriate interpretation of results or findings.
IV.21 Be especially careful to keep well informed of social issues through relevant reading, peer consultation, and continuing education, if their work is related to societal issues.
IV.22 Speak out, in a manner consistent with the four principles of this Code, if they possess expert knowledge that bears on important societal issues being studied or discussed.
IV.23 Provide thorough discussion of the limits of their data with respect to social policy, if their work touches on social policy and structure.
IV.24 Consult, if feasible and appropriate, with groups, organizations, or communities being studied, in order to increase the accuracy of interpretation of results and to minimize risk of misinterpretation or misuse.
IV.25 Make themselves aware of the current social and political climate and of previous and possible future societal misuses of psychological knowledge, and exercise due discretion in communicating psychological information (e.g., research results, theoretical knowledge), in order to discourage any further misuse.
IV.26 Exercise particular care when reporting the results of any work regarding vulnerable groups, ensuring that results are not likely to be misinterpreted or misused in the development of social policy, attitudes, and practices (e.g., encouraging manipulation of vulnerable persons or reinforcing discrimination against any specific population).
IV.27 Not contribute to nor engage in research or any other activity that contravenes international humanitarian law, such as the development of methods intended for use in the torture of persons, the development of prohibited weapons, or destruction of the environment.
IV.28 Provide the public with any psychological knowledge relevant to the public's informed participation in the shaping of social policies and structures, if they possess expert knowledge that bears on the social policies and structures.
IV.29 Speak out and/or act, in a manner consistent with the four principles of this Code, if the policies, practices, laws, or regulations of the social structure within which they work seriously ignore or contradict any of the principles of this Code.

Extended responsibility

IV.30 Encourage others, in a manner consistent with this Code, to exercise responsibility to society.
IV.31 Assume overall responsibility for the scientific and professional activities of their assistants, employees, supervisees, students, and trainees with regard to the Principle of Responsibility to Society, all of whom, however, incur similar obligations.

 

 

 

PREAMBLE

The members of the American Music Therapy Association, Inc., hereby recognize and publicly accept the proposition that the fundamental purposes of the profession are the progressive development of the use of music to accomplish therapeutic aims and the advancement of training, education, and research in music therapy. Our objectives are to determine and utilize music therapy approaches that effectively aid in the restoration, maintenance, and improvement in mental and physical health. To that end, we believe in the dignity and worth of every person. We promote the use of music in therapy, establish and maintain high standards in public service, and require of ourselves the utmost in ethical conduct.

 

This Code of Ethics is applicable to all those holding the MT-BC credential or a professional designation of the National Music Therapy Registry and professional membership in the American Music Therapy Association. This Code is also applicable to music therapy students and interns under clinical supervision. We shall not use our professional positions or relationships, nor permit ourselves or our services to be used by others for purposes inconsistent with the principles set forth in this document. Upholding our right to freedom of inquiry and communication, we accept the responsibilities inherent in such freedom: competency, objectivity, consistency, integrity, and continual concern for the best interests of society and our profession. Therefore, we collectively and individually affirm the following declarations of professional conduct.

 

1.0 Professional Competence and Responsibilities

1.1 The MT will perform only those duties for which he/she has been adequately trained, not engaging outside his/her area of competence.

 

 

1.2 The MT will state his/her qualifications, titles, and professional affiliation(s) accurately.

 

1.3 The MT will participate in continuing education activities to maintain and improve his/her knowledge and skills.

 

1.4 The MT will assist the public in identifying competent and qualified music therapists and will discourage the misuse and incompetent practice of music therapy.

 

1.5 The MT is aware of personal limitations, problems, and values that might interfere with his/her professional work and, at an early stage, will take whatever action is necessary (i.e., seeking professional help, limiting or discontinuing work with clients, etc.) to ensure that services to clients are not affected by these limitations and problems.

 

1.6 The MT respects the rights of others to hold values, attitudes, and opinions that differ from his/her own.

 

1.7 The MT does not engage in sexual harassment.

 

1.8 The MT accords sexual harassment grievants and respondents dignity and respect, and does not base decisions solely upon their having made, or having been the subject of, sexual harassment charges.

 

1.9 The MT practices with integrity, honesty, fairness, and respect for others.

 

1.10 The MT delegates to his/her employees, students, or co-workers only those responsibilities that such persons can reasonably be expected to perform competently on the basis of their training and experience. The MT takes reasonable steps to see that such persons perform services competently; and, if institutional policies prevent fulfillment of this obligation, the MT attempts to correct the situation to the extent feasible.

 

2.0 General Standards

2.1 The MT will strive for the highest standards in his/her work, offering the highest quality of services to clients/students.

 

2.2 The MT will use procedures that conform with his/her interpretation of the Standards of Clinical Practice of the American Music Therapy Association, Inc.

 

2.3 Moral and Legal Standards

 

2.3.1 The MT respects the social and moral expectations of the community in which he/she works. The MT is aware that standards of behavior are a personal matter as they are for other citizens, except as they may concern the fulfillment of professional duties or influence the public attitude and trust towards the profession.

 

2.3.2 The MT refuses to participate in activities that are illegal or inhumane, that violate the civil rights of others, or that discriminate against individuals based upon race, ethnicity, language, religion, marital status, gender, sexual orientation, age, ability, socioeconomic status, or political affiliation. In addition, the MT works to eliminate the effect on his or her work of biases based upon these factors.

 

3.0 Relationships with Clients/Students/Research Subjects

 

3.1 The welfare of the client will be of utmost importance to the MT.

 

3.2 The MT will protect the rights of the individuals with whom he/she works. These rights will include, but are not limited to the following:

 

• right to safety;
• right to dignity;
• legal and civil rights;
• right to treatment;
• right to self-determination;
• right to respect; and
• right to participate in treatment decisions.

 

3.3 The MT will not discriminate in relationships with clients/students/research subjects because of race, ethnicity, language, religion, marital status, gender, sexual orientation, age, ability, socioeconomic status or political affiliation.

 

3.4 The MT will not exploit clients/students/research subjects sexually, physically, financially or emotionally.

 

3.5 The MT will not enter into dual relationships with clients/students/research subjects and will avoid those situations that interfere with professional judgment or objectivity (e.g., those involving competitive and/or conflicting interests) in their relationships.

 

3.6 The MT will exert caution in predicting the results of services offered, although a reasonable statement of prognosis and/or progress may be made. The MT will make only those claims to clients concerning the efficacy of services that would be willingly submitted for professional scrutiny through peer review, publication in a professional journal, or documentation in the client's record.

 

3.7 The MT will offer music therapy services only in the context of a professional relationship and in a setting which insures safety and protection for both client and therapist. The MT will avoid deception in representations of music therapy to the public.

 

3.8 The MT will inform the client and/or guardian as to the purpose, nature, and effects of assessment and treatment.

3.9 The MT will use every available resource to serve the client best.

 

3.10 The MT will utilize the profession's Standards of Practice as a guideline in accepting or declining referrals or requests for services, as well as in terminating or referring clients when the client no longer benefits from the therapeutic relationship.

 

3.11 In those emerging areas of practice for which generally recognized standards are not yet defined, the MT will nevertheless utilize cautious judgment and will take reasonable steps to ensure the competence of his/her work, as well as to protect clients, students, and research subjects from harm.

 

3.12 Confidentiality

 

3.12.1 The MT protects the confidentiality of information obtained in the course of practice, supervision, teaching, and/or research.

 

3.12.2 In compliance with federal, state and local regulations and organizational policies and procedures, confidential information may be revealed under circumstances which include but are not limited to:

 

a. when, under careful deliberation, it is decided that society, the client, or other individuals appear to be in imminent danger. In this situation, information may be shared only with the appropriate authorities, professionals or others. The client is made aware of this when possible and if reasonable.

b. when other professionals within a facility or agency are directly related with the case or situation.

c. when the client consents to the releasing of confidential information.

d. when compelled by a court or administrative order or subpoena, provided such order or subpoena is valid and served in accordance with applicable law.

 

3.12.3 The MT informs clients of the limits of confidentiality prior to beginning treatment.

 

3.12.4 The MT disguises the identity of the client in the presentation of case materials for research and teaching. Client or guardian consent is obtained, with full disclosure of the intended use of the material.

 

3.12.5 All forms of individually identifiable client information, including, but not limited to verbal, written, electronic, pictorial, and audio or video recordings will be acquired with informed client or guardian consent and will be maintained in a confidential manner by the MT. Also, adequate security will be exercised in the preservation and ultimate disposition of these records.

 

3.12.6 Information obtained in the course of evaluating services, consulting, supervision, peer review, and quality assurance procedures will be kept confidential.

4.0 Relationships with Colleagues

4.1 The MT acts with integrity in regard to colleagues in music therapy and other professions and will cooperate with them whenever appropriate.

 

4.2 The MT will not offer professional services to a person receiving music therapy from another music therapist except by agreement with that therapist or after termination of the client's relationship with that therapist.

 

4.3 The MT will attempt to establish harmonious relations with members from other professions and professional organizations and will not damage the professional reputation or practice of others.

 

4.4 The MT will share with other members of the treatment team information concerning evaluative and therapeutic goals and procedures used.

 

5.0 Relationship with Employers

5.1 The MT will observe the regulations, policies, and procedures of employers with the exception of those that are in violation of this code of ethics.

 

5.2 The MT will inform employers of conditions that may limit the effectiveness of the services being rendered.

 

5.3 When representing the employer or agency, the MT will differentiate personal views from those of the profession, the employer, and the agency.

 

5.4 The MT will provide services in an ethical manner and will protect the property, integrity, and reputation of the employing agency.

 

5.5 The MT will utilize the agency's facilities and resources only as authorized.

 

5.6 The MT will not use his/her position to obtain clients for private practice, unless authorized to do so by the employing agency.

 

6.0 Responsibility to Community/Public

 

6.1 The MT will strive to increase public awareness of music therapy.

 

6.2 The MT engaged in a private practice or business will abide by federal, state and local regulations relevant to self-employment including but not limited to professional liability, registering and maintaining a business, tax codes and liability, confidentiality and reimbursement.

7.0 Responsibility to the Profession/Association

 

7.1 The MT respects the rights, rules, and reputation of his/her professional association.

 

7.2 The MT will distinguish personal from professional views when acting on behalf of his/her association. The MT will represent the association only with appropriate authorization.

 

7.3 The MT will strive to increase the level of knowledge, skills, and research within the profession.

 

7.4 The MT will refrain from the misuse of an official position within the association.

 

7.5 The MT will exercise integrity and confidentiality when carrying out his/her official duties in the association.

 

8.0 Research

 

8.1 The MT establishes a precise agreement with research subjects prior to their participation in the study. In this agreement, the responsibilities and rights of all parties are explained, and written consent is obtained. The MT explains all aspects of the research that might influence the subject's willingness to participate, including all possible risks and benefits. The MT will avoid any deception in research.

 

8.2 Participation of subjects in music therapy research will be voluntary. Appropriate authorization will be obtained both from the subjects involved (or specified guardians) and the facility. The subject is free to refuse to participate or to withdraw from the research at any time without penalty or loss of services.

 

8.3 The MT is ultimately responsible for protecting the welfare of the research subjects, both during and after the study, in the event of aftereffects, and will take all precautions to avoid injurious psychological, physical, or social effects to the subjects.

 

8.4 The MT will store research data in a secure location accessible only to the researcher. The researcher will determine a set period of time after completion of the study by which all research data must be shredded or erased.

 

8.5 The MT will be competent in his/her research efforts, being cognizant of his/her limits.

 

8.6 The MT will present his/her findings without distortion and in a manner that will not be misleading.

 

8.7 Publication Credit

 

8.7.1 Credit is assigned only to those who have contributed to a publication, in proportion to their contribution.

 

8.7.2 Major contributions of a professional nature made by several persons to a common project will be recognized by joint authorship.

 

8.7.3 Minor contributions such as editing or advising, will be recognized in footnotes or in an introductory statement.

 

8.7.4 Acknowledgment through specific citations will be made for unpublished as well as published material that has directly influenced the research or writing.

 

8.7.5 The MT who compiles and edits for publication the contribution of others will publish the symposium or report under the title of the committee or symposium, with the therapist's name appearing as chairperson or editor among those of the other contributors or committee members.

9.0 Fees and Commercial Activities

9.1 The MT accepts remuneration only for services actually rendered by himself or herself or under his or her supervision and only in accordance with professional standards that safeguard the best interest of clients and the profession.

9.2 The MT will not take financial advantage of a client. The MT will take into account the client's ability to pay. Financial considerations are secondary to the client's welfare.

 

9.3 Private fees may not be accepted or charged for services when the MT receives remuneration for these services by the agency.

 

9.4 No gratuities, gifts or favors should be accepted from clients that could interfere with the MT's decisions or judgments.

 

9.5 Referral sources may not receive a commission fee, or privilege for making referrals (fee-splitting).

 

9.6 The MT will not engage in commercial activities that conflict with responsibilities to clients or colleagues.

 

9.7 The materials or products dispensed to clients should be in the client's best interest, with the client's having the freedom of choice. The MT will not profit from the sale of equipment/materials to clients. Charges for any materials will be separate from the bill for services.

10.0 Announcing Services

 

10.1 The MT will adhere to professional rather than commercial standards in making known his or her availability for professional services. The MT will offer music therapy services only in a manner that neither discredits the profession nor decreases the trust of the public in the profession.

10.2 The MT will not solicit clients of other MT's.

 

10.3 The MT will make every effort to ensure that public information materials are accurate and complete in reference to professional services and facilities.

 

10.4 The MT will avoid the following in announcing services: misleading or deceptive advertising, misrepresentation of specialty, guarantees or false expectations, and the use of the Association's logo.

 

10.5 The MT will differentiate between private practice and private music studio in announcing services.

 

10.6 The following materials may be used in announcing services (all of which must be dignified in appearance and content): announcement cards, brochures, letterhead, business cards and the internet. The MT may include the following on these materials: name, title, degrees, schools, dates, certification, location, hours, contact information, and an indication of the nature of the services offered.

 

10.7 Announcing services through the mail (to other professionals), a listing in the telephone directory, or the internet (i.e., email, website) are acceptable. No advertisement or announcement will be rendered in a manner that will be untruthful and/or deceive the public.

11.0 Education (Teaching, Supervision, Administration)

 

11.1 The MT involved in teaching establishes a program combining academic, research, clinical, and ethical aspects of practice. The program will include a wide range of methods and exposure to and application of current literature.

 

11.2 The MT involved in education and/or supervision will use his/her skill to help others acquire the knowledge and skills necessary to perform with high standards of professional competence.

 

11.3 Theory and methods will be consistent with recent advances in music therapy and related health fields. The MT involved in education will teach new techniques or areas of study only after first undertaking appropriate training, supervision, study, and/or consultation from persons who are competent in those areas or techniques.

 

11.4 The MT involved in the education of students and internship training will ensure that clinical work performed by students is rendered under adequate supervision by other music therapists, other professionals, and/or the MT educator.

 

11.5 The MT involved in education and/or supervision will evaluate the competencies of students as required by good educational practices and will identify those students whose limitations impede performance as a competent music therapist. The MT will recommend only those students for internship or membership whom he/she feels will perform as competent music therapists and who meet the academic, clinical, and ethical expectations of the American Music Therapy Association, Inc.

 

11.6 The MT involved in the education of students and internship training will serve as an exemplary role model in regard to ethical conduct and the enforcement of the Code of Ethics.

 

11.7 The MT involved in education and training will ensure that students and interns operate under the same ethical standards that govern professionals.

12.0 Implementation

 

12.1 Confronting Ethical Issues

 

12.1.1 MT's have an obligation to be familiar with this Code of Ethics.

 

12.1.2 When a MT is uncertain whether a particular situation or course of action would violate this Code of Ethics, the MT should consult with a member of the Ethics Board.

 

12.1.3 A MT will not disobey this code, even when asked to do so by his/her employer.

 

12.1.4 The MT has an obligation to report ethical violations of this Code by other MT's to the Ethics Board.

 

12.1.5 The MT does not report or encourage reporting of ethics grievances that are frivolous and are intended to harm the respondent rather than to protect the public and preserve the integrity of the field of music therapy.

 

12.1.6 The MT cooperates in ethics investigations, proceedings, and hearings. Failure to cooperate is, itself, an ethics violation.

 

12.1.7 Grievances may be reported by any individual or group who has witnessed an apparent ethical violation by a Music Therapist

 

12.1.8 Neither the Chair nor any other member of the Ethics Board will take part in the informal or formal resolution procedures if s/he has a conflict of interest.

12.2 Informal Resolution of Ethical Violations

 

12.2.1 Upon observing or becoming aware of alleged violations of this Code of Ethics by an MT (hereinafter referred to as the respondent), the observer will consult first with the respondent involved and discuss possible actions to correct the alleged violation when such consultation is appropriate for the resolution of the ethical violation. The MT should document these efforts at informal resolution. In some instances, the individual consultation between the observer and the respondent may be either inappropriate or not feasible. In such instances (which may include, but are not limited to: sexual harassment, fear of physical retaliation, and imminent threats to the observer's employment), the observer should file a formal grievance with an explanation of the reason why individual consultation was not appropriate or feasible.

 

12.3 Formal Resolution of Ethical Violations

 

12.3.1 If an apparent ethical violation is not appropriate for informal resolution or is not resolved through consultation, the observer (herein referred to as the grievant) will submit a written report (herein referred to as the grievance) describing the alleged violation(s) to a member of the Ethics Board. The written report will consist of the following: (a) a signed, dated summary, not longer than one page, of the principle allegations (hereinafter referred to as the charge) against the respondent; (b) a thorough explanation of the alleged violation(s); (c) a summary of informal resolution attempts, when such have been made; and (d) collaborative documentation, including signed statements by witnesses, if available.

 

12.3.2 The grievance must be made within one year of the last instance of the alleged violation(s) of this code.

 

12.3.3 Upon receipt of the grievance by the member of the Ethics, the member in consultation with the Ethics Chairperson and the Executive Director of AMTA will advise the MT respondent, in writing and within 45 days, that an ethics grievance has been made against him/her. Included in this notification will be a copy of the signed charge. The Ethics Board member will invite the respondent to submit a written defense within 60 days, including corroborative documentation and/or signed statements by witnesses, if available.

 

12.3.4 The Ethics Chairperson, or his/her designee from the Ethics Board, will conduct an initial inquiry into the grievance to confirm (a) the seriousness of the charge and (b) the possibility of resolution of the issue without a formal hearing.

 

12.3.5 After the initial inquiry, the Ethics Chairperson or designee may, at his or her discretion, negotiate a resolution to the grievance that will be presented in writing to the grievant and the respondent. If both parties agree to this resolution, they will sign and abide by the terms therein stated.

 

12.3.6 The initial inquiry by the Ethics Chairperson or designee, and negotiated attempts at a resolution, will be conducted within 45 days following receipt of the respondent's defense.

 

12.3.7 If agreement to a negotiated resolution is not reached, or if 45 days have passed following receipt of the respondent's defense, the Ethics Chairperson will initiate the formal procedure. At that time the Ethics Chairperson will inform in writing the Ethics Board, the Executive Director of AMTA, the President of AMTA, the grievant, and the respondent that the formal hearing procedure has begun and appoint a chair for the hearing panel.

 

12.4 Group Grievances

 

12.4.1 If the Ethics Chairperson or designee receives more than one grievance related in a substantive way against the same party, the chair or designee may choose to combine the grievances into a single grievance, as long as there is no objection to such combination by the individual grievants. In this instance, the procedure heretofore established will remain the same.

 

12.4.2 If two or more individuals report a grievance against the same party, they may report a group grievance. This will be handled as a single grievance, following established procedures.

 

12.4.3 An employing agency may charge a MT with a violation of this Code of Ethics in the same manner as an individual grievant does so. The employing agency will appoint a representative to function in the role of grievant.

 

12.5 Corrective Actions

12.5.1 If the individual takes no corrective action within the designated time-limit, the panel chair will reconvene the hearing panel to determine recommended sanctions to the Executive Board for action. Possible sanctions may include, but are not limited to:

 

• permanent or time-specific withdrawal of an individual's membership in the Association;
• rehabilitative activity, such as personal therapy;
• a binding agreement by the respondent to conform his/her practice, education/training methods, or research methods to AMTA rules and guidelines;
• a written reprimand;
• recommendation to the National Music Therapy Registry or the Certification Board for Music Therapists (as appropriate) for the withdrawal of professional designation or credential. The MT may appeal the decision of the Ethics Board to the Judicial Review Board.

 

 

Introduction

The American Sociological Association's (ASA's) Code of Ethics sets forth the principles and ethical standards that underlie sociologists' professional responsibilities and conduct. These principles and standards should be used as guidelines when examining everyday professional activities. They constitute normative statements for sociologists and provide guidance on issues that sociologists may encounter in their professional work.

 

ASA's Code of Ethics consists of an Introduction, a Preamble, five General Principles, and specific Ethical Standards. This Code is also accompanied by the Rules and Procedures of the ASA Committee on Professional Ethics which describe the procedures for filing, investigating, and resolving complaints of unethical conduct.

 

The Preamble and General Principles of the Code are aspirational goals to guide sociologists toward the highest ideals of sociology. Although the Preamble and General Principles are not enforceable rules, they should be considered by sociologists in arriving at an ethical course of action and may be considered by ethics bodies in interpreting the Ethical Standards.

 

The Ethical Standards set forth enforceable rules for conduct by sociologists. Most of the Ethical Standards are written broadly in order to apply to sociologists in varied roles, and the application of an Ethical Standard may vary depending on the context. The Ethical Standards are not exhaustive. Any conduct that is not specifically addressed by this Code of Ethics is not necessarily ethical or unethical.

 

Membership in the ASA commits members to adhere to the ASA Code of Ethics and to the Policies and Procedures of the ASA Committee on Professional Ethics. Members are advised of this obligation upon joining the Association and that violations of the Code may lead to the imposition of sanctions, including termination of membership. ASA members subject to the Code of Ethics may be reviewed under these Ethical Standards only if the activity is part of or affects their work-related functions, or if the activity is sociological in nature. Personal activities having no connection to or effect on sociologists' performance of their professional roles are not subject to the Code of Ethics.

 

Preamble

This Code of Ethics articulates a common set of values upon which sociologists build their professional and scientific work. The Code is intended to provide both the general principles and the rules to cover professional situations encountered by sociologists. It has as its primary goal the welfare and protection of the individuals and groups with whom sociologists work. It is the individual responsibility of each sociologist to aspire to the highest possible standards of conduct in research, teaching, practice, and service.

 

The development of a dynamic set of ethical standards for a sociologist's work-related conduct requires a personal commitment to a lifelong effort to act ethically; to encourage ethical behavior by students, supervisors, supervisees, employers, employees, and colleagues; and to consult with others as needed concerning ethical problems. Each sociologist supplements, but does not violate, the values and rules specified in the Code of Ethics based on guidance drawn from personal values, culture, and experience.

 

General Principles

The following General Principles are aspirational and serve as a guide for sociologists in determining ethical courses of action in various contexts. They exemplify the highest ideals of professional conduct.

 

Principle A: Professional Competence

Sociologists strive to maintain the highest levels of competence in their work; they recognize the limitations of their expertise; and they undertake only those tasks for which they are qualified by education, training, or experience. They recognize the need for ongoing education in order to remain professionally competent; and they utilize the appropriate scientific, professional, technical, and administrative resources needed to ensure competence in their professional activities. They consult with other professionals when necessary for the benefit of their students, research participants, and clients.

Principle B: Integrity

Sociologists are honest, fair, and respectful of others in their professional activities—in research, teaching, practice, and service. Sociologists do not knowingly act in ways that jeopardize either their own or others' professional welfare. Sociologists conduct their affairs in ways that inspire trust and confidence; they do not knowingly make statements that are false, misleading, or deceptive.

 

Principle C: Professional and Scientific Responsibility

Sociologists adhere to the highest scientific and professional standards and accept responsibility for their work. Sociologists understand that they form a community and show respect for other sociologists even when they disagree on theoretical, methodological, or personal approaches to professional activities. Sociologists value the public trust in sociology and are concerned about their ethical behavior and that of other sociologists that might compromise that trust. While endeavoring always to be collegial, sociologists must never let the desire to be collegial outweigh their shared responsibility for ethical behavior. When appropriate, they consult with colleagues in order to prevent or avoid unethical conduct.

 

Principle D: Respect for People's Rights, Dignity, and Diversity

Sociologists respect the rights, dignity, and worth of all people. They strive to eliminate bias in their professional activities, and they do not tolerate any forms of discrimination based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; or marital, domestic, or parental status. They are sensitive to cultural, individual, and role differences in serving, teaching, and studying groups of people with distinctive characteristics. In all of their work-related activities, sociologists acknowledge the rights of others to hold values, attitudes, and opinions that differ from their own.

 

Principle E: Social Responsibility

Sociologists are aware of their professional and scientific responsibility to the communities and societies in which they live and work. They apply and make public their knowledge in order to contribute to the public good. When undertaking research, they strive to advance the science of sociology and to serve the public good.

 

Ethical Standards

1. Professional and Scientific Standards

Sociologists adhere to the highest possible technical standards that are reasonable and responsible in their research, teaching, practice, and service activities. They rely on scientifically and professionally derived knowledge; act with honesty and integrity; and avoid untrue, deceptive, or undocumented statements in undertaking work-related functions or activities.

 

2. Competence

(a) Sociologists conduct research, teach, practice, and provide service only within the boundaries of their competence, based on their education, training, supervised experience, or appropriate professional experience.
(b) Sociologists conduct research, teach, practice, and provide service in new areas or involving new techniques only after they have taken reasonable steps to ensure the competence of their work in these areas.

(c) Sociologists who engage in research, teaching, practice, or service maintain awareness of current scientific and professional information in their fields of activity, and undertake continuing efforts to maintain competence in the skills they use.

(d) Sociologists refrain from undertaking an activity when their personal circumstances may interfere with their professional work or lead to harm for a student, supervisee, human subject, client, colleague, or other person to whom they have a scientific, teaching, consulting, or other professional obligation.

 

3. Representation and Misuse of Expertise

(a) In research, teaching, practice, service, or other situations where sociologists render professional judgments or present their expertise, they accurately and fairly represent their areas and degrees of expertise.

(b) Sociologists do not accept grants, contracts, consultation, or work assignments from individual or organizational clients or sponsors that appear likely to require violation of the standards in this Code of Ethics. Sociologists dissociate themselves from such activities when they discover a violation and are unable to achieve its correction.
(c) Because sociologists' scientific and professional judgments and actions may affect the lives of others, they are alert to and guard against personal, financial, social, organizational, or political factors that might lead to misuse of their knowledge, expertise, or influence.

(d) If sociologists learn of misuse or misrepresentation of their work, they take reasonable steps to correct or minimize the misuse or misrepresentation.

 

4. Delegation and Supervision

(a) Sociologists provide proper training and supervision to their students, supervisees, or employees and take reasonable steps to see that such persons perform services responsibly, competently, and ethically.
(b) Sociologists delegate to their students, supervisees, or employees only those responsibilities that such persons, based on their education, training, or experience, can reasonably be expected to perform either independently or with the level of supervision provided.

5. Nondiscrimination

Sociologists do not engage in discrimination in their work based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable

basis proscribed by law.

6. Non-exploitation

(a) Whether for personal, economic, or professional advantage, sociologists do not exploit persons over whom they have direct or indirect supervisory, evaluative, or other authority such as students, supervisees, employees, or research participants.

(b) Sociologists do not directly supervise or exercise evaluative authority over any person with whom they have a sexual relationship, including students, supervisees, employees, or research participants.

7. Harassment

Sociologists do not engage in harassment of any person, including students, supervisees, employees, or research participants. Harassment consists of a single intense and severe act or of multiple persistent or pervasive acts which are demeaning, abusive, offensive, or create a hostile professional or workplace environment. Sexual harassment may include sexual solicitation, physical advance, or verbal or non-verbal conduct that is sexual in nature. Racial harassment may include unnecessary, exaggerated, or unwarranted attention or attack, whether verbal or non-verbal, because of a person's race or ethnicity.

8. Employment Decisions

Sociologists have an obligation to adhere to the highest ethical standards when participating in employment related decisions, when seeking employment, or when planning to resign from a position.

8.01 Fair Employment Practices

(a) When participating in employment-related decisions, sociologists make every effort to ensure equal opportunity and fair treatment to all full- and part-time employees. They do not discriminate in hiring, promotion, salary, treatment, or any other conditions of employment or career development on the basis of age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable basis proscribed by law.
(b) When participating in employment-related decisions, sociologists specify the requirements for hiring, promotion, tenure, and termination and communicate these requirements thoroughly to full- and part-time employees and prospective employees.
(c) When participating in employment-related decisions, sociologists have the responsibility to be informed of fair employment codes, to communicate this information to employees, and to help create an atmosphere upholding fair employment practices for full- and part-time employees.
(d) When participating in employment-related decisions, sociologists inform prospective full- and part-time employees of any constraints on research and publication and negotiate clear understandings about any conditions that may limit research and scholarly activity.

8.02 Responsibilities of Employees

(a) When seeking employment, sociologists provide prospective employers with accurate and complete information on their professional qualifications and experiences.
(b) When leaving a position, permanently or temporarily, sociologists provide their employers with adequate notice and take reasonable steps to reduce negative effects of leaving.

9. Conflicts of Interest

Sociologists maintain the highest degree of integrity in their professional work and avoid conflicts of interest and the appearance of conflict. Conflicts of interest arise when sociologists' personal or financial interests prevent them from performing their professional work in an unbiased manner. In research, teaching, practice, and service, sociologists are alert to situations that might cause a conflict of interest and take appropriate action to prevent conflict or disclose it to appropriate parties.

9.01 Adherence to Professional Standards

Irrespective of their personal or financial interests or those of their employers or clients, sociologists adhere to professional and scientific standards in (1) the collection, analysis, or interpretation of data; (2) the reporting of research; (3) the teaching, professional presentation, or public dissemination of sociological knowledge; and (4) the identification or implementation of appropriate contractual, consulting, or service activities.

9.02 Disclosure

Sociologists disclose relevant sources of financial support and relevant personal or professional relationships that may have the appearance of or potential for a conflict of interest to an employer or client, to the sponsors of their professional work, or in public speeches and writing.

9.03 Avoidance of Personal Gain

(a) Under all circumstances, sociologists do not use or otherwise seek to gain from information or material received in a confidential context (e.g., knowledge obtained from reviewing a manuscript or serving on a proposal review panel), unless they have authorization to do so or until that information is otherwise made publicly available.
(b) Under all circumstances, sociologists do not seek to gain from information or material in an employment or client relationship without permission of the employer or client.

9.04 Decisionmaking in the Workplace

In their workplace, sociologists takeappropriate steps to avoid conflicts of interest or the appearance of conflicts, and carefully scrutinize potentially biasing affiliations or relationships. In research, teaching, practice, or service, such potentially biasing affiliations or relationships include, but are not limited to, situations involving family, business, or close personal friendships or those with whom sociologists have had strong conflict or disagreement.

9.05 Decisionmaking Outside of the Workplace

In professional activities outside of their workplace, sociologists in all circumstances abstain from engaging in deliberations and decisions that allocate or withhold benefits or rewards from individuals or institutions if they have biasing affiliations or relationships. These biasing affiliations or relationships are: 1) current employment or being considered for employment at an organization or institution that could be construed as benefiting from the decision; 2) current officer or board member of an organization or institution that could be construed as benefiting from the decision; 3) current employment or being considered for employment at the same organization or institution where an individual could benefit from the decision; 4) a spouse, domestic partner, or known relative who as an individual could benefit from the decision; or 5) a current business or professional partner, research collaborator, employee, supervisee, or student who as an individual could benefit from the decision.

10. Public Communication

Sociologists adhere to the highest professional standards in public communications about their professional services, credentials and expertise, work products, or publications, whether these communications are from themselves or from others.

10.01 Public Communications

(a) Sociologists take steps to ensure the accuracy of all public communications. Such public communications include, but are not limited to, directory listings; personal resumes or curriculum vitae; advertising; brochures or printed matter; interviews or comments to the media; statements in legal proceedings; lectures and public oral presentations; or other published materials.

(b) Sociologists do not make public statements that are false, deceptive, misleading, or fraudulent, either because of what they state, convey, or suggest or because of what they omit, concerning their research, practice, or other work activities or those of persons or organizations with which they are affiliated. Such activities include, but are not limited to, false or deceptive statements concerning sociologists' (1) training, experience, or competence; (2) academic degrees; (3) credentials; (4) institutional or association affiliations; (5) services; (6) fees; or (7) publications or research findings. Sociologists do not make false or deceptive statements concerning the scientific basis for, results of, or degree of success from their professional services. (c) When sociologists provide professional advice or comment by means of public lectures, demonstrations, radio or television programs, prerecorded tapes, printed articles, mailed material, or other media, they take reasonable precautions to ensure that (1) the statements are based on appropriate research, literature, and practice; and (2) the statements are otherwise consistent with this Code of Ethics.

 

10.02 Statements by Others

(a) Sociologists who engage or employ others to create or place public statements that promote their work products, professional services, or other activities retain responsibility for such statements.
(b) Sociologists make reasonable efforts to prevent others whom they do not directly engage, employ, or supervise (such as employers, publishers, sponsors, organizational clients, members of the media) from making deceptive statements concerning their professional research, teaching, or practice activities.
(c) In working with the press, radio, television, or other communications media or in advertising in the media, sociologists are cognizant of potential conflicts of interest or appearances of such conflicts (e.g., they do not provide compensation to employees of the media), and they adhere to the highest standards of professional honesty (e.g., they acknowledge paid advertising).

11. Confidentiality

Sociologists have an obligation to ensure that confidential information is protected. They do so to ensure the integrity of research and the open communication with research participants and to protect sensitive information obtained in research, teaching, practice, and service. When gathering confidential information, sociologists should take into account the long-term uses of the information, including its potential placement in public archives or the examination of the information by other researchers or practitioners.

11.01 Maintaining Confidentiality

(a) Sociologists take reasonable precautions to protect the confidentiality rights of research participants, students, employees, clients, or others.
(b) Confidential information provided by research participants, students, employees, clients, or others is treated as such by sociologists even if there is no legal protection or privilege to do so. Sociologists have an obligation to protect confidential information, and not allow information gained in confidence from being used in ways that would unfairly compromise research participants, students, employees, clients, or others.
(c) Information provided under an understanding of confidentiality is treated as such even after the death of those providing that information.
(d) Sociologists maintain the integrity of confidential deliberations, activities, or roles, including, where applicable, that of professional committees, review panels, or advisory groups (e.g., the ASA Committee on Professional Ethics).
(e) Sociologists, to the extent possible, protect the confidentiality of student records, performance data, and personal information, whether verbal or written, given in the context of academic consultation, supervision, or advising.
(f) The obligation to maintain confidentiality extends to members of research or training teams and collaborating organizations who have access to the information. To ensure that access to confidential information is restricted, it is the responsibility of researchers, administrators, and principal investigators to instruct staff to take the steps necessary to protect confidentiality.
(g) When using private information about individuals collected by other persons or institutions, sociologists protect the confidentiality of individually identifiable information. Information is private when an individual can reasonably expect that the information will not be made public with personal identifiers (e.g., medical or employment records).

11.02 Limits of Confidentiality

(a) Sociologists inform themselves fully about all laws and rules which may limit or alter guarantees of confidentiality. They determine their ability to guarantee absolute confidentiality and, as appropriate, inform research participants, students, employees, clients, or others of any limitations to this guarantee at the outset consistent with ethical standards set forth in 11.02(b).
(b) Sociologists may confront unanticipated circumstances where they become aware of information that is clearly health- or life-threatening to research participants, students, employees, clients, or others. In these cases, sociologists balance the importance of guarantees of confidentiality with other principles in this Code of Ethics, standards of conduct, and applicable law.
(c) Confidentiality is not required with respect to observations in public places, activities conducted in public, or other settings where no rules of privacy are provided by law or custom. Similarly, confidentiality is not required in the case of information available from public records.

11.03 Discussing Confidentiality and Its Limits

(a) When sociologists establish a scientific or professional relationship with persons, they discuss (1) the relevant limitations on confidentiality, and (2) the foreseeable uses of the information generated through their professional work.
(b) Unless it is not feasible or is counter-productive, the discussion of confidentiality occurs at the outset of the relationship and thereafter as new circumstances may warrant.

11.04 Anticipation of Possible Uses of Information

(a) When research requires maintaining personal identifiers in data bases or systems of records, sociologists delete such identifiers before the information is made publicly available.
(b) When confidential information concerning research participants, clients, or other recipients of service is entered into databases or systems of records available to persons without the prior consent of the relevant parties, sociologists protect anonymity by not including personal identifiers or by employing other techniques that mask or control disclosure of individual identities.
(c) When deletion of personal identifiers is not feasible, sociologists take reasonable steps to determine that appropriate consent of personally-identifiable individuals has been obtained before they transfer such data to others or review such data collected by others.

11.05 Electronic Transmission of Confidential Information

Sociologists use extreme care in delivering or transferring any confidential data, information, or communication over public computer networks. Sociologists are attentive to the problems of maintaining confidentiality and control over sensitive material and data when use of technological innovations, such as public computer networks, may open their professional and scientific communication to unauthorized persons.

11.06 Anonymity of Sources

(a) Sociologists do not disclose in their writings, lectures, or other public media confidential, personally identifiable information concerning their research participants, students, individual or organizational clients, or other recipients of their service which is obtained during the course of their work, unless consent from individuals or their legal representatives has been obtained.
(b) When confidential information is used in scientific and professional presentations, sociologists disguise the identity of research participants, students, individual or organizational clients, or other recipients of their service.

11.07 Minimizing Intrusions on Privacy

(a) To minimize intrusions on privacy, sociologists include in written and oral reports, consultations, and public communications only information germane to the purpose for which the communication is made.

(b) Sociologists discuss confidential information or evaluative data concerning research participants, students, supervisees, employees, and individual or organizational clients only for appropriate scientific or professional purposes and only with persons clearly concerned with such matters.

11.08 Preservation of Confidential Information

(a) Sociologists take reasonable steps to ensure that records, data, or information are preserved in a confidential manner consistent with the requirements of this Code of Ethics, recognizing that ownership of records, data, or information may also be governed by law or institutional principles.
(b) Sociologists plan so that confidentiality of records, data, or information is protected in the event of the sociologist's death, incapacity, or withdrawal from the position or practice.
(c) When sociologists transfer confidential records, data, or information to other persons or organizations, they obtain assurances that the recipients of the records, data, or information will employ measures to protect confidentiality at least equal to those originally pledged.

12. Informed Consent

Informed consent is a basic ethical tenet of scientific research on human populations. Sociologists do not involve a human being as a subject in research without the informed consent of the subject or the subject's legally authorized representative, except as otherwise specified in this Code. Sociologists recognize the possibility of undue influence or subtle pressures on subjects that may derive from researchers' expertise or authority, and they take this into account in designing informed consent procedures.

12.01 Scope of Informed Consent

(a) Sociologists conducting research obtain consent from research participants or their legally authorized representatives (1) when data are collected from research participants through any form of communication, interaction, or intervention; or (2) when behavior of research participants occurs in a private context where an individual can reasonably expect that no observation or reporting is taking place.
(b) Despite the paramount importance of consent, sociologists may seek waivers of this standard when (1) the research involves no more than minimal risk for research participants, and (2) the research could not practicably be carried out were informed consent to be required. Sociologists recognize that waivers of consent require approval from institutional review boards or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, the confidentiality of any personally identifiable information must be maintained unless otherwise set forth in 11.02(b).
(c) Sociologists may conduct research in public places or use publicly available information about individuals (e.g., naturalistic observations in public places, analysis of public records, or archival research) without obtaining consent. If, under such circumstances, sociologists have any doubt whatsoever about the need for informed consent, they consult with institutional review boards or, in the absence of such boards, with another authoritative body with expertise on the ethics of research before proceeding with such research.
(d) In undertaking research with vulnerable populations (e.g., youth, recent immigrant populations, the mentally ill), sociologists take special care to ensure that the voluntary nature of the research is understood and that consent is not coerced. In all other respects, sociologists adhere to the principles set forth in 12.01(a)-(c).
(e) Sociologists are familiar with and conform to applicable state and federal regulations and, where applicable, institutional review board requirements for obtaining informed consent for research.

12.02 Informed Consent Process

(a) When informed consent is required, sociologists enter into an agreement with research participants or their legal representatives that clarifies the nature of the research and the responsibilities of the investigator prior to conducting the research.
(b) When informed consent is required, sociologists use language that is understandable to and respectful of research participants or their legal representatives.
(c) When informed consent is required, sociologists provide research participants or their legal representatives with the opportunity to ask questions about any aspect of the research, at any time during or after their participation in the research.
(d) When informed consent is required, sociologists inform research participants or their legal representatives of the nature of the research; they indicate to participants that their participation or continued participation is voluntary; they inform participants of significant factors that may be expected to influence their willingness to participate (e.g., possible risks and benefits of their participation); and they explain other aspects of the research and respond to questions from prospective participants. Also, if relevant, sociologists explain that refusal to participate or withdrawal from participation in the research involves no penalty, and they explain any foreseeable consequences of declining or withdrawing. Sociologists explicitly discuss confidentiality and, if applicable, the extent to which confidentiality may be limited as set forth in 11.02(b).
(e) When informed consent is required, sociologists keep records regarding said consent. They recognize that consent is a process that involves oral and/or written consent.
(f) Sociologists honor all commitments they have made to research participants as part of the informed consent process except where unanticipated circumstances demand otherwise as set forth in 11.02(b).

12.03 Informed Consent of Students and Subordinates

When undertaking research at their own institutions or organizations with research participants who are students or subordinates, sociologists take special care to protect the prospective subjects from adverse consequences of declining or withdrawing from participation.

12.04 Informed Consent with Children

(a) In undertaking research with children, sociologists obtain the consent of children to participate, to the extent that they are capable of providing such consent, except under circumstances where consent may not be required as set forth in 12.01(b).
(b) In undertaking research with children, sociologists obtain the consent of a parent or a legally authorized guardian. Sociologists may seek waivers of parental or guardian consent when (1) the research involves no more than minimal risk for the research participants, and (2) the research could not practicably be carried out were consent to be required, or (3) the consent of a parent or guardian is not a reasonable requirement to protect the child (e.g., neglected or abused children).
(c) Sociologists recognize that waivers of consent from a child and a parent or guardian require approval from institutional review boards or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, the confidentiality of any personally identifiable information must be maintained unless otherwise set forth in 11.02(b).

12.05 Use of Deception in Research

(a) Sociologists do not use deceptive techniques (1) unless they have determined that their use will not be harmful to research participants; is justified by the study's prospective scientific, educational, or applied value; and that equally effective alternative procedures that do not use deception are not feasible, and (2) unless they have obtained the approval of institutional review boards or, in the absence of such boards, with another authoritative body with expertise on the ethics of research.
(b) Sociologists never deceive research participants about significant aspects of the research that would affect their willingness to participate, such as physical risks, discomfort, or unpleasant emotional experiences.
(c) When deception is an integral feature of the design and conduct of research, sociologists attempt to correct any misconception that research participants may have no later than at the conclusion of the research.
(d) On rare occasions, sociologists may need to conceal their identity in order to undertake research that could not practicably be carried out were they to be known as researchers. Under such circumstances, sociologists undertake the research if it involves no more than minimal risk for the research participants and if they have obtained approval to proceed in this manner from an institutional review board or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, confidentiality must be maintained unless otherwise set forth in 11.02(b).

12.06 Use of Recording Technology

Sociologists obtain informed consent from research participants, students, employees, clients, or others prior to videotaping, filming, or recording them in any form, unless these activities involve simply 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.

13. Research Planning, Implementation, and Dissemination

Sociologists have an obligation to promote the integrity of research and to ensure that they comply with the ethical tenets of science in the planning, implementation, and dissemination of research. They do so in order to advance knowledge, to minimize the possibility that results will be misleading, and to protect the rights of research participants.

13.01 Planning and Implementation

(a) In planning and implementing research, sociologists minimize the possibility that results will be misleading.
(b) Sociologists take steps to implement protections for the rights and welfare of research participants and other persons affected by the research.
(c) In their research, sociologists do not encourage activities or themselves behave in ways that are health- or life-threatening to research participants or others.
(d) In planning and implementing research, sociologists consult those with expertise concerning any special population under investigation or likely to be affected.
(e) In planning and implementing research, sociologists consider its ethical acceptability as set forth in the Code of Ethics. If the best ethical practice is unclear, sociologists consult with institutional review boards or, in the absence of such review processes, with another authoritative body with expertise on the ethics of research.
(f) Sociologists are responsible for the ethical conduct of research conducted by them or by others under their supervision or authority.

13.02 Unanticipated Research Opportunities

If during the course of teaching, practice, service, or non-professional activities, sociologists determine that they wish to undertake research that was not previously anticipated, they make known their intentions and take steps to ensure that the research can be undertaken consonant with ethical principles, especially those relating to confidentiality and informed consent. Under such circumstances, sociologists seek the approval of institutional review boards or, in the absence of such review processes, another authoritative body with expertise on the ethics of research.

13.03 Offering Inducements for Research Participants

Sociologists do not offer excessive or inappropriate financial or other inducements to obtain the participation of research participants, particularly when it might coerce participation. Sociologists may provide incentives to the extent that resources are available and appropriate.

13.04 Reporting on Research

(a) Sociologists disseminate their research findings except where unanticipated circumstances (e.g., the health of the researcher) or proprietary agreements with employers, contractors, or clients preclude such dissemination.
(b) Sociologists do not fabricate data or falsify results in their publications or presentations.
(c) In presenting their work, sociologists report their findings fully and do not omit relevant data. They report results whether they support or contradict the expected outcomes.
(d) Sociologists take particular care to state all relevant qualifications on the findings and interpretation of their research. Sociologists also disclose underlying assumptions, theories, methods, measures, and research designs that might bear upon findings and interpretations of their work.
(e) Consistent with the spirit of full disclosure of methods and analyses, once findings are publicly disseminated, sociologists permit their open assessment and verification by other responsible researchers with appropriate safeguards, where applicable, to protect the anonymity of research participants.
(f) If sociologists discover significant errors in their publication or presentation of data, they take reasonable steps to correct such errors in a correction, a retraction, published errata, or other public fora as appropriate.
(g) Sociologists report sources of financial support in their written papers and note any special relations to any sponsor. In special circumstances, sociologists may withhold the names of specific sponsors if they provide an adequate and full description of the nature and interest of the sponsor.
(h) Sociologists take special care to report accurately the results of others' scholarship by using correct information and citations when presenting the work of others in publications, teaching, practice, and service settings.

13.05 Data Sharing

(a) Sociologists share data and pertinent documentation as a regular practice. Sociologists make their data available after completion of the project or its major publications, except where proprietary agreements with employers, contractors, or clients preclude such accessibility or when it is impossible to share data and protect the confidentiality of the data or the anonymity of research participants (e.g., raw field notes or detailed information from ethnographic interviews).
(b) Sociologists anticipate data sharing as an integral part of a research plan whenever data sharing is feasible. (c) Sociologists share data in a form that is consonant with research participants' interests and protect the confidentiality of the information they have been given. They maintain the confidentiality of data, whether legally required or not; remove personal identifiers before data are shared; and if necessary use other disclosure avoidance techniques.
(d) Sociologists who do not otherwise place data in public archives keep data available and retain documentation relating to the research for a reasonable period of time after publication or dissemination of results.
(e) Sociologists may ask persons who request their data for further analysis to bear the associated incremental costs, if necessary.
(f) Sociologists who use data from others for further analyses explicitly acknowledge the contribution of the initial researchers.

14. Plagiarism

(a) In publications, presentations, teaching, practice, and service, sociologists explicitly identify, credit, and reference the author when they take data or material verbatim from another person's written work, whether it is published, unpublished, or electronically available.
(b) In their publications, presentations, teaching, practice, and service, sociologists provide acknowledgment of and reference to the use of others' work, even if the work is not quoted verbatim or paraphrased, and they do not present others' work as their own whether it is published, unpublished, or electronically available.

15. Authorship Credit

(a) Sociologists take responsibility and credit, including authorship credit, only for work they have actually performed or to which they have contributed.
(b) Sociologists ensure that principal authorship and other publication credits are based on the relative scientific or professional contributions of the individuals involved, regardless of their status. In claiming or determining the ordering of authorship, sociologists seek to reflect accurately the contributions of main participants in the research and writing process.
(c) A student is usually listed as principal author on any multiple authored publication that substantially derives from the student's dissertation or thesis.

16. Publication Process

Sociologists adhere to the highest ethical standards when participating in publication and review processes when they are authors or editors.

16.01 Submission of Manuscripts for Publication

(a) In cases of multiple authorship, sociologists confer with all other authors prior to submitting work for publication and establish mutually acceptable agreements regarding submission.
(b) In submitting a manuscript to a professional journal, book series, or edited book, sociologists grant that publication first claim to publication except where explicit policies allow multiple submissions. Sociologists do not submit a manuscript to a second publication until after an official decision has been received from the first publication or until the manuscript is withdrawn. Sociologists submitting a manuscript for publication in a journal, book series, or edited book can withdraw a manuscript from consideration up until an official acceptance is made.
(c) Sociologists may submit a book manuscript to multiple publishers. However, once sociologists have signed a contract, they cannot withdraw a manuscript from publication unless there is reasonable cause to do so.

16.02 Duplicate Publication of Data

When sociologists publish data or findings that they have previously published elsewhere, they accompany these publications by proper acknowledgment.

16.03 Responsibilities of Editors

(a) When serving as editors of journals or book series, sociologists are fair in the application of standards and operate without personal or ideological favoritism or malice. As editors, sociologists are cognizant of any potential conflicts of interest.
(b) When serving as editors of journals or book series, sociologists ensure the confidential nature of the review process and supervise editorial office staff, including students, in accordance with practices that maintain confidentiality.
(c) When serving as editors of journals or book series, sociologists are bound to publish all manuscripts accepted for publication unless major errors or ethical violations are discovered after acceptance (e.g., plagiarism or scientific misconduct).
(d) When serving as editors of journals or book series, sociologists ensure the anonymity of reviewers unless they otherwise receive permission from reviewers to reveal their identity. Editors ensure that their staff conform to this practice.
(e) When serving as journal editors, sociologists ensure the anonymity of authors unless and until a manuscript is accepted for publication or unless the established practices of the journal are known to be otherwise.
(f) When serving as journal editors, sociologists take steps to provide for the timely review of all manuscripts and respond promptly to inquiries about the status of the review.

17. Responsibilities of Reviewers

(a) In reviewing material submitted for publication, grant support, or other evaluation purposes, sociologists respect the confidentiality of the process and the proprietary rights in such information of those who submitted it.
(b) Sociologists disclose conflicts of interest or decline requests for reviews of the work of others where conflicts of interest are involved.
(c) Sociologists decline requests for reviews of the work of others when they believe that the review process may be biased or when they have questions about the integrity of the process.
(d) If asked to review a manuscript, book, or proposal they have previously reviewed, sociologists make it known to the person making the request (e.g., editor, program officer) unless it is clear that they are being asked to provide a reappraisal.

18. Education, Teaching, and Training

As teachers, supervisors, and trainers, sociologists follow the highest ethical standards in order to ensure the quality of sociological education and the integrity of the teacher-student relationship.

18.01 Administration of Education Programs

(a) Sociologists who are responsible for education and training programs seek to ensure that the programs are competently designed, provide the proper experiences, and meet all goals for which claims are made by the program.
(b) Sociologists responsible for education and training programs seek to ensure that there is an accurate description of the program content, training goals and objectives, and requirements that must be met for satisfactory completion of the program.
(c) Sociologists responsible for education and training programs take steps to ensure that graduate assistants and temporary instructors have the substantive knowledge required to teach courses and the teaching skills needed to facilitate student learning.
(d) Sociologists responsible for education and training programs have an obligation to ensure that ethics are taught to their graduate students as part of their professional preparation.

18.02 Teaching and Training

(a) Sociologists conscientiously perform their teaching responsibilities. They have appropriate skills and knowledge or are receiving appropriate training.
(b) Sociologists provide accurate information at the outset about their courses, particularly regarding the subject matter to be covered, bases for evaluation, and the nature of course experiences.
(c) Sociologists make decisions concerning textbooks, course content, course requirements, and grading solely on the basis of educational criteria without regard for financial or other incentives.
(d) Sociologists provide proper training and supervision to their teaching assistants and other teaching trainees and take reasonable steps to ensure that such persons perform these teaching responsibilities responsibly, competently, and ethically.
(e) Sociologists do not permit personal animosities or intellectual differences with colleagues to foreclose students' or supervisees' access to these colleagues or to interfere with student or supervisee learning, academic progress, or professional development.

19. Contractual and Consulting Services

(a) Sociologists undertake grants, contracts, or consultation only when they are knowledgeable about the substance, methods, and techniques they plan to use or have a plan for incorporating appropriate expertise.
(b) In undertaking grants, contracts, or consultation, sociologists base the results of their professional work on appropriate information and techniques.
(c) When financial support for a project has been accepted under a grant, contract, or consultation, sociologists make reasonable efforts to complete the proposed work on schedule.
(d) In undertaking grants, contracts, or consultation, sociologists accurately document and appropriately retain their professional and scientific work.
(e) In establishing a contractual arrangement for research, consultation, or other services, sociologists clarify, to the extent feasible at the outset, the nature of the relationship with the individual, organizational, or institutional client. This clarification includes, as appropriate, the nature of the services to be performed, the probable uses of the services provided, possibilities for the sociologist's future use of the work for scholarly or publication purposes, the timetable for delivery of those services, and compensation and billing arrangements.

20. Adherence to the Code of Ethics

Sociologists have an obligation to confront, address, and attempt to resolve ethical issues according to this Code of Ethics.

20.01 Familiarity with the Code of Ethics

Sociologists have an obligation to be familiar with this Code of Ethics, other applicable ethics codes, and their application to sociologists' work. Lack of awareness or misunderstanding of an ethical standard is not, in itself, a defense to a charge of unethical conduct.

20.02 Confronting Ethical Issues

(a) When sociologists are uncertain whether a particular situation or course of action would violate the Code of Ethics, they consult with other sociologists knowledgeable about ethical issues, with ASA's Committee on Professional Ethics, or with other organizational entities such as institutional review boards.
(b) When sociologists take actions or are confronted with choices where there is a conflict between ethical standards enunciated in the Code of Ethics and laws or legal requirements, they make known their commitment to the Code and take steps to resolve the conflict in a responsible manner by consulting with colleagues, professional organizations, or the ASA's Committee on Professional Ethics.

20.03 Fair Treatment of Parties in Ethical Disputes

(a) Sociologists do not discriminate against a person on the basis of his or her having made an ethical complaint.
(b) Sociologists do not discriminate against a person based on his or her having been the subject of an ethical complaint. This does not preclude taking action based upon the outcome of an ethical complaint.

20.04 Reporting Ethical Violations of Others

When sociologists have substantial reason to believe that there may have been an ethical violation by another sociologist, they attempt to resolve the issue by bringing it to the attention of that individual if an informal resolution appears appropriate or possible, or they seek advice about whether or how to proceed based on this belief, assuming that such activity does not violate any confidentiality rights. Such action might include referral to ASA's Committee on Professional Ethics.

20.05 Cooperating with Ethics Committees

Sociologists cooperate in ethics investigations, proceedings, and resulting requirements of the American Sociological Association. In doing so, they make reasonable efforts to resolve any issues of confidentiality. Failure to cooperate may be an ethics violation.

20.06 Improper Complaints

Sociologists do not file or encourage the filing of ethics complaints that are frivolous and are intended to harm the alleged violator rather than to protect the integrity of the discipline and the public.

Note: This revised edition of the ASA Code of Ethics builds on the 1989 edition of the Code and the 1992 version of the American Psychological Association's Ethical Principles of Psychologists and Code of Conduct.

 

 

Preamble

 

Mental health counselors believe in the dignity and worth of the individual. They are committed to increasing knowledge of human behavior and understanding of themselves and others. While pursuing these endeavors, they make every reasonable effort to protect the welfare of those who seek their services, or of any subject that may be the object of study. They use their skills only for purposes consistent with these values and do not knowingly permit their misuse by others. While demanding for themselves freedom of inquiry and community, mental health counselors accept the responsibility this freedom confers: competence, objectivity in the application of skills, and concern for the best interest of clients, colleagues, and society in general. In the pursuit of these ideals, mental health counselors subscribe to the following principles:

Clinical Issues

Principle 1 Welfare of the Consumer

A. Primary Responsibility

1. The primary responsibility of the mental health counselor is to respect the dignity and integrity of the client. Client growth and development are encouraged in ways that foster the client's interest and promote welfare.
2. Mental health counselors are aware of their influential position with respect to their clients, and avoid exploiting the trust and fostering dependency of their clients.
3. Mental health counselors fully inform consumers as to the purpose and nature of any evaluation, treatment, education or training procedure and they fully acknowledge that the consumer has the freedom of choice with regard to participation.

B. Counseling Plans

Mental health counselors and their clients work jointly in devising integrated, individual counseling plans that offer reasonable promise of success and are consistent with the abilities and circumstances of the client. Counselors and clients regularly review counseling plans to ensure their continued viability and effectiveness, respecting the client's freedom of choice.

C. Freedom of Choice

Mental health counselors offer clients the freedom to choose whether to enter into a counseling relationship and determine which professionals will provide the counseling. Restrictions that limit clients' choices are fully explained.

D. Clients Served by Others

1. If a client is receiving services from another mental health professional or counselor, the mental health counselor secures consent from the client, informs that professional of the arrangement, and develops a clear agreement to avoid confusion and conflicts for the client.
2. Mental health counselors are aware of the intimacy and responsibilities inherent in the counseling relationship. They maintain respect for the client and avoid actions that seek to meet their personal needs at the expense of the client. Mental health counselors are aware of their own values, attitudes, beliefs and behaviors, and how these apply in a diverse society. They avoid imposing their values on the consumer.

E. Diversity

1. Mental health counselors do not condone or engage in any discrimination based on age, color, culture, disability, ethnic group, gender, race, religion, sexual orientation, marital status or socioeconomic status.
2. Mental health counselors will actively attempt to understand the diverse cultural backgrounds of the clients with whom they work. This includes learning how the counselor's own cultural/ethical/racial/religious identity impacts his or her own values and beliefs about the counseling process. When there is a conflict between the client's goals, identity and/or values and those of the mental health counselor, a referral to an appropriate colleague must be arranged.

F. Dual Relationships

Mental health counselors are aware of their influential position with respect to their clients and avoid exploiting the trust and fostering dependency of the client.

1. Mental health counselors make every effort to avoid dual relationships with clients that could impair professional judgment or increase the risk of harm. Examples of such relationships may include, but are not limited to: familial, social, financial, business, or close personal relationships with the clients.
2. Mental health counselors do not accept as clients individuals with whom they are involved in an administrative, supervisory, and evaluative nature. When acting as supervisors, trainers, or employers, mental health counselors accord recipients informed choice, confidentiality and protection from physical and mental harm.
3. When a dual relationship cannot be avoided, counselors take appropriate professional precautions such as informed consent, consultation, supervision and documentation to ensure that judgment is not impaired and no exploitation has occurred.

G. Sexual Relationships

Sexual relationships with clients are strictly prohibited. Mental health counselors do not counsel persons with whom they have had a previous sexual relationship.

H. Former Clients

Counselors do not engage in sexual intimacies with former clients within a minimum of two years after terminating the counseling relationship. The mental health counselor has the responsibility to examine and document thoroughly that such relations did not have an exploitative nature based on factors such as duration of counseling, amount of time since counseling, termination circumstances, the client's personal history and mental status, adverse impact on the client, and actions by the counselor suggesting a plan to initiate a sexual relationship with the client after termination.

I. Multiple Clients

When mental health counselors agree to provide counseling services to two or more persons who have a relationship (such as husband and wife, or parents and children), counselors clarify at the outset which person or persons are clients, and the nature of the relationship they will have with each involved person. If it becomes apparent that counselors may be called upon to perform potentially conflicting roles, they clarify, adjust, or withdraw from roles appropriately.

J. Informed Consent

Mental health counselors are responsible for making their services readily accessible to clients in a manner that facilitates the clients' abilities to make an informed choice when selecting a provider. This responsibility includes a clear description of what the client can expect in the way of tests, reports, billing, therapeutic regime and schedules, and the use of the mental health counselor's statement of professional disclosure. In the event that a client is a minor or possesses disabilities that would prohibit informed consent, the mental health counselor acts in the client's best interest.

K. Conflict of Interest

Mental health counselors are aware of possible conflicts of interests that may involve the organization in which they are employed and their client. When conflicts occur, mental health counselors clarify the nature of the conflict and inform all parties of the nature and direction of their loyalties and responsibilities, and keep all parties informed of their commitments.

L. Fees and Bartering

1. Mental health counselors clearly explain to clients, prior to entering the counseling relationship, all financial arrangements related to professional services, including the use of collection agencies or legal measures for nonpayment.
2. In establishing fees for professional counseling services, mental health counselors consider the financial status of their clients and locality. In the event that the payment of the mental health counselor's usual fees would create undue hardship for the client, assistance is provided in attempting to find comparable services at an acceptable cost.
3. Mental health counselors ordinarily refrain from accepting goods or services from clients in return for counseling service because such arrangements create inherent potential for conflicts, exploitation and distortion of the professional relationship. Participation in bartering is only used when there is no exploitation, if the client requests it, if a clear written contract is established, and if such an arrangement is an accepted practice among professionals in the community.

M. Pro Bono Service

Mental health counselors contribute to society by devoting a portion of their professional activity to services for which there is little or no financial return.

N. Consulting

Mental health counselors may choose to consult with any other professionally competent person about a client. In choosing a consultant, the mental health counselor should avoid placing the consultant in a conflict of interest situation that would preclude the consultant from being a proper party to the mental health counselor's effort to help the client.

O. Group Work

1. Mental health counselors screen prospective group counseling/therapy participants. Every effort is made to select members whose needs and goals are compatible with goals of the group, who will not impede the group process, and whose well being will not be jeopardized by the group experience.
2. In the group setting, mental health counselors take reasonable precautions to protect clients from physical and psychological harm or trauma.
3. When the client is engaged in short term group treatment/training programs, i.e. marathons and other encounter type or growth groups, the members ensure that there is professional assistance available during and following the group experience.

P. Termination and Referral

Mental health counselors do not abandon or neglect their clients in counseling. Assistance is given in making appropriate arrangements for the continuation of treatment, when necessary, during interruptions such as vacation and following termination.

Q. Inability to assist clients

If the mental health counselor determines that their services are not beneficial to the client, they avoid entering or terminate immediately a counseling relationship. Mental health counselors are knowledgeable about referral sources and appropriate referrals are made. If clients decline the suggested referral, mental health counselors discontinue the relationship.

R) Appropriate Termination

Mental health counselors terminate a counseling relationship, securing a client's agreement when possible, when it is reasonably clear that the client is no longer benefiting, when services are no longer required, when counseling no longer serves the needs and interests of the client, when clients do not pay fees charged, or when agency or institution limits do not allow provision of further counseling services.

Principle 2 Clients' Rights

The following apply to all consumers of mental health services, including both in- and out-patients and all state, county, local, and private care mental health facilities, as well as clients of mental health practitioners in private practice.

The client has the right:

A. To be treated with dignity, consideration and respect at all times;

B. To expect quality service provided by concerned, trained, professional and competent staff;

C. To expect complete confidentiality within the limits of the law, and to be informed about the legal exceptions to confidentiality; and to expect that no information will be released without the client's knowledge and written consent;

D. To a clear working contract in which business items, such as time of sessions, payment plans/fees, absences, access, emergency procedures, and third-party reimbursement procedures are discussed;

E. To a clear statement of the purposes, goals, techniques, rules of procedure and limitations, as well as the potential dangers of the services to be performed, and all other information related to or likely to affect the ongoing mental health counseling relationship;

F. To appropriate information regarding the mental health counselor's education, training, skills, license and practice limitations and to request and receive referrals to other clinicians when appropriate;

G. To full, knowledgeable, and responsible participation in the ongoing treatment plan to the maximum extent feasible;

H. To obtain information about their case record and to have this information explained clearly and directly;

I. To request information and/or consultation regarding the conduct and progress of their therapy;

J. To refuse any recommended services and to be advised of the consequences of this action;

K. To a safe environment free of emotional, physical and sexual abuse;

L. To a client grievance procedure, including requests for consultation and/or mediation; and to file a complaint with the mental health counselor's supervisor, and/or the appropriate credentialing body; and

M. To a clearly defined ending process, and to discontinue therapy at any time.

Principle 3 Confidentiality

Mental health counselors have a primary obligation to safeguard information about individuals obtained in the course of practice, teaching, or research. Personal information is communicated to others only with the person's written consent or in those circumstances where there is clear and imminent danger to the client, to others or to society. Disclosure of counseling information is restricted to what is necessary, relevant and verifiable.

A. At the outset of any counseling relationship, mental health counselors make their clients aware of their rights in regard to the confidential nature of the counseling relationship. They fully disclose the limits of, or exceptions to, confidentiality, and/or the existence of privileged communication, if any.

B. All materials in the official record shall be shared with the client, who shall have the right to decide what information may be shared with anyone beyond the immediate provider of service and be informed of the implications of the materials to be shared.

C, Confidentiality belongs to the clients. They may direct the mental health counselor, in writing, to release information to others. The release of information without the consent of the client may only take place under the most extreme circumstances. The protection of life, as in the case of suicidal or homicidal clients, exceeds the requirements of confidentiality. The protection of a child, an elderly person, or a person not competent to care for themselves from physical or sexual abuse or neglect requires that a report be made to a legally constituted authority. The mental health counselor complies with all state and federal statutes concerning mandated reporting of suicidality, homicidality, child abuse, incompetent person abuse and elder abuse. The protection of the public or another individual from a contagious condition known to be fatal also requires action that may include reporting the willful infection of another with the condition.

The mental health counselor (or staff member) does not release information by request unless accompanied by a specific release of information or a valid court order. Mental health counselors will comply with the order of a court to release information but they will inform the client of the receipt of such an order. A subpoena is insufficient to release information. In such a case, the counselor must inform his client of the situation and, if the client refuses release, coordinate between the client's attorney and the requesting attorney so as to protect client confidentiality and one's own legal welfare.

In the case of all of the above exceptions to confidentiality, the mental health counselor will release only such information as is necessary to accomplish the action required by the exception.

D. The anonymity of clients served in public and other agencies is preserved, if at all possible, by withholding names and personal identifying data. If external conditions require reporting such information, the client shall be so informed.

E. Information received in confidence by one agency or person shall not be forwarded to another person or agency without the client's written permission.

F. Service providers have the responsibility to ensure the accuracy and to indicate the validity of data shared with their parties.

G. Case reports presented in classes, professional meetings, or publications shall be so disguised that no identification is possible unless the client or responsible authority has read the report and agreed in writing to its presentation or publication.

H. Counseling reports and records are maintained under conditions of security, and provisions are made for their destruction when they have outlived their usefulness. Mental health counselors ensure that all persons in his or her employ, volunteers, and community aides maintain privacy and confidentiality.

I. Mental health counselors who ask that an individual reveal personal information in the course of interviewing, testing or evaluation, or who allow such information to be divulged, do so only after making certain that the person or authorized representative is fully aware of the purposes of the interview, testing or evaluation, and of the ways in which the information will be used.

J. Sessions with clients may be taped or otherwise recorded only with their written permission or the written permission of a responsible guardian. Even with a guardian's written consent, one should not record a session against the expressed wishes of a client. Such tapes shall be destroyed when they have outlived their usefulness.

K. Where a child or adolescent is the primary client, or the client is not competent to give consent, the interests of the minor or the incompetent client shall be paramount. Where appropriate, a parent(s) or guardian(s) may be included in the counseling process. The mental health counselor must still take measures to safeguard the client's confidentiality.

L. In work with families, the rights of each family member should be safeguarded. The provider of service also has the responsibility to discuss the contents of the record with the parent and/or child, as appropriate, and to keep separate those parts, which should remain the property of each family member.

M. In work with groups, the rights of each group member should be safeguarded. The provider of service also has the responsibility to discuss the need for each member to respect the confidentiality of each other member of the group. He must also remind the group of the limits on and risk to confidentiality inherent in the group process.

N. When using a computer to store confidential information, mental health counselors take measures to control access to such information. When such information has outlived its usefulness, it should be deleted from the system.

Principle 4 Utilization of Assessment Techniques

A. Test Selection

1. In choosing a particular test, mental health counselors should ascertain that there is sufficient evidence in the test manual of its applicability in measuring a certain trait or construct. The manual should fully describe the development of the test, the rationale, and data pertaining to item selection and test construction. The manual should explicitly state the purposes and applications for which the test is intended, and provide reliability and validity data about the test. The manual should furthermore identify the qualifications necessary to properly administer and interpret the test.
2. In selecting a particular combination of tests, mental health counselors need to be able to justify the logic of those choices.
3. Mental health counselors should employ only those tests for which they judge themselves competent by training, education, or experience. In familiarizing themselves with new tests, counselors thoroughly read the manual and seek workshops, supervision, or other forms of training.
4. Mental health counselors avoid using outdated or obsolete tests, and strive to remain current regarding test publication and revision.
5. Tests selected for individual testing must be appropriate for that individual in that appropriate norms exist for variables such as age, gender, and race. The test form must fit the client. If the test must be used in the absence of available information regarding the above subsamples, the limitations of generalizability should be duly noted.

B. Test Administration

1. Mental health counselors should faithfully follow instructions for administration of a test in order to ensure standardization. Failure to consistently follow test instructions will result in test error and incorrect estimates of the trait or behavior being measured.
2. Tests should only be employed in appropriate professional settings or as recommended by instructors or supervisors for training purposes. It is best to avoid giving tests to relatives, close friends or business associates, in that doing so constructs a dual professional/personal relationship, which is to be avoided.
3. Mental health counselors should provide the test taker with appropriate information regarding the reason for assessment, the approximate length of time required, and to whom the report will be distributed. Issues of confidentiality must be addressed, and the client must be given the opportunity to ask questions of the examiner prior to beginning the procedure.
4. Care should be taken to provide an appropriate assessment environment in regard to temperature, privacy, comfort, and freedom from distractions.
5. Information should be solicited regarding any possible handicaps, such as problems with visual or auditory acuity, limitations of hand/eye coordination, illness, or other factors. If the disabilities cannot be accommodated effectively, the test may need to be postponed or the limitations of applicability of the test results noted in the test report.
6. Professionals who supervise others should ensure that their trainees have sufficient knowledge and experience before utilizing the tests for clinical purposes.
7. Mental health counselors must be able to document appropriate education, training, and experience in areas of assessment they perform.

C. Test Interpretation

1. Interpretation of test or test battery results should be based on multiple sources of convergent data and an understanding of the tests' foundations and limits.
2. Mental health counselors must be careful not to make conclusions unless empirical evidence is present to justify the statement. If such evidence is lacking, one should not make diagnostic or prognostic formulations.
3. Interpretation of test results should take into account the many qualitative influences on test-taking behavior, such as health, energy, motivation, and the like. Description and analysis of alternative explanations should be provided with the interpretations.
4. One should not make firm conclusions in the absence of published information that establishes a satisfactory degree of test validity, particularly predictive validity.
5. Multicultural factors must be considered in test interpretation and diagnosis, and formulation of prognosis and treatment recommendations.
6. Mental health counselors should avoid biased or incorrect interpretation by assuring that the test norms reference the population taking the test.
7. Mental health counselors are responsible for evaluating the quality of computer software interpretations of test data. Mental health counselors should obtain information regarding validity of computerized test interpretation before utilizing such an approach.
8. Supervisors should ensure that their supervisees have had adequate training in interpretation before entrusting them to evaluate tests in a semi-autonomous fashion.
9. Any individual or organization offering test scoring or interpretation services must be able to demonstrate that their programs are based on sufficient and appropriate research to establish the validity of the programs and procedures used in arriving at interpretations. The public offering of an automated test interpretation service will be considered a professional-to-professional consultation. The formal responsibility of the consultant is to the consultee, but his or her ultimate and overriding responsibility is to the client.
10. Mental health counselors who have the responsibility for making decisions about clients or policies based on test results should have a thorough understanding of counseling theory, assessment techniques, and test research.
11. Mental health counselors do not represent computerized test interpretations as their own and clearly designate such computerized results.

D. Test Reporting

1. Mental health counselors should write reports in a clear fashion, avoiding excessive jargon or clinical terms that are likely to confuse the lay reader.
2. Mental health counselors should strive to provide test results in as positive and nonjudgmental manner as possible.
3. Mindful that one's report reflects on the reputation of oneself and one's profession, reports are carefully proofread so as to be free of spelling, style, and grammatical errors as much as is possible.
4. Clients should be clearly informed about who will be allowed to review the report and, in the absence of a valid court order, must sign appropriate releases of information permitting such release. Mental health counselors must not release the report or findings in the absence of the aforementioned releases or order.
5. Mental health counselors are responsible for ensuring the confidentiality and security of test reports, test data, and test materials.
6. Mental health counselors must offer the client the opportunity to receive feedback about the test results, interpretations, and the range of error for such data.
7. Transmissions of test data or test reports by fax or e-mail must be accomplished in a secure manner, with guarantees that the receiving device is capable of providing a confidential transmission only to the party who has been permitted to receive the document.
8. Mental health counselors should train his or her staff to respect the confidentiality of test reports in the context of typing, filing, or mailing them.
9. Mental health counselors (or staff members) do not release a psychological evaluation by request unless accompanied by a specific release of information or a valid court order. A subpoena is insufficient to release a report. In such a case, the counselor must inform his/her client of the situation and, if the client refuses release, coordinate between the client's attorney and the requesting attorney so as to protect client confidentiality and one's own legal welfare.

Principle 5 Pursuit of Research Activities

Mental health counselors who conduct research must do so with regard to ethical principles. The decision to undertake research should rest upon a considered judgment by the individual counselor about how best to contribute to counseling and to human welfare. Mental health counselors carry out their investigations with respect for the people who participate and with concern for their dignity and welfare.

1. The ethical researcher seeks advice from other professionals if any plan of research suggests a deviation from any ethical principle of research with human subjects. Such deviation must still protect the dignity and welfare of the client and places on the researcher a special burden to act in the subject's interest.
2. The ethical researcher is open and honest in the relationship with research participants.
   
   1. The ethical researcher informs the participant of all features of the research that might be expected to influence willingness to participate and explains to the participant all other aspects about which the participant inquires.
   2. Where scientific or human values justify delaying or withholding information, the investigator acquires a special responsibility to assure that there are no damaging consequences for the participants.
   3. Following the collection of the data, the ethical researcher must provide the participant with a full clarification of the nature of the study to remove any misconceptions that may have arisen.
   4. As soon as possible, the participant is to be informed of the reasons for concealment or deception that are part of the methodological requirements of a study.
   5. Such misinformation must be minimized and full disclosure must be made at the conclusion of all research studies.
   6. The ethical researcher understands that failure to make full disclosure to a research participant gives added emphasis to the researcher's abiding responsibility to protect the welfare and dignity of the participant.
3. The ethical researcher protects participants from physical and mental discomfort, harm and danger. If the risks of such consequences exist, the investigator is required to inform the participant of that fact, secure consent before proceeding, and take all possible measures to minimize the distress.
4. The ethical researcher instructs research participants that they are free to withdraw their consent and from participation at any time.
5. The ethical researcher understands that information obtained about research participants during the course of an investigation is confidential. When the possibility exists that others may obtain access to such information, the participant must be made aware of the possibility and the plans for protecting confidentiality as a part of the procedure for obtaining informed consent.
6. The ethical researcher gives sponsoring agencies, host institutions, and publication channels the same respect and opportunity for informed consent that they accord to individual research participants.
7. The ethical researcher is aware of his or her obligation to future research workers and ensures that host institutions are given feedback information and proper acknowledgement.

Principle 6 Consulting

A. Mental health counselors acting as consultants must have a high degree of self-awareness of their own values, knowledge, skills and needs in entering a helping relationship that involves human and/or organizational change. The focus of the consulting relationship should be on the issues to be resolved and not on the personal characteristics of those presenting the consulting issues.

B. Mental health counselors should develop an understanding of the problem presented by the client and should secure an agreement with the consultation client, specifying the terms and nature of the consulting relationship.

C. Mental health counselors must be reasonably certain that they and their clients have the competencies and resources necessary to follow the consultation plan.

D. Mental health counselors should encourage adaptability and growth toward self-direction. Mental health counselors should avoid becoming a decision-maker or substitute for the client.

E. When announcing consultant availability for services, mental health counselors conscientiously adhere to professional standards.

F. Mental health counselors keep all proprietary information confidential.

G. Mental health counselors avoid conflicts of interest in selecting consultation clients.

 

Professional Issues

Principle 7 Competence

The maintenance of high standards of professional competence is a responsibility shared by all mental health counselors in the best interests of the public and the profession. Mental health counselors recognize the boundaries of their particular competencies and the limitations of their expertise. Mental health counselors only provide those services and use only those techniques for which they are qualified by education, techniques or experience. Mental health counselors maintain knowledge of relevant scientific and professional information related to the services they render, and they recognize the need for on-going education.

A. Mental health counselors accurately represent their competence, education, training and experience.

B. As teaching professionals, mental health counselors perform their duties based on careful preparation in order that their instruction is accurate, up to date and educational.

C. Mental health counselors recognize the need for continued education and training in the area of cultural diversity and competency. Mental health counselors are open to new procedures and sensitive to the diversity of varying populations and changes in expectations and values over time.

D. Mental health counselors and practitioners recognize that their effectiveness depends in part upon their ability to maintain sound and healthy interpersonal relationships. They are aware that any unhealthy activity would compromise sound professional judgment and competency. In the event that personal problems arise and are affecting professional services, they will seek competent professional assistance to determine whether they should limit, suspend or terminate services to their clients.

E. Mental health counselors have a responsibility both to the individual who is served and to the institution within which the service is performed to maintain high standards of professional conduct. Mental health counselors strive to maintain the highest level of professional services offered to the agency, organization or institution in providing the highest caliber of professional services. The acceptance of employment in an institution implies that the mental health counselor is in substantial agreement with the general policies and principles of the institution. If, despite concerted efforts, the member cannot reach an agreement with the employer as to acceptable standards of conduct that allows for changes in institutional policy conducive to the positive growth and development of counselors, then terminating the affiliation should be seriously considered.

G. Ethical behavior among professional associates, mental health counselors and non-mental health counselors is expected at all times. When information is possessed that raises serious doubts as to the ethical behavior of professional colleagues, whether association members or not, the mental health counselor is obligated to take action to attempt to rectify such a condition. Such action shall utilize the institution's channels first and then utilize procedures established by the state licensure board.

H. Mental health counselors are aware of the intimacy of the counseling relationship, maintain a healthy respect for the integrity of the client, and avoid engaging in activities that seek to meet the mental health counselor's personal needs at the expense of the client. Through awareness of the negative impact of both racial and sexual stereotyping and discrimination, the member strives to ensure the individual rights and personal dignity of the client in the counseling relationship.

Principle 8 Professional Relationships

Mental health counselors act with due regard for the needs and feelings of their colleagues in counseling and other professions. Mental health counselors respect the prerogatives and obligations of the institutions or organizations with which they associate.

A. Mental health counselors understand how related professions complement their work and make full use of other professional, technical, and administrative resources that best serve the interests of consumers. The absence of formal relationships with other professional workers does not relieve mental health counselors from the responsibility of securing for their clients the best possible professional services; indeed, this circumstance presents a challenge to the professional competence of mental health counselors, requiring special sensitivity to problems outside their areas of training, and foresight, diligence, and tact in obtaining the professional assistance needed by clients.

B. Mental health counselors know and take into account the traditions and practices of other professional groups with which they work and cooperate fully with members of such groups when research, services and other functions are shared, or in working for the benefit of public welfare.

C. Mental health counselors treat professional colleagues with the same dignity and respect afforded to clients. Professional discourse should be free of personal attacks.

D. Mental health counselors strive to provide positive conditions for those they employ and to spell out clearly the conditions of such employment. They encourage their employees to engage in activities that facilitate their further professional development.

E. Mental health counselors respect the viability, reputation, and proprietary rights of organizations that they serve. Mental health counselors show due regard for the interest of their present or perspective employers. In those instances where they are critical of policies, they attempt to effect change by constructive action within the organization.

F. In pursuit of research, mental health counselors are to give sponsoring agencies, host institutions, and publication channels the same respect and opportunity for giving informed consent that they accord to individual research participants. They are aware of their obligation to future research workers and insure that host institutions are given feedback information and proper acknowledgement.

G. Credit is assigned to those who have contributed to a publication, in proportion to their contribution.

H. Mental health counselors do not accept or offer referral fees from other professionals.

I. When mental health counselors violate ethical standards, mental health counselors who know firsthand of such activities should, if possible, attempt to rectify the situation. Failing an informal solution, mental health counselors should bring such unethical activities to the attention of the appropriate state licensure board committee on ethics and professional conduct. Only after all professional alternatives have been utilized will mental health counselors begin legal action for resolution.

 

Principle 9 Supervisee, Student and Employee Relationships

Mental health counselors have an ethical concern for the integrity and welfare of supervisees, students, and employees. They maintain these relationships on a professional and confidential basis. They recognize the influential position they have with regard to both current and former supervisees, students and employees. They avoid exploiting their trust and dependency.

A. Mental health counselors do not engage in ongoing counseling relationships with current supervisees, students and employees.

B. All forms of sexual behavior with supervisees, students and employees are unethical. Further, mental health counselors do not engage in sexual or other harassment of supervisees, students, employees or colleagues.

C. Mental health counselor supervisors advise their supervisees, students and employees against offering or engaging in or holding themselves out as competent to engage in professional services beyond their training, level of experience and competence.

D. Mental health counselors make every effort to avoid dual relationships with supervisees, students and employees that could impair their judgment or increase the risk of personal or financial exploitation. When a dual relationship can not be avoided, mental health counselors take appropriate professional precautions to make sure that judgment is not impaired. Examples of such dual relationships include, but are not limited to, a supervisee who receives supervision as a benefit of employment, or a student in a small college where the only available counselor on campus is an instructor.

E. Mental health counselors do not disclose supervisee confidences except:

1. To prevent clear and eminent danger to a person or persons.
2. As mandated by law.
   
   1. As in mandated child or senior abuse reporting.
   2. Where the counselor is a defendant in a civil, criminal or disciplinary action
   3. In educational or training settings where only other professionals who will share responsibility for the training of the supervisee are present.
   4. Where there is a waiver of confidentiality obtained in writing prior to such a release of information.

F. Supervisees must make their clients aware in their informed consent statement that they are under supervision and they must provide their clients with the name and credentials of their supervisor.

G. Mental health counselors require their supervisees, students and employees to adhere to the Code of Ethics. Students and supervisees have the same obligations to clients as those required of mental health counselors.

Principle 10 Moral and Legal Standards

Mental health counselors recognize that they have a moral, legal and ethical responsibility to the community and to the general public. Mental health counselors should be aware of the prevailing community standards and the impact of professional standards on the community.

A. To protect students, mental health counselors/teachers will be aware of diverse backgrounds of students and will see that material is treated objectively and fairly to reflect the multicultural community in which they live.

B. Providers of counseling services conform to the statutes relating to such services as established by their state and its regulating professional board(s).

C. As employees, mental health counselors refuse to participate in an employer's practices that are inconsistent with the moral and legal standards established by federal or state legislation regarding the treatment of employees. In particular and for example, mental health counselors will not condone practices that result in illegal or otherwise unjustified discrimination on the basis of race, sex, religion or national origin in hiring, promotion or training.

D. In providing counseling services to clients, mental health counselors avoid any action that will violate or diminish the legal and civil rights of clients or of others that may be effected by the action.

E. Sexual conduct, not limited to sexual intercourse, between mental health counselors and clients is specifically in violation of this Code of Ethics. This does not, however, prohibit the use of explicit instructional aids including films and videotapes. Such use is within excepted practices of trained and competent sex therapists.

 

Principle 11 Professional Responsibility

In their commitment to the understanding of human behavior, mental health counselors value objectivity and integrity, and in providing services they maintain the highest standards. They accept responsibility for the consequences of their work and make every effort to ensure that their services are used appropriately.

A. Mental health counselors accept ultimate responsibility for selecting appropriate areas for investigation and the methods relevant to minimize the possibility that their finding will be misleading. They provide thorough discussion of the limitations of their data and alternative hypotheses, especially where their work touches on social policy or might be misconstrued to the detriment of specific age, sex, ethnic, socioeconomic, or other social categories. In publishing reports of their work, they never discard observations that may modify the interpretation of results. Mental health counselors take credit only for the work they have actually done. In pursuing research, mental health counselors ascertain that their efforts will not lead to changes in individuals or organizations unless such changes are part of the agreement at the time of obtaining informed consent. Mental health counselors clarify in advance the expectations for sharing and utilizing research data. They avoid dual relationships that may limit objectivity, whether theoretical, political, or monetary, so that interference with data, subjects, and milieu is kept to a minimum.

B. As employees of an institution or agency, mental health counselors have the responsibility to remain alert to institutional pressures that may distort reports of counseling findings or use them in ways counter to the promotion of human welfare.

C. When serving as members of governmental or other organizational bodies, mental health counselors remain accountable as individuals to the Code of Ethics of the American Mental Health Counselors Association.

D. As teachers, mental health counselors recognize their primary obligation to help others acquire knowledge and skill. They maintain high standards of scholarship and objectivity by presenting counseling information fully and accurately, and by giving appropriate recognition to alternative viewpoints.

E. As practitioners, mental health counselors know that they bear a heavy social responsibility because their recommendations and professional actions may alter the lives of others. They therefore remained fully cognizant of their impact and alert to personal, social, organizational, financial or political situations or pressures that might lead to the misuse of their influence.

F. Mental health counselors provide reasonable and timely feedback to employees, trainees, supervisors, students, clients, and others whose work they may evaluate.

 

Principle 12 Private Practice

A. A mental health counselor should assist, where permitted by legislation or judicial decision, the profession in fulfilling its duty to make counseling services available in private settings.

B. In advertising services as a private practitioner, mental health counselors should advertise the services in such a manner so as to accurately inform the public as to services, expertise, profession, and techniques of counseling in a professional manner. Mental health counselors who assume an executive leadership role in the organization shall not permit their name to be used in professional notices during periods when not actively engaged in the private practice of counseling. Mental health counselors advertise the following: highest relevant degree, type and level of certification or license, and type and/or description of services or other relevant information. Such information should not contain false, inaccurate, misleading, partial, out of context, descriptive material or statements.

C. Mental health counselors may join in partnership/corporation with other mental health counselors and/or other professionals provided that each mental health counselor of the partnership or corporation makes clear his/her separate specialties, buying name in compliance with the regulations of the locality.

D. Mental health counselors have an obligation to withdraw from an employment relationship or a counseling relationship if it is believed that employment will result in violation of the Code of Ethics, if their mental capacity or physical condition renders it difficult to carry out an effective professional relationship, or if the mental health counselor is discharged by the client because the counseling relationship is no longer productive for the client.

E. Mental health counselors should adhere and support the regulations for private practice in the locality where the services are offered.

F. Mental health counselors refrain from attempts to utilize one's institutional affiliation to recruit clients for one's private practice. Mental health counselors are to refrain from offering their services in the private sector when they are employed by an institution in which this is prohibited by stated policy that reflects conditions of employment.

Principle 13 Public Statements

Mental health counselors in their professional roles may be expected or required to make public statements providing counseling information or professional opinions; or supply information about the availability of counseling products and services. In making such statements, mental health counselors take into full account the limits and uncertainties of present counseling knowledge and techniques. They represent, as accurately and objectively as possible, their professional qualifications, expertise, affiliations, and functions, as well as those of the institutions or organizations with which the statements may be associated. All public statements, announcements of services, and promotional activities should serve the purpose of providing sufficient information to aid the consumer public in making informed judgments and choices on matters that concern it. When announcing professional counseling services, mental health counselors may describe or explain those services offered but may not evaluate as to their quality or uniqueness and do not allow for testimonials by implication. All public statements should be otherwise consistent with this Code of Ethics.

Principle 14 Internet On-Line Counseling

Mental health counselors engaged in delivery of services that involves the telephone, teleconferencing and the Internet in which these areas are generally recognized, standards for preparatory training do not yet exist. Mental health counselors take responsible steps to ensure the competence of their work and protect patients, clients, students, research participants and others from harm.

A. Confidentiality

Mental health counselors ensure that clients are provided sufficient information to adequately address and explain the limitations of computer technology in the counseling process in general and the difficulties of ensuring complete client confidentiality of information transmitted through electronic communications over the Internet through on-line counseling. Professional counselors inform clients of the limitations of confidentiality and identify foreseeable situations in which confidentiality must be breached in light of the law in both the state in which the client is located and the state in which the professional counselor is licensed. Mental health counselors shall become aware of the means for reporting and protecting suicidal clients in their locale. Mental health counselors shall become aware of the means for reporting homicidal clients in the client's jurisdiction.

B. Mental Health Counselor Identification

Mental health counselors provide a readily visible notice advising clients of the identities of all professional counselor(s) who will have access to the information transmitted by the client. Mental health counselors provide background information on all professional communications, including education, licensing and certification, and practice information.

C. Client Identification

Professional counselors identify clients, verify identities of clients, and obtain alternative methods of contacting clients in emergency situations.

D. Client Waiver

Mental health counselors require clients to execute client waiver agreements stating that the client acknowledges the limitations inherent in ensuring client confidentiality of information transmitted through on-line counseling and acknowledge the limitations that are inherent in a counseling process that is not provided face-to-face. Limited training in the area of on-line counseling must be explained and the client's informed consent must be secured.

E. Electronic Transfer of Client Information

Mental health counselors electronically transfer client confidential information to authorized third-party recipients only when both the professional counselor and the authorized recipient have "secure" transfer and acceptance communication capabilities;the recipient is able to effectively protect the confidentiality of the client's confidential information to be transferred; and the informed written consent of the client, acknowledging the limits of confidentiality, has been obtained.

F. Establishing the On-Line Counseling Relationship

1. Appropriateness of On-line Counseling
Mental health counselors develop an appropriate in-take procedure for potential clients to determine whether on-line counseling is appropriate for the needs of the client. Mental health counselors warn potential clients that on-line counseling services may not be appropriate in certain situations and, to the extent possible, inform the client of specific limitations, potential risks, and/or potential benefits relevant to the client's anticipated use of on-line counseling services. Mental health counselors ensure that clients are intellectually, emotionally, and physically capable of using on-line counseling services, and of understanding the potential risks and/or limitations of such services.
2. Counseling Plans
Mental health counselors develop individual on-line counseling plans that are consistent with both the client's individual circumstances and the limitations of on-line counseling. Mental health counselors who determine that on-line counseling is inappropriate for the client should avoid entering into or immediately terminate the on-line counseling relationship and encourage the client to continue the counseling relationship through a traditional alternative method of counseling.
3. Boundaries of Competence
Mental health counselors provide on-line counseling services only in practice areas within their expertise. Mental health counselors do not provide services to clients in states where doing so would violate local licensure laws or regulations.

G. Legal Considerations

Mental health counselors confirm that the provision of on-line services are not prohibited by or otherwise violate any applicable state or local statutes, rules, regulations or ordinances, codes of professional membership organizations and certifying boards, and/or codes of state licensing boards.

Principle 15 Resolution of Ethical Problems

Neither the American Mental Health Counselors Association, its Board of Directors, nor its National Committee on Ethics investigate or adjudicate ethical complaints. In the event a member has his or her license suspended or revoked by an appropriate state licensure board, the AMHCA Board of Directors may then act in accordance with AMHCA's National By-Laws to suspend or revoke his or her membership.

Any member so suspended may apply for reinstatement upon the reinstatement of his or her licensure.

American Mental Health Counselors Association
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FOREWORD

 

Educational researchers come from many disciplines, embrace several competing theoretical frameworks, and use a variety of research methodologies. AERA recognizes that its members are already guided by codes in the various disciplines and, also, by organizations such as Institutional Review Boards (IRBs). AERA's code of ethics incorporates a set of standards designed specifically to guide the work of researchers in education. Education, by its very nature, is aimed at the improvement of individual lives and societies. Further, research in education is often directed at children and other vulnerable populations. A main objective of this code is to remind us, as educational researchers, that we should strive to protect these populations, and to maintain the integrity of our research, of our research community, and of all those with whom we have professional relations. We should pledge ourselves to do this by maintaining our own competence and that of people we induct into the field, by continually evaluating our research for its ethical and scientific adequacy, and by conducting our internal and external relations according to the highest ethical standards.

 

The standards that follow remind us that we are involved not only in research but in education. It is, therefore, essential that we continually reflect on our research to be sure that it is not only sound scientifically but that it makes a positive contribution to the educational enterprise.

 

I. Guiding Standards: Responsibilities to the Field

 

A. Preamble.

To maintain the integrity of research, educational researchers should warrant their research conclusions adequately in a way consistent with the standards of their own theoretical and methodological perspectives. They should keep themselves well informed in both their own and competing paradigms where those are relevant to their research, and they should continually evaluate the criteria of adequacy by which research is judged.

 

B. Standards

1. Educational researchers should conduct their professional lives in such a way that they do not jeopardize future research, the public standing of the field, or the discipline's research results.
2. Educational researchers must not fabricate, falsify, or misrepresent authorship, evidence, data, findings, or conclusions.
3. Educational researchers must not knowingly or negligently use their professional roles for fraudulent purposes.
4.  Educational researchers should honestly and fully disclose their qualifications and limitations when providing professional opinions to the public, to government agencies, and others who may avail themselves of the expertise possessed by members of AERA.
5. Educational researchers should attempt to report their findings to all relevant stakeholders, and should refrain from keeping secret or selectively communicating their findings.
6.  Educational researchers should report research conceptions, procedures, results, and analyses accurately and sufficiently in detail to allow knowledgeable, trained researchers to understand and interpret them.
7. Educational researchers' reports to the public should be written straightforwardly to communicate the practical significance for policy, including limits in effectiveness and in generalizability to situations, problems, and contexts. In writing for or communicating with nonresearchers, educational researchers must take care not to misrepresent the practical or policy implications of their research or the research of others.
8.  When educational researchers participate in actions related to hiring, retention, and advancement, they should not discriminate on the basis of gender, sexual orientation, physical disabilities, marital status, color, social class, religion, ethnic background, national origin, or other attributes not relevant to the evaluation of academic or research competence.
9. Educational researchers have a responsibility to make candid, forthright personnel recommendations and not to recommend those who are manifestly unfit.
10. Educational researchers should decline requests to review the work of others where strong conflicts of interest are involved, or when such requests cannot be conscientiously fulfilled on time. Materials sent for review should be read in their entirety and considered carefully, with evaluative comments justified with explicit reasons.
11. Educational researchers should avoid all forms of harassment, not merely those overt actions or threats that are due cause for legal action. They must not use their professional positions or rank to coerce personal or sexual favors or economic or professional advantages from students, research assistants, clerical staff, colleagues, or any others.
12. Educational researchers should not be penalized for reporting in good faith violations of these or other professional standards.

 

II. Guiding Standards: Research Populations, Educational Institutions, and the Public

 

A. Preamble.

Educational researchers conduct research within a broad array of settings and institutions, including schools, colleges, universities, hospitals, and prisons. It is of paramount importance that educational researchers respect the rights, privacy, dignity, and sensitivities of their research populations and also the integrity of the institutions within which the research occurs. Educational researchers should be especially careful in working with children and other vulnerable populations. These standards are intended to reinforce and strengthen already existing standards enforced by Institutional Review Boards and other professional associations. Standards intended to protect the rights of human subjects should not be interpreted to prohibit teacher research, action research, and/or other forms of practitioner inquiry so long as: the data are those that could be derived from normal teaching/learning processes; confidentiality is maintained; the safety and welfare of participants are protected; informed consent is obtained when appropriate; and the use of the information obtained is primarily intended for the benefit of those receiving instruction in that setting.

 

B. Standards

1. Participants, or their guardians, in a research study have the right to be informed about the likely risks involved in the research and of potential consequences for participants, and to give their informed consent before participating in research. Educational researchers should communicate the aims of the investigation as well as possible to informants and participants (and their guardians), and appropriate representatives of institutions, and keep them updated about any significant changes in the research program.
2.  Informants and participants normally have a right to confidentiality, which ensures that the source of information will not be disclosed without the express permission of the informant. This right should be respected when no clear understanding to the contrary has been reached. Researchers are responsible for taking appropriate cautions to protect the confidentiality of both participants and data to the full extent provided by law. Participants in research should be made aware of the limits on the protections that can be provided, and of the efforts toward protection that will be made even in situations where absolute confidentiality cannot be assured. It should be made clear to informants and participants that despite every effort made to preserve it, confidentiality may be compromised. Secondary researchers should respect and maintain the confidentiality established by primary researchers. In some cases, e.g., survey research, it may be appropriate for researchers to ensure participants of anonymity, i.e., that their identify is not known even to the researcher. Anonymity should not be promised to participants when only confidentiality is intended.
3.  Honesty should characterize the relationship between researchers and participants and appropriate institutional representatives. Deception is discouraged; it should be used only when clearly necessary for scientific studies, and should then be minimized. After the study, the researcher should explain to the participants and institutional representatives the reasons for the deception.
4. Educational researchers should be sensitive to any locally established institutional policies or guidelines for conducting research.
5. Participants have the right to withdraw from the study at any time, unless otherwise constrained by their official capacities or roles.
6.  Educational researchers should exercise caution to ensure that there is no exploitation for personal gain of research populations or of institutional settings of research. Educational researchers should not use their influence over subordinates, students, or others to compel them to participate in research.
7. Researchers have a responsibility to be mindful of cultural, religious, gender, and other significant differences within the research population in the planning, conduct, and reporting of their research.
8. Researchers should carefully consider and minimize the use of research techniques that might have negative social consequences, for example, experimental interventions that might deprive students of important parts of the standard curriculum.
9. Educational researchers should be sensitive to the integrity of ongoing institutional activities and alert appropriate institutional representatives of possible disturbances in such activities which may result from the conduct of the research.
10. Educational researchers should communicate their findings and the practical significance of their research in clear, straightforward, and appropriate language to relevant research populations, institutional representatives, and other stakeholders.
11.  Informants and participants have a right to remain anonymous. This right should be respected when no clear understanding to the contrary has been reached. Researchers are responsible for taking appropriate precautions to protect the confidentiality of both participants and data. Those being studied should be made aware of the capacities of the various data-gathering technologies to be used in the investigation so that they can make an informed decision about their participation. It should also be made clear to informants and participants that despite every effort made to preserve it, anonymity may be compromised. Secondary researchers should respect and maintain the anonymity established by primary researchers.

 

III. Guiding Standards: Intellectual Ownership

A. Preamble.

Intellectual ownership is predominantly a function of creative contribution. Intellectual ownership is not predominantly a function of effort expended.

 

B. Standards

1. Authorship should be determined based on the following guidelines, which are not intended to stifle collaboration, but rather to clarify the credit appropriately due for various contributions to research.

a. All those, regardless of status, who have made substantive creative contribution to the generation of an intellectual product are entitled to be listed as authors of that product.

b. First authorship and order of authorship should be the consequence of relative creative leadership and creative contribution. Examples of creative contributions are: writing first drafts or substantial portions; significant rewriting or substantive editing; and contributing generative ideas or basic conceptual schemes or analytic categories, collecting data which require significant interpretation or judgment, and interpreting data.

c. Clerical or mechanical contributions to an intellectual product are not grounds for ascribing authorship. Examples of such technical contributions are: typing, routine data collection or analysis, routine editing, and participation in staff meetings.

d. Authorship and first authorship are not warranted by legal or contractual responsibility for or authority over the project or process that generates an intellectual product. It is improper to enter into contractual arrangements that preclude the proper assignment of authorship.

e. Anyone listed as author must have given his/her consent to be so listed.

f. The work of those who have contributed to the production of an intellectual product in ways short of these requirements for authorship should be appropriately acknowledged within the product.

g. Acknowledgement of other work significantly relied on in the development of an intellectual product is required. However, so long as such work is not plagiarized or otherwise inappropriately used, such reliance is not ground for authorship or ownership.

h. It is improper to use positions of authority to appropriate the work of others or claim credit for it. In hierarchical relationships, educational researchers should take care to ensure that those in subordinate positions receive fair and appropriate authorship credit.

i. Theses and dissertations are special cases in which authorship is not determined strictly by the criteria elaborated in these standards. Authorship in the publication of work arising from theses and dissertations is determined by creative intellectual contributions as in other cases.

j. Authors should disclose the publication history of articles they submit for publication; that is, if the present article is substantially similar in content and form to one previously published, that fact should be noted and the place of publication cited.

2. While under suitable circumstances, ideas and other intellectual products may be viewed as commodities, arrangements concerning the production or distribution of ideas or other intellectual products must be consistent with academic freedom and the appropriate availability of intellectual products to scholars, students, and the public. Moreover, when a conflict between the academic and scholarly purposes of intellectual production and profit from such production arise, preference should be given to the academic and scholarly purposes.

3. Ownership of intellectual products should be based upon the following guidelines:

a. Individuals are entitled to profit from the sale or disposition of those intellectual products they create. They may therefore enter into contracts or other arrangements for the publication or disposition of intellectual products, and profit financially from these arrangements.

b. Arrangements for the publication or disposition of intellectual products should be consistent with their appropriate public availability and with academic freedom. Such arrangements should emphasize the academic functions of publication over the maximization of profit.

c. Individuals or groups who fund or otherwise provide resources for the development of intellectual products are entitled to assert claims to a fair share of the royalties or other profits from the sale or disposition of those products. As such claims are likely to be contentious, funding institutions and authors should agree on policies for the disposition of profits at the outset of the research or development project.

d. Authors should not use positions of authority over other individuals to compel them to purchase an intellectual product from which the authors benefit. This standard is not meant to prohibit use of an author's own textbook in a class, but copies should be made available on library reserve so that students are not forced to purchase it.

 

IV. Guiding Standards: Editing, Reviewing, and Appraising Research

 

A. Preamble.

Editors and reviewers have a responsibility to recognize a wide variety of theoretical and methodological perspectives and, at the same time, to ensure that manuscripts meet the highest standards as defined in the various perspectives.

 

B. Standards

1. AERA journals should handle refereed articles in a manner consistent with the following principles:

a. Fairness requires a review process that evaluates submitted works solely on the basis of merit. Merit shall be understood to include both the competence with which the argument is conducted and the significance of the results achieved.
b. Although each AERA journal may concentrate on a particular field or type of research, the set of journals as a whole should be open to all disciplines and perspectives currently represented in the membership and which support a tradition of responsible educational scholarship. This Standard is not incompatible with giving serious consideration to innovative work and should not be used to discourage perspectives not yet fully established in traditional scholarship.

c. Blind review, with multiple readers, should be used for each submission, except where explicitly waived. (See #3.)

d. Judgments of the adequacy of an inquiry should be made by reviewers who are competent to read the work submitted to them. Editors should strive to select reviewers who are familiar with the research paradigm and who are not so unsympathetic as to preclude a disinterested judgment of the merit of the inquiry.

e. Editors should insist that even unfavorable reviews be dispassionate and constructive. Authors have the right to know the grounds for rejection of their work.

1.  AERA journals should have written, published policies for refereeing articles.
2.  AERA journals should have a written, published policy stating when solicited and non-refereed publications are permissible.
3.  AERA journals should publish statements indicating any special emphases expected to characterize articles submitted for review.
4.  In addition to enforcing standing strictures against sexist and racist language, editors should reject articles that contain ad hominen attacks on individuals or groups or insist that such language or attacks be removed prior to publication.
5. AERA journals and AERA members who serve as editors of journals should require authors to disclose the full publication history of material substantially similar in content and form to that submitted to their journals.

 

V. Guiding Standards: Sponsors, Policymakers, and Other Users of Research

 

A. Preamble.

Researchers, research institutions, and sponsors of research jointly share responsibility for the ethical integrity of research, and should ensure that this integrity is not violated. While it is recognized that these parties may sometimes have conflicting legitimate aims, all those with responsibility for research should protect against compromising the standards of research, the community of researchers, the subjects of research, and the users of research. They should support the widest possible dissemination and publication of research results. AERA should promote, as nearly as it can, conditions conducive to the preservation of research integrity.

 

B. Standards

1. The data and results of a research study belong to the researchers who designed and conducted the study, unless specific contractual arrangements have been made with respect to either or both the data and results, except as noted in II B.4. (participants may withdraw at any stage.)
2.  Educational researchers are free to interpret and publish their findings without censorship or approval from individuals or organizations, including sponsors, funding agencies, participants, colleagues, supervisors, or administrators. This understanding should be conveyed to participants as part of the responsibility to secure informed consent.
3.  Researchers conducting sponsored research retain the right to publish the findings under their own names.
4. 4. Educational researchers should not agree to conduct research that conflicts with academic freedom, nor should they agree to undue or questionable influence by government or other funding agencies. Examples of such improper influence include endeavors to interfere with the conduct of research, the analysis of findings, or the reporting of interpretations. Researchers should report to AERA attempts by sponsors or funding agencies to use any questionable influence.
5. Educational researchers should fully disclose the aims and sponsorship of their research, except where such disclosure would violate the usual tenets of confidentiality and anonymity. Sponsors or funders have the right to have disclaimers included in research reports to differentiate their sponsorship from the conclusions of the research.
6.  Educational researchers should not accept funds from sponsoring agencies that request multiple renderings of reports that would distort the results or mislead readers.
7. Educational researchers should fulfill their responsibilities to agencies funding research, which are entitled to an accounting of the use of their funds, and to a report of the procedures, findings, and implications of the funded research.
8. Educational researchers should make clear the bases and rationales, and the limits thereof, of their professionally rendered judgments in consultation with the public, government, or other institutions. When there are contrasting professional opinions to the one being offered, this should be made clear.
9. Educational researchers should disclose to appropriate parties all cases where they would stand to benefit financially from their research or cases where their affiliations might tend to bias their interpretation of their research or their professional judgments.

 

VI. Guiding Standards: Students and Student Researchers.

 

A. Preamble.

Educational researchers have a responsibility to ensure the competence of those inducted into the field and to provide appropriate help and professional advice to novice researchers.

 

B. Standards

1. In relations with students and student researchers, educational researchers should be candid, fair, non-exploitative, and committed to their welfare and progress. They should conscientiously supervise, encourage, and support students and student researchers in their academic endeavors, and should appropriately assist them in securing research support or professional employment.
2.  Students and student researchers should be selected based upon their competence and potential contributions to the field. Educational researchers should not discriminate among students and student researchers on the basis of gender, sexual orientation, marital status, color, social class, religion, ethnic background, national origin, or other irrelevant factors.
3.  Educational researchers should inform students and student researchers concerning the ethical dimensions of research, encourage their practice of research consistent with ethical standards, and support their avoidance of questionable projects.
4.  Educational researchers should realistically apprise students and student researchers with regard to career opportunities and implications associated with their participation in particular research projects or degree programs. Educational researchers should ensure that research assistantships be educative.
5.  Educational researchers should be fair in the evaluation of research performance, and should communicate that evaluation fully and honestly to the student or student researcher. Researchers have an obligation to report honestly on the competence of assistants to other professionals who require such evaluations.
6.  Educational researchers should not permit personal animosities or intellectual differences vis-à-vis colleagues to foreclose student and student researcher access to those colleagues, or to place the student or student researcher in an untenable position with those colleagues.

 

The Ethical Standards of the American Educational Research Association were developed and, in June 1992, adopted by AERA to be an educational document, to stimulate collegial debate, and to evoke voluntary compliance by moral persuasion. The Ethical Standards were revised in 1996 and in 2000. Accordingly, it is not the intention of the Association to monitor adherence to the Standards or to investigate allegations of violations to the Code

 

 

 Reproduced with the premission of the publisher.

The document "Ethical Principles for Conducting Research with Human Participants" was considerably revised in 1990 and the revised version was published in The Psychologist done 1990) after approval by Council. In 1990 it was agreed that the revised version would be reviewed after a two-year trial period, during which researchers were asked to inform the Chair of the Scientific Affairs Board if they experienced any difficulties with the wording. This review has now been completed. In the light of certain comments, an important addition has been made to Clause 3.3. The amended version of the principles, as approved by Council in October 1992, is published below. All psychologists engaged in research with human participants are required to abide by these principles which supplement the Society's Code of Conduct. Violation could form a basis of disciplinary action. It is essential that all members of the psychological profession abide by the principles if psychologists are to continue to retain the privilege of testing human participants in their research. Psychologists have legal as well as moral responsibilities for those who help them in their studies, and the reputation of the discipline in the long term depends largely on the first-hand experience of those taking part in psychological investigations.

 

Ethical Principles for Conducting Research with Human Participants

I Introduction

 

1.1 The principles given below are intended to apply to research with human participants. Principles of conduct in professional practice are to be found in the Society's Code of Conduct and in the advisory documents prepared by the Divisions, Sections and Special Groups of the Society.

 

1.2 Participants in psychological research should have confidence in the investigators. Good psychological research is possible only if there is mutual respect and confidence between investigators and participants. Psychological investigators are potentially interested in all aspects of human behaviour and conscious experience. However, for ethical reasons, some areas of human experience and behaviour may be beyond the reach of experiment, observation or other form of psychological investigation. Ethical guidelines are necessary to clarify the conditions under which psychological research is acceptable.

 

1.3 The principles given below supplement for researchers with human participants the general ethical principles of members of the Society as stated in the British Psychological Society's Code of Conduct (1985) and any subsequent amendments to this Code. Members of the British Psychological Society are expected to abide by both the Code of Conduct and the fuller principles expressed here. Members should also draw the principles to the attention of research colleagues who are not members of the Society. Members should encourage colleagues to adopt them and ensure that they are followed by all researchers whom they supervise (eg. research assistants, postgraduate, undergraduate, A-Level and GCSE students).

 

1.4 In recent years, there has been an increase in legal actions by members of the general public against professionals for alleged misconduct. Researchers must recognise the possibility of such legal action if they infringe the rights and dignitv of Participants in their research.

2 General

 

2.1 In all circumstances, investigators must consider the ethical implications and psychological consequences for the participants in their research. The essential principle is that the investigation should be considered from the standpoint of all participants; foreseeable threats to their psychological wellbeing, health, values or dignity should be eliminated. Investigators should recognise that, in our multi-cultural and multi-ethnic society and where investigations involve individuals of different ages, gender and social background, the investigators may not have sufficient knowledge of the implications of an investigation for the participants. it should be borne in mind that the best judges of whether an investigation will cause offence may be members of the population from which the participants in the research are to be drawn.

3 Consent

 

3.1 Whenever possible, the investigator should inform all participants of the objectives of the investigation. The investigator should inform the participants of all aspects of the research or intervention that might reasonably be expected to influence willingness to participate. The investigator should, normally, explain all other aspects of the research or intervention about which the participants enquire. Failure to make full disclosure prior to obtaining informed consent requires additional safeguards to protect the welfare and dignity of the participants (see Section 4).

 

3.2 Research with children or with participants who have impairments that will limit understanding and/or communication such that they are unable to give their real consent requires special safeguarding procedures.

 

3.3 Where possible, the real consent of children and of adults with impairments in understanding or communication should be obtained. In addition, where research involves any persons under sixteen years of age, consent should be obtained from parents or from those in loco parentis. If the nature of the research precludes consent being obtained from parents or permission being obtained from teachers, before proceeding with the research, the investigator must obtain approval from an Ethics Committee.

 

3.4 Where real consent cannot be obtained from adults with impairments in understanding or communication, wherever possible the investigator should consult a person well-placed to appreciate the participant's reaction, such as a member of the person's family, and must obtain the disinterested approval of the research from independent advisors.

 

3.5 When research is being conducted with detained persons, particular care should be taken over informed consent, paying attention to the special circumstances which may affect the person's ability to give free informed consent.

 

3.6 Investigators should realise that they are often in a position of authority or influence over participants who may be their students, employees or clients. This relationship must not be allowed to pressurise the participants to take part in, or remain in, an investigation.

 

3.7 The payment of participants must not be used to induce them to risk harm beyond that which they risk without payment in their normal lifestyle.

 

3.8 If harm, unusual discomfort, or other negative consequences for the individual's future life might occur, the investigator must obtain the disinterested approval of independent advisors, inform the participants, and obtain informed, real consent from each of them.

 

3.9 In longitudinal research, consent may need to be obtained on more than one occasion.

4 Deception

 

4.1 The withholding of information or the n- dsleading of participants is unacceptable if the participants are typically likely to object or show unease once debriefed. Where this is in any doubt, appropriate consultation must precede the investigation. Consultation is best carried out with individuals who share the social and cultural background of the participants in the research, but the advice of ethics committees or experienced and disinterested colleagues may be sufficient.

 

4.2 Intentional deception of the participants over the purpose and general nature of the investigation should be avoided whenever possible. Participants should never be deliberately misled without extremely strong scientific or medical justification. Even then there should be strict controls and the disinterested approval of independent advisors.

 

4.3 It may be impossible to study some psychological processes without withholding information about the true object of the study or deliberately misleading the participants. Before conducting such a study, the investigator has a special responsibility to (a) determine that alternative procedures avoiding concealment or deception are not available; (b) ensure that the participants are provided with sufficient information at the earliest stage; and (c) consult appropriately upon the way that the withholding of information or deliberate deception will be received.

5 Debriefing

5.1 In studies where the participants are aware that they have taken part in an investigation, when the data have been collected, the investigator should provide the participants with any necessary information to complete their understanding of the nature of the research. The investigator should discuss with the participants their experience of the research in order to monitor any unforeseen negative effects or misconceptions.

 

5.2 Debriefing does not provide a justification for unethical aspects of an investigation.

 

5.3 Some effects which may be produced by an experiment will not be negated by a verbal description following the research. Investigators have a responsibility to ensure that participants receive any necessary debriefing in the form of active intervention before they leave the research setting.

6 Withdrawal from the Investigation

 

6.1 At the onset of the investigation investigators should make plain to participants their right to withdraw from the research at any time, irrespective of whether or not payment or other inducement has been offered. It is recognised that this may be difficult in certain observational or organisational settings, but nevertheless the investigator must attempt to ensure that participants (including children) know of their right to withdraw. When testing children, avoidance of the testing situation may be taken as evidence of failure to consent to the procedure and should be acknowledged.

 

6.2 In the light of experience of the investigation, or as a result of debriefing, the participant has the right to withdraw retrospectively any consent given, and to require that their own data, including recordings, be destroyed.

7 Confidentiality

 

7.1 Subject to the requirements of legislation, including the Data Protection Act, information obtained about a participant during an investigation is confidential unless otherwise agreed in advance. Investigators who are put under pressure to disclose confidential information should draw this point to the attention of those exerting such pressure. Participants in psychological research have a right to expect that information they provide will be treated confidentially and, if published, will not be identifiable as theirs. In the event that confidentiality and/or anonymity cannot be guaranteed, the participant must be warned of this in advance of agreeing to participate.

8 Protection of Participants

 

8.1 Investigators have a primary responsibility to protect participants from physical and mental harm during the investigation. Normally, the risk of harm must be no greater than in ordinary life, ie. participants should not be exposed to risks greater than or additional to those encountered in their normal lifestyles. Where the risk of harm is greater than in ordinary life the provisions of 3.8 should apply. Participants must be asked about any factors in the procedure that might create a risk, such as pre-existing medical conditions, and must be advised of any special action they should take to avoid risk.

 

8.2 Participants should be informed of procedures for contacting the investigator within a reasonable time period following participation should stress, potential harm, or related questions or concern arise despite the precautions required by these Principles. Where research procedures might result in undesirable consequences for participants, the investigator has the responsibility to detect and remove or correct these consequences.

 

8.3 Where research may involve behaviour or experiences that participants may regard as personal and private the participants must be protected from stress by all appropriate measures, including the assurance that answers to personal questions need not be given. There should be no concealment or deception when seeking information that might encroach on privacy.

 

8.4 In research involving children, great caution should be exercised when discussing the results with parents, teachers or others in loco parentis, since evaluative statements may carry unintended weight.

9 Observational Research

 

9.1 Studies based upon observation must respect the privacy and psychological well- being of the individuals studied. Unless those observed give their consent to being observed, observational research is only acceptable in situations where those observed would expect to be observed by strangers. Additionally, particular account should be taken of local cultural values and of the possibility of intruding upon the privacy of individuals who, even while in a normally public space, may believe they are unobserved.

10 Giving Advice

 

10.1 During research, an investigator may obtain evidence of psychological or physical problems of which a participant is, apparently, unaware. In such a case, the investigator has a responsibility to inform the participant if the investigator believes that by not doing so the participant's future well being may be endangered.

 

10.2 If, in the normal course of psychological research, or as a result of problems detected as in 10.1, a participant solicits advice concerning educational, personality, behavioural or health issues, caution should be exercised. If the issue is serious and the investigator is not qualified to offer assistance, the appropriate source of professional advice should be recommended. Further details on the giving of advice will be found in the Society's Code of Conduct.

 

10.3 In some kinds of investigation the giving of advice is appropriate if this forms an intrinsic part of the research and has been agreed in advance.

11 Colleagues

 

11.1 Investigators share responsibility for the ethical treatment of research participants with their collaborators, assistants, students and employees. A psychologist who believes that another psychologist or investigator may be conducting research that is not in accordance with the principles above should encourage that investigator to re-evaluate the research.

 

 

Introduction

 

(a)The British Psychological Society (the Society) recognises its obligation to set and uphold the highest standards of professionalism, and to promote ethical behaviour, attitudes and judgements on the part of psychologists by:

• being mindful of the need for protection of the public
• expressing clear ethical principles, values and standards
• promoting such standards by education and consultation
• developing and implementing methods to help psychologists
• monitor their professional behaviour and attitudes
• investigating complaints of unethical behaviour, taking corrective
  action when appropriate, and learning from experience
• assisting psychologists with ethical decision making
• providing opportunities for discourse on these issues.

 

(b)Under the terms of its Royal Charter, the Society is required to ‘maintain a Code of Conduct'. In 1985 the Society adopted a Code of Conduct which has been regularly updated. From monitoring complaints and ethical enquiries, the Society's Ethics Committee identified a need for a Code which gave more emphasis and support to the process of ethical decision making.

 

(c) This Code of Ethics and Conduct should guide all members of the British Psychological Society. It should be read in conjunction with the Society's Royal Charter, Statutes and Rules. It comes into effect on 31st March 2006.

(d) In formulating this Code, a wide range of existing codes, as listed in the Appendix, were considered.

 

(e) The Society has also considered the wide range of contexts in which psychologists work. The aim of the Code is that it should apply to all psychologists, with the focus on the quality of decision making allowing sufficient flexibility for a variety of approaches and methods, but providing ethical standards which apply to all. Psychologists will also need to familiarise themselves with the legal framework, regulatory requirements and other guidance relevant to the particular context in which they work.

 

(f) In this Code the term ‘psychologist' refers to any member of the British Psychological Society including student members. Examples of the roles undertaken by psychologists include those of colleague, consultant, counsellor, educator, employer, expert witness, evaluator, lecturer, manager, practitioner, researcher, supervisor or therapist.

 

(g) In this Code the term ‘client' refers to any person or persons with whom a psychologist interacts on a professional basis. For example, a client may be an individual (such as a patient, a student, or a research participant), a couple, a family group, an educational institution, or a private or public organisation, including the Court. A psychologist may have several clients at a time including, for example, those receiving, commissioning and evaluating the professional activity.

 

(h) Psychologists are likely to need to make decisions in difficult, changing and unclear situations. The Society expects that the Code will be used to form a basis for consideration of ethical questions, with the Principles in this Code being taken into account in the process of making decisions, together with the needs of the client and the individual circumstances of the case. However, no Code can replace the need for psychologists to use their professional and ethical judgement. If a complaint is made, the Society will consider the individual circumstances, and the explanation given by the psychologist of how the decision was reached, as well as the foreseeable consequences of that decision, in judging whether there has been any professional misconduct.

 

(i) In making decisions on what constitutes ethical practice, psychologists will need to consider the application of technical competence and the use of their professional skill and judgement. They should also be mindful of the importance of fostering and maintaining good professional relationships with clients and others as a primary element of good practice.

 

(j) The consultation on this Code produced many helpful comments for consideration and most were incorporated into the final draft. Several themes emerged from the comments including: requests for information about the underlying philosophical approach being taken, queries about the use of the word ‘should' in the Code and more detail about the ethical decision making process.

 

(k) The underlying philosophical approach in this Code is best described as the ‘British Eclectic Tradition'. Moral principles and the codes which spell out their applications can only be guidelines for thinking about the decisions individuals need to make in specific cases. Variable factors are involved such as the particular circumstances, the prevailing law, the cultural context, the likely consequences and the feelings colouring the judgement. However, if moral judgments are to retain some objectivity, that is if they can be judged to be right or wrong, they must be based on rational principles which serve as criteria.

 

Abstracted from the factors listed above, reason by itself cannot give positive guidance but only command consistency in action which also means impartiality. Reason functions like the rules of logic, which do not tell us what to think but help our thinking to conform to rational principles. One example of a rational principle would be ‘Do unto others as you would be done by'. Immanuel Kant gave expression to this in his Categorical Imperative: ‘Act on such maxims as you could will to become universal law'. Our capacity to act on rational moral principles bestows on us the dignity of free moral agents and this leads to a further formulation of the Categorical Imperative: ‘Treat humanity in your own person and that of others always as an end and never only as a means'. This position forms the basis of the Code.

 

(l) This Code uses the word ‘should' rather than the more coercive ‘must' or the permissive ‘asks' to reinforce the advisory nature of the Code as a framework in support of professional judgement. Any scrutiny of this process will consider situations in terms of the decisions made, the outcomes and the processes involved. Thinking is not optional. The Code has been written primarily to guide not to punish.

 

(m) Finally, ethics is related to the control of power. Clearly, not all clients are powerless but many are disadvantaged by lack of knowledge and certainty compared to the psychologist whose judgement they require. This Code attempts to encapsulate the wisdom and experience of the Society to support its members in their professional activities, reassure the public that it is worthy of their trust and to clarify the expectations of all.

 

Decision Making

 

(a) Thinking about ethics should pervade all professional activity. The definition of ethics as the science of morals or rules of behaviour overlaps with the definition of psychology as the scientific study of behaviour both internal (for example, cognition and feelings) and external (for example, language and actions). Before embarking on professional work the ethical implications should be considered as part of the work context together with legal, professional and other frameworks.

 

(b) Information from surveys of psychologists, data on queries received by the Society and information from formal complaints indicates that certain areas of work produce the majority of concerns about ethical matters.

 

(c) These areas of concern include:

• multiple relationships - where the psychologist owes an allegiance to several different stakeholders
• personal relationships - where the psychologist infringes or violates the trust of a client or clients
• unclear or inadequate standards of practice - where the psychologist is unaware of or disregards the current systems in use by peers or others in similar work
• breaches of confidentiality - where rules and constraints are broken or not clarified in advance with stakeholders
• competence - where excessive or misleading claims are made or where inadequate safeguards and monitoring exist for new areas of work
• research issues including falsifying data, failing to obtain consent, plagiarism or failing to acknowledge another's work or contribution
• health problems affecting performance or conduct
• bringing the profession or the Society into disrepute.

 

(d) Many of the above concerns involve unethical behaviour but others involve lack of information, poor planning or carelessness. Reflective practice, peer support and transparency of professional activity would prevent problems occurring or developing into serious concerns.

 

(e) Despite every care being taken, ethical difficulties will occur. Several systems of ethical decision making exist and the following is an adaptation of the core themes.

(f) Identify the relevant issues:

• What are the parameters of the situation?
• Is there research evidence that might be relevant?
• What legal guidance exists?
• What do peers advise?

 

(g) Identify the clients and other stakeholders and consider or obtain their views.

(h) Use the Code of Ethics and Conduct to identify the principles involved.

 

(i) Evaluate the rights, responsibilities and welfare of all clients and stakeholders.

 

(j) Generate the alternative decisions preferably with others to act as a sounding board.

(k) Establish a cost/risk-benefit analysis to include both short- and long-term consequences.

 

(l) Make the decision after checking that the reasoning behind it is logical, lucid and consistent. Document the process of decision making.

 

(m) Assume responsibility and monitor any outcomes.

 

(n) Apologise for any negative outcomes that result. Many formal complaints are often a client's only way of obtaining an acknowledgement of distress. Saying ‘sorry' does not automatically admit liability.

 

(o) Make every effort to correct any negative outcomes and remain engaged in the process.

 

(p) Learn from the process for yourself, for others and for the Society.

 

(q) While the process set out in this section may appear to be a counsel of perfection, the thinking behind ethical decisions needs to be clear, especially where time is short and/or where high levels of emotion and risk are involved.

 

(r) For further reading please see the References after the Conclusion section of this Code.

Structure of the Code

 

(a) This code is based on four Ethical Principles, which constitute the main domains of responsibility within which ethical issues are considered.
These are:

• Respect
• Competence
• Responsibility
• Integrity

 

(b) Each Ethical Principle is described in a Statement of Values, reflecting the fundamental beliefs that guide ethical reasoning, decision making, and behaviour.

 

(c) Each Ethical Principle described is further defined by a set of Standards, setting out the ethical conduct that the Society expects of its members.

 

Ethical Principles

 

1. Ethical Principle: Respect
Statement of Values - Psychologists value the dignity and worth of all persons, with sensitivity to the dynamics of perceived authority or influence over clients, and with particular regard to people's rights including those of privacy and self-determination.

 

1.1 Standard of General Respect.
Psychologists should:

1. Respect individual, cultural and role differences, including (but not exclusively) those involving age, disability, education, ethnicity, gender, language, national origin, race, religion, sexual orientation, marital or family status and socio-economic status.
2. Respect the knowledge, insight, experience and expertise of clients, relevant third parties, and members of the general public.
3. Avoid practices that are unfair or prejudiced.
   and
4. Be willing to explain the bases for their ethical decision making.

1.2 Standard of Privacy and Confidentiality.
Psychologists should:

1. Keep appropriate records.
2. Normally obtain the consent of clients who are considered legally competent or their duly authorised representatives, for disclosure of confidential information.
3. Restrict the scope of disclosure to that which is consistent with professional purposes, the specifics of the initiating request or event, and (so far as required by the law) the specifics of the client's authorisation.
4. Record, process, and store confidential information in a fashion designed to avoid inadvertent disclosure.
5. Ensure from the first contact that clients are aware of the limitations of maintaining confidentiality, with specific reference to:
   (a) potentially conflicting or supervening legal and ethical obligations; (b) the likelihood that consultation with colleagues may occur in order to enhance the effectiveness of service provision; and (c) the possibility that third parties, such as translators or family members, may assist in ensuring that the activity concerned is not compromised by a lack of communication.
6. Restrict breaches of confidentiality to those exceptional circumstances under which there appears sufficient evidence to raise serious concern about: (a) the safety of clients; (b) the safety of other persons who may be endangered by the client's behaviour; or (c) the health, welfare or safety of children or vulnerable adults.
7. Consult a professional colleague when contemplating a breach of confidentiality, unless the delay occasioned by seeking such consultation is rendered impractical by the immediacy of the need for disclosure. (viii) Document any breach of confidentiality and the reasons compelling disclosure without consent in a contemporaneous note.
8. When disclosing confidential information directly to clients, safeguard the confidentiality of information relating to others,
   and provide adequate assistance in understanding the nature and contents of the information being disclosed.
9. Make audio, video or photographic recordings of clients only with the explicit permission of clients who are considered legally competent, or their duly authorised representatives.
   and
10. Endeavour to ensure that colleagues, staff, trainees, and supervisees with whom psychologists work, understand and respect the provisions of this Code concerning the handling of confidential information.

1.3 Standard of Informed Consent
Psychologists should:

1. Ensure that clients, particularly children and vulnerable adults, are given ample opportunity to understand the nature, purpose, and anticipated consequences of any professional services or research participation, so that they may give informed consent to the extent that their capabilities allow.
2. Seek to obtain the informed consent of all clients to whom professional services or research participation are offered.
3. Keep adequate records of when, how and from whom consent was obtained.
4. Remain alert to the possibility that those people for whom professional services or research participation are contemplated may lack legal capacity for informed consent.
5. When informed consent cannot be obtained from clients, no duly authorised representative can be identified and a pressing need for the provision of professional services is indicated, consult when feasible a person well-placed to appreciate the potential reactions of clients (such as a family member, or current or recent provider of care or services) for assistance in determining what may be in their best interests.
6. When the specific nature of contemplated professional services precludes obtaining informed consent from clients or their duly authorised representatives, obtain specific approval from appropriate institutional ethics authorities before proceeding. Where no institutional ethics authority exists, peers and colleagues should be consulted.
7. When the specific nature of research precludes obtaining informed consent from clients or their duly authorised representatives, obtain specific approval from appropriate institutional ethics authorities before proceeding. Where no institutional ethics authority exists, peers and colleagues should be consulted.
8. Take particular care when seeking the informed consent of detained persons, in the light of the degree to which circumstances of detention may affect the ability of such clients to consent freely.
9. Unless informed consent has been obtained, restrict research based upon observations of public behaviour to those situations in which persons being studied would reasonably expect to be observed by strangers, with reference to local cultural values and to the privacy of persons who, even while in a public space, may believe they are unobserved.
10. Obtain supplemental informed consent as circumstances indicate, when professional services or research occur over an extended period of time, or when there is significant change in the nature or focus of such activities.
11. Withhold information from clients only in exceptional circumstances when necessary to preserve the integrity of research
    or the efficacy of professional services, or in the public interest and specifically consider any additional safeguards required for the preservation of client welfare.
    and
12. Avoid intentional deception of clients unless: (a) deception is necessary in exceptional circumstances to preserve the integrity of research or the efficacy of professional services; (b) any additional safeguards required for the preservation of client welfare are specifically considered; and (c) the nature of the deception is disclosed to clients at the earliest feasible opportunity.

1.4 Standards of Self-Determination
Psychologists should:

1. Endeavour to support the self-determination of clients, while at the same time remaining alert to potential limits placed upon self-determination by personal characteristics or by externally imposed circumstances.
2. Ensure from the first contact that clients are aware of their right to withdraw at any time from the receipt of professional services or from research participation.
   and
3. Comply with requests by clients who are withdrawing from research participation that any data by which they might be personally identified, including recordings, be destroyed.

2 Ethical Principle: Competence
Statement of Values - Psychologists value the continuing development and
maintenance of high standards of competence in their professional work, and the importance of preserving their ability to function optimally within the recognised limits of their knowledge, skill, training, education, and experience.

2.1 Standard of Awareness of Professional Ethics
Psychologists should:

1. Develop and maintain a comprehensive awareness of professional ethics, including familiarity with this Code.
   and
2. Integrate ethical considerations into their professional practices as an element of continuing professional development.

2.2 Standard of Ethical Decision Making
Psychologists should:

1. Recognise that ethical dilemmas will inevitably arise in the course of professional practice.
2. Accept their responsibility to attempt to resolve such dilemmas with the appropriate combination of reflection, supervision, and consultation.
3. Be committed to the requirements of this Code.
4. Engage in a process of ethical decision making that includes:
   • identifying relevant issues
   • reflecting upon established principles, values, and standards;
   • seeking supervision or peer review
   • developing alternative courses of action in the light of contextual factors
   • analysing the advantages and disadvantages of various courses of action for those likely to be affected, allowing for different perspectives and cultures
   • choosing a course of action - and
   • evaluating the outcomes to inform future ethical decision making.

5. Be able to justify their actions on ethical grounds.
6. Remain aware that the process of ethical decision making must be undertaken with sensitivity to any time constraints that may exist.
   and
7. Given the existence of legal obligations that may occasionally appear to contradict certain provisions of this Code, analyse such contradictions with particular care, and adhere to the extent possible to these Ethical Principles while meeting the legal requirements of their professional roles.

2.3 Standard of Recognising Limits of Competence
Psychologists should:

1. Practice within the boundaries of their competence.
2. Adhere to the Society's policies regarding Continued Professional Development.
3. Remain abreast of scientific, ethical, and legal innovations germane to their professional activities, with further sensitivity to ongoing developments in the broader social, political and organisational contexts in which they work.
4. Seek consultation and supervision when indicated, particularly as circumstances begin to challenge their scientific or professional expertise;
5. Engage in additional areas of professional activity only after obtaining the knowledge, skill, training, education, and experience necessary for competent functioning.
6. Remain aware of and acknowledge the limits of their methods, as well as the limits of the conclusions that may be derived from such methods under different circumstances and for different purposes.
   and
7. Strive to ensure that those working under their direct supervision also comply with each of the requirements of this Standard and that they are not required to work beyond the limits of their competence.

2.4 Standard of Recognising Impairment
Psychologists should:

1. Monitor their own personal and professional lifestyle in order to remain alert to signs of impairment.
2. Seek professional consultation or assistance when they become aware of health-related or other personal problems that may impair their own professional competence.
3. Refrain from practice when their professional competence is seriously impaired.
   and
4. Encourage colleagues whose health-related or other personal problems may reflect impairment to seek professional consultation or assistance, and consider informing other potential sources of intervention, including the Society, when such colleagues appear unable to recognise that a problem exists. Psychologists must inform potential sources of intervention where necessary for the protection of the public.

3 Ethical Principle: Responsibility

Statement of Values - Psychologists value their responsibilities to clients, to the general public, and to the profession and science of Psychology, including the avoidance of harm and the prevention of misuse or abuse of their contributions to society.

3.1 Standard of General Responsibility
Psychologists should:

1. Avoid harming clients, but take into account that the interests of different clients may conflict. The psychologist will need to weigh these interests and the potential harm caused by alternative courses of action or inaction.
2. Avoid personal and professional misconduct that might bring the Society or the reputation of the profession into disrepute, recognising that, in particular, convictions for criminal offences that reflect on suitability for practice may be regarded as misconduct by the Society.
   and
3. Seek to remain aware of the scientific and professional activities of others with whom they work, with particular attention to the ethical behaviour of employees, assistants, supervisees and students.

3.2 Standard of Termination and Continuity of Care
Psychologists should:

1. Make clear at the first contact, or at the earliest opportunity, the conditions under which the professional services may be terminated.
2. Take advice where there appears to be ambiguity about continuing with professional services.
3. Terminate professional services when clients do not appear to be deriving benefit and are unlikely to do so
   and
4. Refer clients to alternative sources of assistance as appropriate, facilitating the transfer and continuity of care through reasonable collaboration with other professionals.

3.3 Standard of Protection of Research Participants
Psychologists should:

1. Consider all research from the standpoint of research participants, for the purpose of eliminating potential risks to psychological well-being, physical health, personal values, or dignity.
2. Undertake such consideration with due concern for the potential effects of, for example, age, disability, education, ethnicity, gender, language, national origin, race, religion, marital or family status, or sexual orientation, seeking consultation as needed from those knowledgeable about such effects.
3. Ask research participants from the first contact about individual factors that might reasonably lead to risk of harm, and inform research participants of any action they should take to minimise such risks.
4. Refrain from using financial compensation or other inducements for research participants to risk harm beyond that which they face in their normal lifestyles.
5. Obtain the considered and non-subjective approval of independent advisors whenever concluding that harm, unusual discomfort, or other negative consequences may follow from research, and obtain supplemental informed consent from research participants specific to such issues.
6. Inform research participants from the first contact that their right to withdraw at any time is not affected by the receipt or offer of any financial compensation or other inducements for participation.
7. Inform research participants from the first contact that they may decline to answer any questions put to them, while conveying as well that this may lead to termination of their participation, particularly when safety issues are implicated.
8. Inform research participants when evidence is obtained of a psychological or physical problem of which they are apparently unaware, if it appears that failure to do so may endanger their present or future well-being.
9. Exercise particular caution when responding to requests for advice from research participants concerning psychological or other issues, and offer to make a referral for assistance if the inquiry appears to involve issues sufficiently serious to warrant professional services.
   and
10. When conducting research involving animals: (a) observe the highest standards of animal welfare, including reduction to the minimum of any pain, suffering, fear, distress, frustration, boredom, or lasting harm; and (b) avoid the infliction of any of these conditions which cannot be strictly justified, in adherence to the Society's published Guidelines for Psychologists Working with Animals.

3.4 Standard of Debriefing of Research Participants
Psychologists should:

1. Debrief research participants at the conclusion of their participation, in order to inform them of the outcomes and nature
   of the research, to identify any unforeseen harm, discomfort , or misconceptions, and in order to arrange for assistance as needed.
   and
2. Take particular care when discussing outcomes with research participants, as seemingly evaluative statements may carry
   unintended weight.

4 Ethical Principle: Integrity

Statement of Values - Psychologists value honesty, accuracy, clarity, and fairness in their interactions with all persons, and seek to promote integrity in all facets of their scientific and professional endeavours.

4.1 Standard of Honesty and Accuracy
Psychologists should:

1. Be honest and accurate in representing their professional affiliations and qualifications, including such matters as knowledge, skill, training, education, and experience.
2. Take reasonable steps to ensure that their qualifications and competences are not misrepresented by others, and to correct any misrepresentations identified.
3. Be honest and accurate in conveying professional conclusions, opinions, and research findings, and in acknowledging the potential limitations.
4. Be honest and accurate in representing the financial and other parameters and obligations of supervisory, training, employment, and other contractual relationships.
5. Ensure that clients are aware from the first contact of costs and methods of payment for the provision of professional services.
6. Claim only appropriate ownership or credit for their research, published writings, or other scientific and professional
   contributions, and provide due acknowledgement of the contributions of others to a collaborative work.
   and
7. Be honest and accurate in advertising their professional services and products, in order to avoid encouraging unrealistic expectations or otherwise misleading the public.

4.2 Standard of Avoiding Exploitation and Conflicts of Interest
Psychologists should:

1. Remain aware of the problems that may result from dual or multiple relationships, for example, supervising trainees to whom they are married, teaching students with whom they already have a familial relationship, or providing psychological therapy to a friend.
2. Avoid forming relationships that may impair professional objectivity or otherwise lead to exploitation of, or conflicts of interest with, a client.
3. Clarify for clients and other relevant parties the professional roles currently assumed and conflicts of interest that might potentially arise.
4. Refrain from abusing professional relationships in order to advance their sexual, personal, financial, or other interests.
   and
5. Recognise that conflicts of interests and inequity of power may still reside after professional relationships are formally terminated, such that professional responsibilities may still apply.

4.3 Standard of Maintaining Personal Boundaries
Psychologists should:

1. Refrain from engaging in any form of sexual or romantic relationship with persons to whom they are providing professional services, or to whom they owe a continuing duty of care, or with whom they have a relationship of trust. This might include a former patient, a student or trainee, or a junior staff member.
2. Refrain from engaging in harassment and strive to maintain their workplaces free from sexual harassment.
3. Recognise as harassment any unwelcome verbal or physical behaviour, including sexual advances, when: (a) such conduct interferes with another person's work or creates an intimidating, hostile or offensive working environment; (b) submission to this conduct is made implicitly or explicitly a term or condition of a person's education, employment or access to resources; or (c) submission or rejection of such conduct is used as a basis for decisions affecting a person's education or employment prospects.
4. Recognise that harassment may consist of a single serious act or multiple persistent or pervasive acts, and that it further includes behaviour that ridicules, disparages, or abuses a person.
5. Make clear to students, supervisees, trainees and employees, as part of their induction, that agreed procedures addressing harassment exist within both the workplace and the Society.
   and
6. Cultivate an awareness of power structures and tensions within groups or teams.

4.4 Standard of Addressing Ethical Misconduct
Psychologists should:

1. Challenge colleagues who appear to have engaged in ethical misconduct, and/or consider bringing allegations of such
   misconduct to the attention of those charged with the responsibility to investigate them, particularly when members of the public appear to have been, or may be, affected by the behaviour in question.
2. When bringing allegations of misconduct by a colleague, do so without malice and with no breaches of confidentiality other than those necessary to the proper investigatory processes.
   and
3. When the subject of allegations of misconduct themselves, take all reasonable steps to assist those charged with the responsibility to investigate them.
5. Conclusion

This Code provides the parameters within which professional judgements should be made. However, it cannot, and does not aim to, provide the answer to every ethical dilemma a psychologist may face. It is important to remember to reflect and apply a process to resolve ethical dilemmas as set out in this Code.

If you have a question about the Code or about professional ethics, there are several potential sources of advice. The Ethics Committee has an area on the Society's website (www.bps.org.uk). The Regulatory Affairs team can give advice to members about ethical issues and can be contacted on 0116 254 9568 or conduct@bps.org.uk. The Scientific Officer and Research Board also give advice about issues arising in research situations and can be contacted on the same telephone number or at researchethics@bps.org.uk.

 

However, the Society cannot give legal advice, or provide practical support to members who have been complained about. For that reason, the Society strongly recommends that members consider taking out professional indemnity insurance. The Society has approved an insurance scheme, and details are available from the Society's helpline, on the same number as above, but there are other insurance policies that members could consider.

 

If a complaint is made about a member's professional conduct, this would be dealt with by the Regulatory Affairs team. The Society's complaint handling process is set out in the Statutes. The first step in any complaint is usually to ask the member to provide a response. Members should consider this Code and the advice on ethical decision making in deciding what information to include in their response.

 

Information about the complaint handling process is available on the Society's website and also from the Regulatory Affairs team. The Society has a procedure for considering allegations that a member's health may be affecting their ability to practise, and information about that procedure is available from Regulatory Affairs.

 

This Code was written by the Ethics Committee of the British Psychological Society. Thanks are due to all the current and former members of the Committee and all those who assisted in the drafting of the Code, with particular thanks to representatives of Witness (formerly POPAN: the Prevention of Professional Abuse Network), the philosophers Baroness Mary Warnock and Professor Peter Rickman and last but not least to Dr Eric Drogin and Professor John Williams for assistance in the final drafting.

 

References

Ethical Conflicts in Psychology
D. Bersoff
American Psychological Association (1997)

Critical Reasoning in Ethics
A. Thompson
Routledge (1999)

Ethics in Psychology (2nd edition)
G. Koocher & P. Keith-Spiegel
Oxford University Press (1998)

Ethics for Psychologists
R.D. Francis
British Psychological .Society (1999)

Analysing Ethical Codes of UK Professional Bodies
A. Friedman, S. Daly & R. Andrzejewska
Professional Associations Research Network (PARN) (2005)

Autonomy and Trust in Bioethics
O. O'Neill
Cambridge University Press (2002)

Companion Manual to the Canadian Code of Ethics for Psychologists 1991
Canadian Psychological Association (1997)

Critical Thinking: A Concise Guide
T. Bowell & G. Kemp
Routledge (2002)

Ethics for Psychologists: A commentary on the APA Ethics Code
M. Canter, B. Bennett, S. Jones & T. Nagy
American Psychological Association (1996)
Philosophy: Basic Readings
N. Warbuton
Routledge (2004)

 

Appendix

Key documents consulted in preparing the British Psychological Society's Code of Ethics and Conduct

United Nations Universal Declaration of Human Rights (1948)

World Medical Association Declaration of Helsinki (1964, last amended 2000)

European Convention on Human Rights and Fundamental Freedoms (1963, last amended 1985)

Meta-Code of Ethics and Carte Ethica - European Federation of Psychologists Associations (1995)

Code of Conduct - The British Psychological Society (1993)

Code of Professional Ethics - The Psychological Society of Ireland (1999)

Canadian Code of Ethics for Psychologists - Canadian Psychological Association (2000)

Ethical Principles of Psychologists and Code of Conduct - American Psychological Association (2002)
Ethical Framework for Good Practice in Counselling and Psychotherapy - British Association for Counselling and Psychotherapy (2002)

Ethical Requirements for Member Organisations - United Kingdom Council for Psychotherapy (2003)

Standards in Applied Psychology - National Occupational Standards Board Confidentiality - General Medical Council (2004)

Whistleblowers Policy Pack - Public Concern at Work (2003)

The Local Authorities (Model Code of Conduct) (England) Order (2001)

 

The British Psychological Society was founded in 1901 and incorporated by Royal Charter in 1965. Its principle object is to promote the advancement and diffusion of a knowledge of psychology pure and applied and especially to promote the efficiency and usefulness of Members of the Society by setting up a high standard of professional education and knowledge.

 

The Society has more than 42,000
members and:

• has branches in England, Northern Ireland, Scotland and Wales;
• accredits nearly 800 undergraduate degrees;
• accredits nearly 150 postgraduate professional training courses;
• confers Fellowships for distinguished achievements
• confers Chartered Status for professionally qualified psychologists;
• awards grants to support research and scholarship;
• publishes 10 scientific journals and also jointly publishes Evidence Based Mental Health with the British Medical Association and the Royal College of Psychiatrists;
• publishes books in partnership with Blackwells;
• publishes The Psychologist each month;
• supports the recruitment of psychologists through the Appointments Memorandum and www.appmemo.co.uk;
• provides a free ‘Research Digest' by email;
• publishes newsletters for its constituent groups;
• maintains a website (www.bps.org.uk);
• has international links with psychological societies and associations throughout the world;
• provides a service for the news media and the public;
• has an Ethics Committee and provides service to the Professional Conduct Board;
• maintains a Register of more than 12,000 Chartered Psychologists;
• prepares policy statements and responses to government consultations;
• holds conferences, workshops, continuing professional development and training events;
• recognises distinguished contributions to psychological science and practice through individual awards and honours;
• maintains a Register of Psychologists Specialising in Psychotherapy.

The Society continues to work to enhance:

• recruitment - the target is 50,000 members by 2006;
• services - the Society has offices in England, Northern Ireland, Scotland and Wales;
• public understanding of psychology - addressed by regular media activity and outreach events;
• influence on public policy - through the work of its Boards and Parliamentary Officer;
• membership activities - to fully utilise the strengths and diversity of the Society membership.

The British Psychological Society
St. Andrews House, 48 Princess Road East, Leicester LE1 7DR, UK
Telephone 0116 254 9568 Facsimile 0116 247 0787 E-mail mail@bps.org.uk Website www.bps.org.uk

Incorporated by Royal Charter Registered Charity No 229642 INF94/03.2006

 

 

 

 

 

Introduction

The American Sociological Association's (ASA's) Code of Ethics sets forth the principles and ethical standards that underlie sociologists' professional responsibilities and conduct. These principles and standards should be used as guidelines when examining everyday professional activities. They constitute normative statements for sociologists and provide guidance on issues that sociologists may encounter in their professional work.

 

ASA's Code of Ethics consists of an Introduction, a Preamble, five General Principles, and specific Ethical Standards. This Code is also accompanied by the Rules and Procedures of the ASA Committee on Professional Ethics which describe the procedures for filing, investigating, and resolving complaints of unethical conduct.

 

The Preamble and General Principles of the Code are aspirational goals to guide sociologists toward the highest ideals of sociology. Although the Preamble and General Principles are not enforceable rules, they should be considered by sociologists in arriving at an ethical course of action and may be considered by ethics bodies in interpreting the Ethical Standards.

 

The Ethical Standards set forth enforceable rules for conduct by sociologists. Most of the Ethical Standards are written broadly in order to apply to sociologists in varied roles, and the application of an Ethical Standard may vary depending on the context. The Ethical Standards are not exhaustive. Any conduct that is not specifically addressed by this Code of Ethics is not necessarily ethical or unethical.

 

Membership in the ASA commits members to adhere to the ASA Code of Ethics and to the Policies and Procedures of the ASA Committee on Professional Ethics. Members are advised of this obligation upon joining the Association and that violations of the Code may lead to the imposition of sanctions, including termination of membership. ASA members subject to the Code of Ethics may be reviewed under these Ethical Standards only if the activity is part of or affects their work-related functions, or if the activity is sociological in nature. Personal activities having no connection to or effect on sociologists' performance of their professional roles are not subject to the Code of Ethics.

 

Preamble

This Code of Ethics articulates a common set of values upon which sociologists build their professional and scientific work. The Code is intended to provide both the general principles and the rules to cover professional situations encountered by sociologists. It has as its primary goal the welfare and protection of the individuals and groups with whom sociologists work. It is the individual responsibility of each sociologist to aspire to the highest possible standards of conduct in research, teaching, practice, and service.

The development of a dynamic set of ethical standards for a sociologist's work-related conduct requires a personal commitment to a lifelong effort to act ethically; to encourage ethical behavior by students, supervisors, supervisees, employers, employees, and colleagues; and to consult with others as needed concerning ethical problems. Each sociologist supplements, but does not violate, the values and rules specified in the Code of Ethics based on guidance drawn from personal values, culture, and experience.

 

General Principles

The following General Principles are aspirational and serve as a guide for sociologists in determining ethical courses of action in various contexts. They exemplify the highest ideals of professional conduct.

 

Principle A: Professional Competence

Sociologists strive to maintain the highest levels of competence in their work; they recognize the limitations of their expertise; and they undertake only those tasks for which they are qualified by education, training, or experience. They recognize the need for ongoing education in order to remain professionally competent; and they utilize the appropriate scientific, professional, technical, and administrative resources needed to ensure competence in their professional activities. They consult with other professionals when necessary for the benefit of their students, research participants, and clients.

 

Principle B: Integrity

Sociologists are honest, fair, and respectful of others in their professional activities—in research, teaching, practice, and service. Sociologists do not knowingly act in ways that jeopardize either their own or others' professional welfare. Sociologists conduct their affairs in ways that inspire trust and confidence; they do not knowingly make statements that are false, misleading, or deceptive.

 

Principle C: Professional and Scientific Responsibility

Sociologists adhere to the highest scientific and professional standards and accept responsibility for their work. Sociologists understand that they form a community and show respect for other sociologists even when they disagree on theoretical, methodological, or personal approaches to professional activities. Sociologists value the public trust in sociology and are concerned about their ethical behavior and that of other sociologists that might compromise that trust. While endeavoring always to be collegial, sociologists must never let the desire to be collegial outweigh their shared responsibility for ethical behavior. When appropriate, they consult with colleagues in order to prevent or avoid unethical conduct.

 

Principle D: Respect for People's Rights, Dignity, and Diversity

Sociologists respect the rights, dignity, and worth of all people. They strive to eliminate bias in their professional activities, and they do not tolerate any forms of discrimination based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; or marital, domestic, or parental status. They are sensitive to cultural, individual, and role differences in serving, teaching, and studying groups of people with distinctive characteristics. In all of their work-related activities, sociologists acknowledge the rights of others to hold values, attitudes, and opinions that differ from their own.

 

Principle E: Social Responsibility

Sociologists are aware of their professional and scientific responsibility to the communities and societies in which they live and work. They apply and make public their knowledge in order to contribute to the public good. When undertaking research, they strive to advance the science of sociology and to serve the public good.

 

Ethical Standards

1. Professional and Scientific Standards

Sociologists adhere to the highest possible technical standards that are reasonable and responsible in their research, teaching, practice, and service activities. They rely on scientifically and professionally derived knowledge; act with honesty and integrity; and avoid untrue, deceptive, or undocumented statements in undertaking work-related functions or activities.

 

2. Competence

(a) Sociologists conduct research, teach, practice, and provide service only within the boundaries of their competence, based on their education, training, supervised experience, or appropriate professional experience.
(b) Sociologists conduct research, teach, practice, and provide service in new areas or involving new techniques only after they have taken reasonable steps to ensure the competence of their work in these areas.

(c) Sociologists who engage in research, teaching, practice, or service maintain awareness of current scientific and professional information in their fields of activity, and undertake continuing efforts to maintain competence in the skills they use.

(d) Sociologists refrain from undertaking an activity when their personal circumstances may interfere with their professional work or lead to harm for a student, supervisee, human subject, client, colleague, or other person to whom they have a scientific, teaching, consulting, or other professional obligation.

 

3. Representation and Misuse of Expertise

(a) In research, teaching, practice, service, or other situations where sociologists render professional judgments or present their expertise, they accurately and fairly represent their areas and degrees of expertise.

(b) Sociologists do not accept grants, contracts, consultation, or work assignments from individual or organizational clients or sponsors that appear likely to require violation of the standards in this Code of Ethics. Sociologists dissociate themselves from such activities when they discover a violation and are unable to achieve its correction.
(c) Because sociologists' scientific and professional judgments and actions may affect the lives of others, they are alert to and guard against personal, financial, social, organizational, or political factors that might lead to misuse of their knowledge, expertise, or influence.

(d) If sociologists learn of misuse or misrepresentation of their work, they take reasonable steps to correct or minimize the misuse or misrepresentation.

 

4. Delegation and Supervision

(a) Sociologists provide proper training and supervision to their students, supervisees, or employees and take reasonable steps to see that such persons perform services responsibly, competently, and ethically.
(b) Sociologists delegate to their students, supervisees, or employees only those responsibilities that such persons, based on their education, training, or experience, can reasonably be expected to perform either independently or with the level of supervision provided.

 

5. Nondiscrimination

Sociologists do not engage in discrimination in their work based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable basis proscribed by law.

 

6. Non-exploitation

(a) Whether for personal, economic, or professional advantage, sociologists do not exploit persons over whom they have direct or indirect supervisory, evaluative, or other authority such as students, supervisees, employees, or research participants.

(b) Sociologists do not directly supervise or exercise evaluative authority over any person with whom they have a sexual relationship, including students, supervisees, employees, or research participants.

 

7. Harassment

Sociologists do not engage in harassment of any person, including students, supervisees, employees, or research participants. Harassment consists of a single intense and severe act or of multiple persistent or pervasive acts which are demeaning, abusive, offensive, or create a hostile professional or workplace environment. Sexual harassment may include sexual solicitation, physical advance, or verbal or non-verbal conduct that is sexual in nature. Racial harassment may include unnecessary, exaggerated, or unwarranted attention or attack, whether verbal or non-verbal, because of a person's race or ethnicity.

8. Employment Decisions

Sociologists have an obligation to adhere to the highest ethical standards when participating in employment related decisions, when seeking employment, or when planning to resign from a position.

8.01 Fair Employment Practices

(a) When participating in employment-related decisions, sociologists make every effort to ensure equal opportunity and fair treatment to all full- and part-time employees. They do not discriminate in hiring, promotion, salary, treatment, or any other conditions of employment or career development on the basis of age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable basis proscribed by law.
(b) When participating in employment-related decisions, sociologists specify the requirements for hiring, promotion, tenure, and termination and communicate these requirements thoroughly to full- and part-time employees and prospective employees.
(c) When participating in employment-related decisions, sociologists have the responsibility to be informed of fair employment codes, to communicate this information to employees, and to help create an atmosphere upholding fair employment practices for full- and part-time employees.
(d) When participating in employment-related decisions, sociologists inform prospective full- and part-time employees of any constraints on research and publication and negotiate clear understandings about any conditions that may limit research and scholarly activity.

8.02 Responsibilities of Employees

(a) When seeking employment, sociologists provide prospective employers with accurate and complete information on their professional qualifications and experiences.
(b) When leaving a position, permanently or temporarily, sociologists provide their employers with adequate notice and take reasonable steps to reduce negative effects of leaving.

9. Conflicts of Interest

Sociologists maintain the highest degree of integrity in their professional work and avoid conflicts of interest and the appearance of conflict. Conflicts of interest arise when sociologists' personal or financial interests prevent them from performing their professional work in an unbiased manner. In research, teaching, practice, and service, sociologists are alert to situations that might cause a conflict of interest and take appropriate action to prevent conflict or disclose it to appropriate parties.

9.01 Adherence to Professional Standards

Irrespective of their personal or financial interests or those of their employers or clients, sociologists adhere to professional and scientific standards in (1) the collection, analysis, or interpretation of data; (2) the reporting of research; (3) the teaching, professional presentation, or public dissemination of sociological knowledge; and (4) the identification or implementation of appropriate contractual, consulting, or service activities.

9.02 Disclosure

Sociologists disclose relevant sources of financial support and relevant personal or professional relationships that may have the appearance of or potential for a conflict of interest to an employer or client, to the sponsors of their professional work, or in public speeches and writing.

9.03 Avoidance of Personal Gain

(a) Under all circumstances, sociologists do not use or otherwise seek to gain from information or material received in a confidential context (e.g., knowledge obtained from reviewing a manuscript or serving on a proposal review panel), unless they have authorization to do so or until that information is otherwise made publicly available.
(b) Under all circumstances, sociologists do not seek to gain from information or material in an employment or client relationship without permission of the employer or client.

9.04 Decisionmaking in the Workplace

In their workplace, sociologists take appropriate steps to avoid conflicts of interest or the appearance of conflicts, and carefully scrutinize potentially biasing affiliations or relationships. In research, teaching, practice, or service, such potentially biasing affiliations or relationships include, but are not limited to, situations involving family, business, or close personal friendships or those with whom sociologists have had strong conflict or disagreement.

9.05 Decisionmaking Outside of the Workplace

In professional activities outside of their workplace, sociologists in all circumstances abstain from engaging in deliberations and decisions that allocate or withhold benefits or rewards from individuals or institutions if they have biasing affiliations or relationships. These biasing affiliations or relationships are: 1) current employment or being considered for employment at an organization or institution that could be construed as benefiting from the decision; 2) current officer or board member of an organization or institution that could be construed as benefiting from the decision; 3) current employment or being considered for employment at the same organization or institution where an individual could benefit from the decision; 4) a spouse, domestic partner, or known relative who as an individual could benefit from the decision; or 5) a current business or professional partner, research collaborator, employee, supervisee, or student who as an individual could benefit from the decision.

10. Public Communication

Sociologists adhere to the highest professional standards in public communications about their professional services, credentials and expertise, work products, or publications, whether these communications are from themselves or from others.

10.01 Public Communications

(a) Sociologists take steps to ensure the accuracy of all public communications. Such public communications include, but are not limited to, directory listings; personal resumes or curriculum vitae; advertising; brochures or printed matter; interviews or comments to the media; statements in legal proceedings; lectures and public oral presentations; or other published materials.
(b) Sociologists do not make public statements that are false, deceptive, misleading, or fraudulent, either because of what they state, convey, or suggest or because of what they omit, concerning their research, practice, or other work activities or those of persons or organizations with which they are affiliated. Such activities include, but are not limited to, false or deceptive statements concerning sociologists' (1) training, experience, or competence; (2) academic degrees; (3) credentials; (4) institutional or association affiliations; (5) services; (6) fees; or (7) publications or research findings. Sociologists do not make false or deceptive statements concerning the scientific basis for, results of, or degree of success from their professional services. (c) When sociologists provide professional advice or comment by means of public lectures, demonstrations, radio or television programs, prerecorded tapes, printed articles, mailed material, or other media, they take reasonable precautions to ensure that (1) the statements are based on appropriate research, literature, and practice; and (2) the statements are otherwise consistent with this Code of Ethics.

10.02 Statements by Others

(a) Sociologists who engage or employ others to create or place public statements that promote their work products, professional services, or other activities retain responsibility for such statements.
(b) Sociologists make reasonable efforts to prevent others whom they do not directly engage, employ, or supervise (such as employers, publishers, sponsors, organizational clients, members of the media) from making deceptive statements concerning their professional research, teaching, or practice activities.
(c) In working with the press, radio, television, or other communications media or in advertising in the media, sociologists are cognizant of potential conflicts of interest or appearances of such conflicts (e.g., they do not provide compensation to employees of the media), and they adhere to the highest standards of professional honesty (e.g., they acknowledge paid advertising).

 

11. Confidentiality

Sociologists have an obligation to ensure that confidential information is protected. They do so to ensure the integrity of research and the open communication with research participants and to protect sensitive information obtained in research, teaching, practice, and service. When gathering confidential information, sociologists should take into account the long-term uses of the information, including its potential placement in public archives or the examination of the information by other researchers or practitioners.

11.01 Maintaining Confidentiality

(a) Sociologists take reasonable precautions to protect the confidentiality rights of research participants, students, employees, clients, or others.
(b) Confidential information provided by research participants, students, employees, clients, or others is treated as such by sociologists even if there is no legal protection or privilege to do so. Sociologists have an obligation to protect confidential information, and not allow information gained in confidence from being used in ways that would unfairly compromise research participants, students, employees, clients, or others.
(c) Information provided under an understanding of confidentiality is treated as such even after the death of those providing that information.
(d) Sociologists maintain the integrity of confidential deliberations, activities, or roles, including, where applicable, that of professional committees, review panels, or advisory groups (e.g., the ASA Committee on Professional Ethics).
(e) Sociologists, to the extent possible, protect the confidentiality of student records, performance data, and personal information, whether verbal or written, given in the context of academic consultation, supervision, or advising.
(f) The obligation to maintain confidentiality extends to members of research or training teams and collaborating organizations who have access to the information. To ensure that access to confidential information is restricted, it is the responsibility of researchers, administrators, and principal investigators to instruct staff to take the steps necessary to protect confidentiality.
(g) When using private information about individuals collected by other persons or institutions, sociologists protect the confidentiality of individually identifiable information. Information is private when an individual can reasonably expect that the information will not be made public with personal identifiers (e.g., medical or employment records).

11.02 Limits of Confidentiality

(a) Sociologists inform themselves fully about all laws and rules which may limit or alter guarantees of confidentiality. They determine their ability to guarantee absolute confidentiality and, as appropriate, inform research participants, students, employees, clients, or others of any limitations to this guarantee at the outset consistent with ethical standards set forth in 11.02(b).
(b) Sociologists may confront unanticipated circumstances where they become aware of information that is clearly health- or life-threatening to research participants, students, employees, clients, or others. In these cases, sociologists balance the importance of guarantees of confidentiality with other principles in this Code of Ethics, standards of conduct, and applicable law.
(c) Confidentiality is not required with respect to observations in public places, activities conducted in public, or other settings where no rules of privacy are provided by law or custom. Similarly, confidentiality is not required in the case of information available from public records.

11.03 Discussing Confidentiality and Its Limits

(a) When sociologists establish a scientific or professional relationship with persons, they discuss (1) the relevant limitations on confidentiality, and (2) the foreseeable uses of the information generated through their professional work.
(b) Unless it is not feasible or is counter-productive, the discussion of confidentiality occurs at the outset of the relationship and thereafter as new circumstances may warrant.

11.04 Anticipation of Possible Uses of Information

(a) When research requires maintaining personal identifiers in data bases or systems of records, sociologists delete such identifiers before the information is made publicly available.
(b) When confidential information concerning research participants, clients, or other recipients of service is entered into databases or systems of records available to persons without the prior consent of the relevant parties, sociologists protect anonymity by not including personal identifiers or by employing other techniques that mask or control disclosure of individual identities.
(c) When deletion of personal identifiers is not feasible, sociologists take reasonable steps to determine that appropriate consent of personally-identifiable individuals has been obtained before they transfer such data to others or review such data collected by others.

11.05 Electronic Transmission of Confidential Information

Sociologists use extreme care in delivering or transferring any confidential data, information, or communication over public computer networks. Sociologists are attentive to the problems of maintaining confidentiality and control over sensitive material and data when use of technological innovations, such as public computer networks, may open their professional and scientific communication to unauthorized persons.

11.06 Anonymity of Sources

(a) Sociologists do not disclose in their writings, lectures, or other public media confidential, personally identifiable information concerning their research participants, students, individual or organizational clients, or other recipients of their service which is obtained during the course of their work, unless consent from individuals or their legal representatives has been obtained.
(b) When confidential information is used in scientific and professional presentations, sociologists disguise the identity of research participants, students, individual or organizational clients, or other recipients of their service.

11.07 Minimizing Intrusions on Privacy

(a) To minimize intrusions on privacy, sociologists include in written and oral reports, consultations, and public communications only information germane to the purpose for which the communication is made.

(b) Sociologists discuss confidential information or evaluative data concerning research participants, students, supervisees, employees, and individual or organizational clients only for appropriate scientific or professional purposes and only with persons clearly concerned with such matters.

11.08 Preservation of Confidential Information

(a) Sociologists take reasonable steps to ensure that records, data, or information are preserved in a confidential manner consistent with the requirements of this Code of Ethics, recognizing that ownership of records, data, or information may also be governed by law or institutional principles.
(b) Sociologists plan so that confidentiality of records, data, or information is protected in the event of the sociologist's death, incapacity, or withdrawal from the position or practice.
(c) When sociologists transfer confidential records, data, or information to other persons or organizations, they obtain assurances that the recipients of the records, data, or information will employ measures to protect confidentiality at least equal to those originally pledged.

12. Informed Consent

Informed consent is a basic ethical tenet of scientific research on human populations. Sociologists do not involve a human being as a subject in research without the informed consent of the subject or the subject's legally authorized representative, except as otherwise specified in this Code. Sociologists recognize the possibility of undue influence or subtle pressures on subjects that may derive from researchers' expertise or authority, and they take this into account in designing informed consent procedures.

12.01 Scope of Informed Consent

(a) Sociologists conducting research obtain consent from research participants or their legally authorized representatives (1) when data are collected from research participants through any form of communication, interaction, or intervention; or (2) when behavior of research participants occurs in a private context where an individual can reasonably expect that no observation or reporting is taking place.
(b) Despite the paramount importance of consent, sociologists may seek waivers of this standard when (1) the research involves no more than minimal risk for research participants, and (2) the research could not practicably be carried out were informed consent to be required. Sociologists recognize that waivers of consent require approval from institutional review boards or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, the confidentiality of any personally identifiable information must be maintained unless otherwise set forth in 11.02(b).
(c) Sociologists may conduct research in public places or use publicly available information about individuals (e.g., naturalistic observations in public places, analysis of public records, or archival research) without obtaining consent. If, under such circumstances, sociologists have any doubt whatsoever about the need for informed consent, they consult with institutional review boards or, in the absence of such boards, with another authoritative body with expertise on the ethics of research before proceeding with such research.
(d) In undertaking research with vulnerable populations (e.g., youth, recent immigrant populations, the mentally ill), sociologists take special care to ensure that the voluntary nature of the research is understood and that consent is not coerced. In all other respects, sociologists adhere to the principles set forth in 12.01(a)-(c).
(e) Sociologists are familiar with and conform to applicable state and federal regulations and, where applicable, institutional review board requirements for obtaining informed consent for research.

12.02 Informed Consent Process

(a) When informed consent is required, sociologists enter into an agreement with research participants or their legal representatives that clarifies the nature of the research and the responsibilities of the investigator prior to conducting the research.
(b) When informed consent is required, sociologists use language that is understandable to and respectful of research participants or their legal representatives.
(c) When informed consent is required, sociologists provide research participants or their legal representatives with the opportunity to ask questions about any aspect of the research, at any time during or after their participation in the research.
(d) When informed consent is required, sociologists inform research participants or their legal representatives of the nature of the research; they indicate to participants that their participation or continued participation is voluntary; they inform participants of significant factors that may be expected to influence their willingness to participate (e.g., possible risks and benefits of their participation); and they explain other aspects of the research and respond to questions from prospective participants. Also, if relevant, sociologists explain that refusal to participate or withdrawal from participation in the research involves no penalty, and they explain any foreseeable consequences of declining or withdrawing. Sociologists explicitly discuss confidentiality and, if applicable, the extent to which confidentiality may be limited as set forth in 11.02(b).
(e) When informed consent is required, sociologists keep records regarding said consent. They recognize that consent is a process that involves oral and/or written consent.
(f) Sociologists honor all commitments they have made to research participants as part of the informed consent process except where unanticipated circumstances demand otherwise as set forth in 11.02(b).

12.03 Informed Consent of Students and Subordinates

When undertaking research at their own institutions or organizations with research participants who are students or subordinates, sociologists take special care to protect the prospective subjects from adverse consequences of declining or withdrawing from participation.

12.04 Informed Consent with Children

(a) In undertaking research with children, sociologists obtain the consent of children to participate, to the extent that they are capable of providing such consent, except under circumstances where consent may not be required as set forth in 12.01(b).
(b) In undertaking research with children, sociologists obtain the consent of a parent or a legally authorized guardian. Sociologists may seek waivers of parental or guardian consent when (1) the research involves no more than minimal risk for the research participants, and (2) the research could not practicably be carried out were consent to be required, or (3) the consent of a parent or guardian is not a reasonable requirement to protect the child (e.g., neglected or abused children).
(c) Sociologists recognize that waivers of consent from a child and a parent or guardian require approval from institutional review boards or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, the confidentiality of any personally identifiable information must be maintained unless otherwise set forth in 11.02(b).

12.05 Use of Deception in Research

(a) Sociologists do not use deceptive techniques (1) unless they have determined that their use will not be harmful to research participants; is justified by the study's prospective scientific, educational, or applied value; and that equally effective alternative procedures that do not use deception are not feasible, and (2) unless they have obtained the approval of institutional review boards or, in the absence of such boards, with another authoritative body with expertise on the ethics of research.
(b) Sociologists never deceive research participants about significant aspects of the research that would affect their willingness to participate, such as physical risks, discomfort, or unpleasant emotional experiences.
(c) When deception is an integral feature of the design and conduct of research, sociologists attempt to correct any misconception that research participants may have no later than at the conclusion of the research.
(d) On rare occasions, sociologists may need to conceal their identity in order to undertake research that could not practicably be carried out were they to be known as researchers. Under such circumstances, sociologists undertake the research if it involves no more than minimal risk for the research participants and if they have obtained approval to proceed in this manner from an institutional review board or, in the absence of such boards, from another authoritative body with expertise on the ethics of research. Under such circumstances, confidentiality must be maintained unless otherwise set forth in 11.02(b).

12.06 Use of Recording Technology

Sociologists obtain informed consent from research participants, students, employees, clients, or others prior to videotaping, filming, or recording them in any form, unless these activities involve simply 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.

13. Research Planning, Implementation, and Dissemination

Sociologists have an obligation to promote the integrity of research and to ensure that they comply with the ethical tenets of science in the planning, implementation, and dissemination of research. They do so in order to advance knowledge, to minimize the possibility that results will be misleading, and to protect the rights of research participants.

13.01 Planning and Implementation

(a) In planning and implementing research, sociologists minimize the possibility that results will be misleading.
(b) Sociologists take steps to implement protections for the rights and welfare of research participants and other persons affected by the research.
(c) In their research, sociologists do not encourage activities or themselves behave in ways that are health- or life-threatening to research participants or others.
(d) In planning and implementing research, sociologists consult those with expertise concerning any special population under investigation or likely to be affected.
(e) In planning and implementing research, sociologists consider its ethical acceptability as set forth in the Code of Ethics. If the best ethical practice is unclear, sociologists consult with institutional review boards or, in the absence of such review processes, with another authoritative body with expertise on the ethics of research.
(f) Sociologists are responsible for the ethical conduct of research conducted by them or by others under their supervision or authority.

13.02 Unanticipated Research Opportunities

If during the course of teaching, practice, service, or non-professional activities, sociologists determine that they wish to undertake research that was not previously anticipated, they make known their intentions and take steps to ensure that the research can be undertaken consonant with ethical principles, especially those relating to confidentiality and informed consent. Under such circumstances, sociologists seek the approval of institutional review boards or, in the absence of such review processes, another authoritative body with expertise on the ethics of research.

13.03 Offering Inducements for Research Participants

Sociologists do not offer excessive or inappropriate financial or other inducements to obtain the participation of research participants, particularly when it might coerce participation. Sociologists may provide incentives to the extent that resources are available and appropriate.

13.04 Reporting on Research

(a) Sociologists disseminate their research findings except where unanticipated circumstances (e.g., the health of the researcher) or proprietary agreements with employers, contractors, or clients preclude such dissemination.
(b) Sociologists do not fabricate data or falsify results in their publications or presentations.
(c) In presenting their work, sociologists report their findings fully and do not omit relevant data. They report results whether they support or contradict the expected outcomes.
(d) Sociologists take particular care to state all relevant qualifications on the findings and interpretation of their research. Sociologists also disclose underlying assumptions, theories, methods, measures, and research designs that might bear upon findings and interpretations of their work.
(e) Consistent with the spirit of full disclosure of methods and analyses, once findings are publicly disseminated, sociologists permit their open assessment and verification by other responsible researchers with appropriate safeguards, where applicable, to protect the anonymity of research participants.
(f) If sociologists discover significant errors in their publication or presentation of data, they take reasonable steps to correct such errors in a correction, a retraction, published errata, or other public fora as appropriate.
(g) Sociologists report sources of financial support in their written papers and note any special relations to any sponsor. In special circumstances, sociologists may withhold the names of specific sponsors if they provide an adequate and full description of the nature and interest of the sponsor.
(h) Sociologists take special care to report accurately the results of others' scholarship by using correct information and citations when presenting the work of others in publications, teaching, practice, and service settings.

13.05 Data Sharing

(a) Sociologists share data and pertinent documentation as a regular practice. Sociologists make their data available after completion of the project or its major publications, except where proprietary agreements with employers, contractors, or clients preclude such accessibility or when it is impossible to share data and protect the confidentiality of the data or the anonymity of research participants (e.g., raw field notes or detailed information from ethnographic interviews).
(b) Sociologists anticipate data sharing as an integral part of a research plan whenever data sharing is feasible. (c) Sociologists share data in a form that is consonant with research participants' interests and protect the confidentiality of the information they have been given. They maintain the confidentiality of data, whether legally required or not; remove personal identifiers before data are shared; and if necessary use other disclosure avoidance techniques.
(d) Sociologists who do not otherwise place data in public archives keep data available and retain documentation relating to the research for a reasonable period of time after publication or dissemination of results.
(e) Sociologists may ask persons who request their data for further analysis to bear the associated incremental costs, if necessary.
(f) Sociologists who use data from others for further analyses explicitly acknowledge the contribution of the initial researchers.

14. Plagiarism

(a) In publications, presentations, teaching, practice, and service, sociologists explicitly identify, credit, and reference the author when they take data or material verbatim from another person's written work, whether it is published, unpublished, or electronically available.
(b) In their publications, presentations, teaching, practice, and service, sociologists provide acknowledgment of and reference to the use of others' work, even if the work is not quoted verbatim or paraphrased, and they do not present others' work as their own whether it is published, unpublished, or electronically available.

15. Authorship Credit

(a) Sociologists take responsibility and credit, including authorship credit, only for work they have actually performed or to which they have contributed.
(b) Sociologists ensure that principal authorship and other publication credits are based on the relative scientific or professional contributions of the individuals involved, regardless of their status. In claiming or determining the ordering of authorship, sociologists seek to reflect accurately the contributions of main participants in the research and writing process.
(c) A student is usually listed as principal author on any multiple authored publication that substantially derives from the student's dissertation or thesis.

16. Publication Process

Sociologists adhere to the highest ethical standards when participating in publication and review processes when they are authors or editors.

16.01 Submission of Manuscripts for Publication

(a) In cases of multiple authorship, sociologists confer with all other authors prior to submitting work for publication and establish mutually acceptable agreements regarding submission.
(b) In submitting a manuscript to a professional journal, book series, or edited book, sociologists grant that publication first claim to publication except where explicit policies allow multiple submissions. Sociologists do not submit a manuscript to a second publication until after an official decision has been received from the first publication or until the manuscript is withdrawn. Sociologists submitting a manuscript for publication in a journal, book series, or edited book can withdraw a manuscript from consideration up until an official acceptance is made.
(c) Sociologists may submit a book manuscript to multiple publishers. However, once sociologists have signed a contract, they cannot withdraw a manuscript from publication unless there is reasonable cause to do so.

16.02 Duplicate Publication of Data

When sociologists publish data or findings that they have previously published elsewhere, they accompany these publications by proper acknowledgment.

16.03 Responsibilities of Editors

(a) When serving as editors of journals or book series, sociologists are fair in the application of standards and operate without personal or ideological favoritism or malice. As editors, sociologists are cognizant of any potential conflicts of interest.
(b) When serving as editors of journals or book series, sociologists ensure the confidential nature of the review process and supervise editorial office staff, including students, in accordance with practices that maintain confidentiality.
(c) When serving as editors of journals or book series, sociologists are bound to publish all manuscripts accepted for publication unless major errors or ethical violations are discovered after acceptance (e.g., plagiarism or scientific misconduct).
(d) When serving as editors of journals or book series, sociologists ensure the anonymity of reviewers unless they otherwise receive permission from reviewers to reveal their identity. Editors ensure that their staff conform to this practice.
(e) When serving as journal editors, sociologists ensure the anonymity of authors unless and until a manuscript is accepted for publication or unless the established practices of the journal are known to be otherwise.
(f) When serving as journal editors, sociologists take steps to provide for the timely review of all manuscripts and respond promptly to inquiries about the status of the review.

17. Responsibilities of Reviewers

(a) In reviewing material submitted for publication, grant support, or other evaluation purposes, sociologists respect the confidentiality of the process and the proprietary rights in such information of those who submitted it.
(b) Sociologists disclose conflicts of interest or decline requests for reviews of the work of others where conflicts of interest are involved.
(c) Sociologists decline requests for reviews of the work of others when they believe that the review process may be biased or when they have questions about the integrity of the process.
(d) If asked to review a manuscript, book, or proposal they have previously reviewed, sociologists make it known to the person making the request (e.g., editor, program officer) unless it is clear that they are being asked to provide a reappraisal.

18. Education, Teaching, and Training

As teachers, supervisors, and trainers, sociologists follow the highest ethical standards in order to ensure the quality of sociological education and the integrity of the teacher-student relationship.

18.01 Administration of Education Programs

(a) Sociologists who are responsible for education and training programs seek to ensure that the programs are competently designed, provide the proper experiences, and meet all goals for which claims are made by the program.
(b) Sociologists responsible for education and training programs seek to ensure that there is an accurate description of the program content, training goals and objectives, and requirements that must be met for satisfactory completion of the program.
(c) Sociologists responsible for education and training programs take steps to ensure that graduate assistants and temporary instructors have the substantive knowledge required to teach courses and the teaching skills needed to facilitate student learning.
(d) Sociologists responsible for education and training programs have an obligation to ensure that ethics are taught to their graduate students as part of their professional preparation.

18.02 Teaching and Training

(a) Sociologists conscientiously perform their teaching responsibilities. They have appropriate skills and knowledge or are receiving appropriate training.
(b) Sociologists provide accurate information at the outset about their courses, particularly regarding the subject matter to be covered, bases for evaluation, and the nature of course experiences.
(c) Sociologists make decisions concerning textbooks, course content, course requirements, and grading solely on the basis of educational criteria without regard for financial or other incentives.
(d) Sociologists provide proper training and supervision to their teaching assistants and other teaching trainees and take reasonable steps to ensure that such persons perform these teaching responsibilities responsibly, competently, and ethically.
(e) Sociologists do not permit personal animosities or intellectual differences with colleagues to foreclose students' or supervisees' access to these colleagues or to interfere with student or supervisee learning, academic progress, or professional development.

19. Contractual and Consulting Services

(a) Sociologists undertake grants, contracts, or consultation only when they are knowledgeable about the substance, methods, and techniques they plan to use or have a plan for incorporating appropriate expertise.
(b) In undertaking grants, contracts, or consultation, sociologists base the results of their professional work on appropriate information and techniques.
(c) When financial support for a project has been accepted under a grant, contract, or consultation, sociologists make reasonable efforts to complete the proposed work on schedule.
(d) In undertaking grants, contracts, or consultation, sociologists accurately document and appropriately retain their professional and scientific work.
(e) In establishing a contractual arrangement for research, consultation, or other services, sociologists clarify, to the extent feasible at the outset, the nature of the relationship with the individual, organizational, or institutional client. This clarification includes, as appropriate, the nature of the services to be performed, the probable uses of the services provided, possibilities for the sociologist's future use of the work for scholarly or publication purposes, the timetable for delivery of those services, and compensation and billing arrangements.

20. Adherence to the Code of Ethics

Sociologists have an obligation to confront, address, and attempt to resolve ethical issues according to this Code of Ethics.

20.01 Familiarity with the Code of Ethics

Sociologists have an obligation to be familiar with this Code of Ethics, other applicable ethics codes, and their application to sociologists' work. Lack of awareness or misunderstanding of an ethical standard is not, in itself, a defense to a charge of unethical conduct.

20.02 Confronting Ethical Issues

(a) When sociologists are uncertain whether a particular situation or course of action would violate the Code of Ethics, they consult with other sociologists knowledgeable about ethical issues, with ASA's Committee on Professional Ethics, or with other organizational entities such as institutional review boards.
(b) When sociologists take actions or are confronted with choices where there is a conflict between ethical standards enunciated in the Code of Ethics and laws or legal requirements, they make known their commitment to the Code and take steps to resolve the conflict in a responsible manner by consulting with colleagues, professional organizations, or the ASA's Committee on Professional Ethics.

20.03 Fair Treatment of Parties in Ethical Disputes

(a) Sociologists do not discriminate against a person on the basis of his or her having made an ethical complaint.
(b) Sociologists do not discriminate against a person based on his or her having been the subject of an ethical complaint. This does not preclude taking action based upon the outcome of an ethical complaint.

20.04 Reporting Ethical Violations of Others

When sociologists have substantial reason to believe that there may have been an ethical violation by another sociologist, they attempt to resolve the issue by bringing it to the attention of that individual if an informal resolution appears appropriate or possible, or they seek advice about whether or how to proceed based on this belief, assuming that such activity does not violate any confidentiality rights. Such action might include referral to ASA's Committee on Professional Ethics.

20.05 Cooperating with Ethics Committees

Sociologists cooperate in ethics investigations, proceedings, and resulting requirements of the American Sociological Association. In doing so, they make reasonable efforts to resolve any issues of confidentiality. Failure to cooperate may be an ethics violation.

20.06 Improper Complaints

Sociologists do not file or encourage the filing of ethics complaints that are frivolous and are intended to harm the alleged violator rather than to protect the integrity of the discipline and the public.

 

Note: This revised edition of the ASA Code of Ethics builds on the 1989 edition of the Code and the 1992 version of the American Psychological Association's Ethical Principles of Psychologists and Code of Conduct.