APA Ethics Code Standards 9 & 10

Why These Standards Matter for Your Career

You're about to become a licensed psychologist, which means clients will trust you with their most vulnerable moments, test results that could shape their lives, and personal information that could harm them if mishandled. Standards 9 and 10 of the APA Ethics Code aren't just exam fodder. They're your roadmap for handling assessments and therapy relationships without accidentally causing harm or losing your license.

{{M}}Think of these standards as the safety features in your car.{{/M}} You might not think about airbags and anti-lock brakes every day, but when you need them, you're incredibly grateful they're there. These ethics standards work the same way: they protect both you and your clients when situations get complicated.

Standard 9: Assessment (Getting It Right)

The Foundation: Base Your Conclusions on Solid Ground

Standard 9.01 establishes a critical rule: don't make claims about someone's psychological characteristics unless you've actually examined them adequately. This might sound obvious, but the real world gets messy fast.

Here's what this means practically: You need enough information to support your conclusions. If you're writing a report about someone's cognitive abilities, you can't just glance at one subtest and call it done. You need comprehensive data that actually supports what you're saying.

When you can't examine someone directly, you're still allowed to offer opinions, but you must clearly explain the limitations. {{M}}It's like writing a restaurant review based on someone else's photos and descriptions. You can share your thoughts, but you need to be upfront that you haven't actually tasted the food yourself.{{/M}} For example, if you're commenting on someone's mental competence using another professional's evaluation, document why you relied on that evaluation and how it might affect your conclusions.

Using the Right Tools the Right Way

Standard 9.02 requires that you use assessment techniques appropriately, meaning they're backed by research and evidence. This covers several important practices:

Using tests for their intended purpose: A test designed to screen for depression shouldn't be used to diagnose ADHD, no matter how convenient that would be. The research hasn't validated it for that use.

Following standardized procedures: Tests are normed using specific administration procedures. When you deviate from those procedures, you're essentially creating a different test, and the norms no longer apply reliably.

Using tests with established validity and reliability for your specific population: Here's where it gets interesting. The standard acknowledges that sometimes you won't have perfectly validated measures for your client's specific demographic. When that happens, you don't just avoid testing. You proceed with caution and clearly describe the limitations in your reports.

Accommodations vs. Modifications: A Critical Distinction

When working with clients who have disabilities, you'll need to understand the difference between accommodations and modifications:

{{M}}Think of accommodations like adjusting your seat and mirrors before driving (the car works the same way, you're just making it accessible. Modifications are more like switching from a manual to automatic transmission) the fundamental experience changes.{{/M}}

Critical requirement: Document any accommodations or modifications in your test reports and explain how they affect score interpretation. If you modify a test significantly, treat it like a newly developed assessment that needs its own validation.

Remote Testing Considerations

The rise of telepsychology has created new challenges. When you administer tests designed for in-person use via video conference, you're technically using non-standardized procedures. Here's what that means:

• Use wider confidence intervals when interpreting scores (the margin of error increases)
• Document exactly how you altered standard procedures
• Explain in your reports how these alterations might affect interpretation
• Consider whether the test's construct remains valid in a remote format

Who Can Use Assessment Tools

Standard 9.07 is straightforward: don't let unqualified people use psychological assessment techniques. The exception? Training situations with proper supervision.

{{M}}You wouldn't hand your medical prescription pad to your intern and say "figure it out."{{/M}} The same applies to psychological tests. Trainees can administer assessments, but only with appropriate supervision and for training purposes.

Outdated vs. Obsolete: A Nuanced Decision

Standards 9.08(a) and (b) prohibit using test results or tests that are outdated or obsolete "for the current purpose." That last part is crucial. It's context-dependent.

When a new version of a test comes out, you don't automatically need to abandon the old version. Consider these scenarios:

When to use the newer version: If there have been significant population changes (like shifts in average IQ scores over time), the newer norms will give you more accurate results.

When the older version might be better: If the new version doesn't yet have norms for your client's racial or ethnic group, but the previous version does, using the older version might actually provide more valid results.

The Ethics Code doesn't specify exact timeframes for when tests become obsolete. This requires your professional judgment based on the specific situation.

Automated Scoring and Interpretation Services

Standard 9.09 addresses computer-generated reports and automated scoring. You can use these services, but remember: you retain full responsibility for the appropriate application and interpretation of the results.

{{M}}Using automated scoring is like using spell-check when writing an important email to your supervisor. It's a helpful tool, but you're still responsible if something wrong gets sent.{{/M}} Don't just copy and paste a computer-generated report without reviewing it critically.

Explaining Results to Clients

Standard 9.10 requires you to explain assessment results to clients unless there's a valid reason not to (like employment screening or forensic evaluations). Even in those exceptions, you should explain beforehand why you won't be providing feedback.

This isn't about dumping technical information on someone. It's about helping them understand what the results mean for their lives. Your client doesn't need to know the technical details of factor analysis; they need to understand what their results suggest about their concerns.

Informed Consent for Assessment

Standard 9.03 outlines what clients need to know before assessment:

• The nature and purpose of the assessment
• Fees involved
• Whether third parties will be involved
• Limits of confidentiality
• Opportunity to ask questions

Important exceptions: You don't need formal informed consent when assessment is mandated by law (like court-ordered evaluations) or when it's routine (like organizational screening).

Special consideration for malingering tests: Here's a tricky situation. You can't fully explain a malingering test beforehand without compromising its validity, but you also can't completely deceive the client. The accepted practice is to inform clients that you'll be using measures to assess their honesty and effort without detailing the specific techniques.

When using interpreters: Get informed consent for the interpreter's involvement, ensure confidentiality and test security are maintained, and note any limitations resulting from interpretation in your reports.

Test Data vs. Test Materials

Understanding this distinction is crucial:

Test data (Standard 9.04): Raw scores, scaled scores, client responses, and your notes about behavior during testing. You ordinarily release this to clients or their authorized representatives, but you can withhold it to prevent harm or misuse (when legally permitted).

Test materials (Standard 9.11): Manuals, instruments, protocols, actual test questions. You must protect these to maintain test security and integrity. However, discussing a specific test item with a client to help them understand their results is acceptable.

{{M}}Think of test materials like the recipe for a proprietary medication (they need protection. But test data is like the patient's lab results) it belongs to them.{{/M}}

Standard 10: Therapy (Navigating the Therapeutic Relationship)

Informed Consent: Starting on Solid Ground

Standard 10.01(a) requires informed consent "as early as feasible" in therapy. Cover these topics:

• Nature and anticipated course of therapy
• Fees
• Third-party involvement
• Confidentiality limits
• Opportunity for questions

Important point: Informed consent isn't a one-time checkbox. {{M}}It's more like your GPS app. It needs regular updates as conditions change.{{/M}} When treatment goals shift, new issues emerge, or the therapy approach changes, revisit the informed consent discussion.

Special Informed Consent Situations

Experimental treatments (Standard 10.01(b)): When using treatments without established procedures, inform clients about:

• The developing nature of the treatment
• Potential risks
• Alternative treatments available
• Voluntary nature of their participation

Trainee therapists (Standard 10.01(c)): Clients must know if their therapist is in training, that they're supervised, and who the supervisor is. This isn't optional information. It's essential for informed consent.

Telepsychology consent: When providing therapy via video or phone, address specific considerations like technology failures that might disrupt sessions and increased confidentiality risks. Many experts recommend a "dual consent approach". One consent form for in-person services and another addressing telepsychology-specific issues.

Working with Clients Who Have Other Providers

Standard 10.04 requires caution when someone asks for your services while receiving care from another mental health professional. Your response depends on the situation:

Proceed with extreme caution or decline when:

• The client wants you for the same problem their current therapist is treating
• {{M}}It's like having two captains trying to steer the same ship, the conflict creates confusion and potential harm{{/M}}

May be appropriate when:

• The client seeks your help for a different issue than their current therapy addresses
• {{M}}For example, someone in group therapy for substance use might separately need individual therapy for recent trauma{{/M}}
• In these cases, get the client's authorization to consult with the other provider to coordinate care

Sexual Intimacies: Absolute Boundaries

These standards are crystal clear and non-negotiable:

Standard 10.05: No sexual intimacies with current clients. Ever. No exceptions. No "but we really love each other." No "they're almost done with therapy." Absolutely prohibited.

Standard 10.08: No sexual intimacies with former clients for at least two years after termination. After two years, it's still prohibited except in the "most unusual circumstances," and you bear the burden of proving the relationship isn't exploitative.

If you're even considering a relationship with a former client after two years, you must carefully evaluate:

1. Time passed since termination
2. Nature, duration, and intensity of therapy
3. Circumstances of termination
4. Client's personal history
5. Client's current mental status
6. Likelihood of adverse impact
7. Any statements during therapy suggesting post-termination intimacy

Practical reality: The burden of proof is so high and the risk so great that the general consensus among ethics experts is: just don't do it. Ever.

Standard 10.06: Don't engage in sexual intimacies with relatives or significant others of current clients.

Standard 10.07: Don't provide therapy to someone you've had sexual intimacies with in the past.

Ending Therapy Appropriately

Standard 10.10 addresses termination from two angles:

When to terminate: End therapy when the client no longer needs it or isn't benefiting from it. This doesn't mean you must terminate the moment progress slows. You and the client can reevaluate goals and determine if there's valid reason to continue.

How to terminate: Provide pretermination counseling and suggest alternative service providers. This helps ensure continuity of care and gives the client options.

Emergency exception: You may terminate immediately without counseling or referrals if you're threatened or endangered by the client or someone close to the client.

Making Referrals

The Ethics Code doesn't specify how many referrals to provide, but experts often recommend at least three. This gives clients options without overwhelming them.

{{M}}Think of it like suggesting restaurants to an out-of-town friend. One suggestion feels limiting, three gives them choices that match different preferences and needs.{{/M}}

The aspirational Principle B makes clear that referral decisions should prioritize the client's welfare above all other considerations.

Common Misconceptions and Mistakes

Misconception 1: "If a test has good psychometric properties, I can use it for any purpose."

Reality: Tests must have research support for the specific way you're using them. A valid measure of depression isn't automatically valid for anxiety, even if they're related constructs.

Misconception 2: "I need to get a brand new version of a test the moment it's published."

Reality: Sometimes the older version is more appropriate, especially if the new version lacks norms for your client's demographic group.

Misconception 3: "Informed consent is that form clients sign at the beginning of therapy."

Reality: Informed consent is an ongoing process throughout treatment. The initial discussion is just the beginning.

Misconception 4: "After two years post-termination, relationships with former clients are okay."

Reality: They're still prohibited except in the most unusual circumstances, and the burden of proving it's not exploitative rests entirely on you. Practically speaking, avoid this entirely.

Misconception 5: "I can't discuss specific test items with clients because of test security."

Reality: Discussing an individual test item to help a client understand their results is acceptable. What's prohibited is releasing actual test materials or compromising test security.

Memory Strategies for the Exam

For Assessment Standards (9.XX):

• Remember "VITA" for key assessment requirements: Validity established, Informed consent obtained, Test security maintained, Adequate examination conducted

For Therapy Standards (10.XX):

• Remember "CITE" for informed consent in therapy: Course of treatment, Involvement of third parties, Therapy fees, Explanation of confidentiality limits

For Sexual Intimacy Prohibitions:

• Current clients: NEVER
• Former clients: NOT for 2 years minimum (and practically speaking, not ever)
• Their relatives/partners: NOPE
• Past sexual partners: CAN'T provide therapy

For Test Adaptations:

• Accommodation = Access (maintains construct)
• Modification = Major change (alters construct)

Key Takeaways

• Base all assessment conclusions on adequate examination and sufficient information
• Use tests only for purposes supported by research, with appropriate populations
• Document all deviations from standard procedures and explain their impact
• Accommodations maintain the test construct; modifications change it
• Informed consent for assessment includes nature, purpose, fees, third parties, and confidentiality limits
• Test data (results) can usually be released to clients; test materials (actual tests) must be protected
• Informed consent for therapy is an ongoing process, not a one-time event
• Exercise extreme caution when clients are receiving care from other providers
• Sexual intimacies with current clients are absolutely prohibited
• Sexual intimacies with former clients are prohibited for at least two years and remain problematic after that
• Terminate therapy when clients no longer need or benefit from it, providing pretermination counseling and referrals
• Always prioritize client welfare in all assessment and therapy decisions

These standards exist to protect both you and your clients. Master them not just for the exam, but because they'll guide every professional decision you make throughout your career.