ETHICAL & LEGAL

C O N S I D E R AT I O N

SRUTHIRAJ M K
Forensic Psychologist
MSc, MPhil (Forensic
Psy)
CONTENTS

GENERAL ETHICAL ETHICAL LAWS &

PRINCIPLES (APA) STANDARDS GUIDELINES
INTRODUCTION
• Ethics are the moral & philosophical system that
focuses on the concept of what is right & wrong.
• It express the professional values foundational
to the profession.
• In psychology, APA's Ethical Principles of
Psychologists & Code of Conduct includes
sections on clinical practice, education,
research & publication.
• Code of ethics - APA's Ethical Principles &
Code of Conduct provides a common set of
principles & standards. Ethics Code & principals
applies only to psychologists' activities that are
part of their scientific, educational, or
professional roles as psychologists.
GOALS OF ETHICS IN
PSYCHOLOGY

• Ethical guidelines are vital in any psychological research.

• Welfare & protection of the individuals & groups with
whom psychologists work. Ethics are the boundaries set
in order to protect the participants from psychological
harm.
• Education of members, students, & the public regarding
ethical standards of the discipline.
• To provide a framework for guiding the decision-making
for all psychologists.
• This framework allows suffi cient flexibility for a variety of
approaches, contexts & methods and reflects ethical
standards that apply to all.
• As Psychologists, we are aware of the importance of both
context & character affecting our behavior.
• Code of Ethics therefore encourages all Psychologists to
be mindful of their strengths & weaknesses in order that
they are able to behave in the most ethical way possible.
HOW ETHICS ARE
DETERMINED
• The ethics of a given research project are determined
through a cost-benefit analysis, in which the costs are
compared with the benefits.
• If the potential costs appear to outweigh any potential
benefits, then the research should not proceed.
 Definition of “benefi t” - A benefit is the positive value or
advantage of being part of the research study. It might be
concrete for individual subjects, like a greater chance of
having a good therapeutic outcome. Alternatively, it might
be more intangible & general.
 Definition of “risk”- Risks generally are evaluated
according to the probability & magnitude of any harm that
might occur. Risks may also be social, legal, economic,
psychological or physical in nature. Could be applied to
individual subject or to a broader segment of the society.
 • Risks to the subject or society must be
weighed against potential benefits.
BALANCING • The probability of harm relative to the
BENEFITS & RISKS probability of benefit should be
determined, as well as the relative
magnitude of risks & possible benefits.
• The potential benefits of the outcomes
of the research should outweigh the
risks of conducting the research. It is
diffi cult because:
• Potential benefits or risks can not
be known ahead of time.
• The risks are assumed by
individuals, while benefits may
accrue to society at large rather
than to individuals.
 • The first ever statement of ethics from any
organization of psychologists was produced by
HISTORICAL APA in 1953.

PERSPECTIVES ON • Development of research ethics has evolved

over time. Few important milestones are:
CODES OF ETHICS 1. The Nuremberg Code (1947) - is a set of
ethical research principles, developed in the
wake of Nazi atrocities, specifically the
inhumane and often fatal experimentation on
human subjects without consent during World
War II.
2. Declaration of Helsinki - The World
Medical Association (WMA) has developed
the Declaration of Helsinki (1964) as a
statement of ethical principles for medical
research involving human subjects, including
research on identifiable human material &
data.
3. The Belmont Report - The Belmont Report
(1979) is "required reading" for everyone
involved in human subject research. Three
basic ethical principles: Respect for Persons,
E T H I C A L P R O B L E M S W I T H PA S T S T U D I E S
In past there have been times when research was
argued unethical and has not been replicated as a
result.

Some notable issues were:

• Lack of informed consent

• Coercion or undue pressure on volunteers
• Use & exploitation of a vulnerable population
• Withholding information about possible risks in research
• Withholding information about the available treatment
• Putting subjects at risk Risks to subjects outweigh benefits
• Violation of rights
• Deception
• Confidentiality
• Withdrawal
• In these early trials researchers
did not hesitate in self-
experimentation or
experimenting on their family
members as test subjects.
For example;
• Johann Jorg (1779-1856)
swallowed various doses of 17
drugs in various doses to record
their properties.
FEW HISTORICAL CASE
STUDIES

Little Albert Experiment ( 1920)

• Classical conditioning was used
to cause Albert to have a phobia
of rat loud noise was associated
with, which later developed
further till he had phobias
associated with similar objects.
• Ethical Problem: Albert
suffered psychological harm and
distress during the experiment.
 Landis' Facial Expressions
Experiment ( 1924)
• Humans were investigated for the
similarity of different people's' facial
expressions while experiencing
common emotions.
• Ethical problems: Lack of informed
consent, psychological distress
during the experiment.
Monster Study ( Dr. Wendell Johnson, 1939)
• A stuttering experiment on 22 orphan
children. Half of them received positive
speech therapy, praising the fluency of
their speech, other half, negative speech
therapy, belittling the children for speech
imperfections.
• Ethical problems: Induced stress and
speech problems in normal children,
exploitation of a vulnerable group.
 Milgram Experiment ( Stanley Milgram,
1961 )

• To investigate obedience to
authority, participants were induced
by an experimenter to administer
electric shocks to another person.
• Ethical problems: Most participants
evidenced high levels of stress.

Zimbardo's Prison Study ( Philip Zimbardo,

1971 )

• Study was intended to measure the effect

of role-playing, labeling, and social
expectations on behavior over a period of
two weeks. College students became
prisoners or guards in a simulated prison
environment.
• Ethical Problem: caused distress to some
of the participants.
THE ERA OF MODERN SCIENCE
Early 20th Century
• In 19th century psychology was established as an empirical, accepted
science.
• Progress of medicine began to accelerate, and the treatment of
research subjects also changed.
• The concept of human rights emerged, and with it came discussions
of various codes of ethics of scientific disciplines.
• The American Psychological Association (APA) maintains a set of
ethical guidelines for both human & animal research that currently
includes five general principles & ten ethical standards.
• Therefore, overall due to the development of psychology over time,
ethics have become much more important than in the past.
 • American Psychological Association
Ethical guidelines (APA)
for animal research • Animal Welfare Act
are provided by the: • Association for the Assessment &
Accreditation of Laboratory Animal Care.

• To ensure Researches include a thorough

Due to the criticism debriefing of the participants.
at previous studies, • To define the conditions under which
APA ethics codes deception may be used.
has been revised • To include specific guidelines for research
several times: with human & animal subjects.
A PA C O D E O F E T H I C S

• APA's Ethical Principles of Psychologists & Code of Conduct has

provided 5 general principles & 10 ethical standards.

General Principles – aspirational

goals
Ethical Standards – enforceable
rules
 Principle A:
Beneficence & Non-
maleficence
Principle B: Fidelity &
GENERAL Responsibility
ETHICAL
PRINCIPLES Principle C: Integrity
( A PA )

Principle D: Justice

Principle E: Respect for

People’s Rights &
Dignity
PRINCIPLE A: BENEFICENCE &
NONMALEFICENCE
• Beneficence, means doing good for others
• Nonmaleficence, means doing no harm to others
According to APA
• Psychologists strive to benefit those with whom they work & take care to do no
harm.
• In their professional actions, psychologists seek to safeguard the welfare &
rights of those with whom they interact professionally and other affected
persons, and the welfare of animal subjects of research.
• When conflicts occur among psychologists' obligations or concerns, they
attempt to resolve these conflicts in a responsible fashion that avoids or
minimizes harm.
• Psychologists strive to be aware of the possible effect of their own physical &
mental health on their ability to help those with whom they work.
PRINCIPLE B: FIDELITY & RESPONSIBILITY

• Fidelity - faithfulness & trust

According to APA
• Psychologists establish relationships of trust with those with whom they
work.
• They are aware of their professional & scientific responsibilities.
• Psychologists uphold professional standards of conduct.
• Clarify their professional roles & obligations.
• They accept appropriate responsibility for their behavior, and Seek to
manage conflicts of interest that could lead to exploitation or harm.
• Psychologists consult with, refer to, or cooperate with other professionals &
institutions.
• Psychologists strive to contribute a portion of their professional time for
little or no compensation or personal advantage.
PRINCIPLE C: INTEGRITY
 Accuracy, honesty
According to APA
• Psychologists seek to promote accuracy, honesty, & truthfulness in
the science, teaching, & practice of psychology.
• They do not steal, cheat, or engage in fraud, subterfuge, or
intentional misrepresentation of fact.
• Psychologists strive to keep their promises & to avoid unwise or
unclear commitments.
• In situations in which deception may be ethically justifiable to
maximize benefits & minimize harm.
• Psychologists have a serious obligation to consider the need to
correct any resulting mistrust or other harmful effects that arise from
the use of such techniques.
PRINCIPLE D: JUSTICE

• Fairness & justice entitle all persons to access to and benefit from the
contributions of psychology and to equal quality in the processes,
procedures, & services being conducted by psychologists.
• Psychologists exercise reasonable judgment and take precautions to
ensure that their potential biases, the boundaries of their
competence, and the limitations of their expertise do not lead to or
condone unjust practices.
PRINCIPLE E: RESPECT FOR
PEOPLE'S RIGHTS & DIGNITY
• Respect the dignity & worth of all people, and the rights of individuals
to privacy, confidentiality, & self- determination.
• Psychologists are aware of and respect cultural, individual, & role
differences.
• Psychologists try to eliminate the effect on their work of biases and
they do not knowingly participate in or condone activities of others
based upon such prejudices.
 1. Resolving Ethical Issues

2. Competence

3. Human Relations

4. Privacy & Confidentiality

ETHICAL
5. Advertising & Other Public
S TA N D A R D S Statements
6. Record Keeping & Fees

7. Education & Training

8. Research & Publication

9. Assessment

10. Therapy
INTRODUCTION
• Ethics code has to do with
professional work & not
personal life.
• Members of APA have to
follow these codes; however,
even if you are not members
of APA the certification boards
& licensure boards may hold
you to these ethical
standards.
• Concerns of laws (criminal) &
practice (civil) issues (ethics
do not automatically equate
to wining your civil case).
• Not knowing the ethical code
is NO excuse for lack of
compliance.
• First, do no harm.
S T A N D A R D I : R E S O LV I N G E T H I C A L I S S U E S

Conflicts between
Conflicts between
Misuse of Ethics & Law, Informal
Ethics &
psychologist’s Regulations, or Resolution of
Organizational
work Other Governing Ethical Violations
Demands
Legal Authority

Unfair
Cooperating with Discrimination
Reporting Ethical Improper
Ethics against
Violations Complaints
Committees Complainants &
Respondents
1.01 MISUSE OF
PSYCHOLOGIST’S WORK
• If psychologists learn of misuse or
misrepresentation of their work, they
take reasonable steps to correct or
minimize the misuse or
misrepresentation.
• Frequently, psychologists will not be
aware that their work has been
misrepresented, and in such cases,
inaction on their part would not be an
ethical violation.
• However, when it is reasonable to
expect that psychologists would be
aware of misuse or misrepresentation of
their work, a claim of ignorance
would not be an acceptable defense
against a charge of violation of this
standard.
1 .0 2
C ON FL I C TS BETWEEN
ETH I C S & L AW,
REG U L ATI ON S, OR OTH ER
G OV ERN I N G L EG A L
AU TH ORI TY
If psychologists' ethical responsibilities
conflict with law, regulations, or other
governing legal authority,
• Psychologists clarify the nature of
the conflict,
• Make known their commitment to
the Ethics Code
• Take reasonable steps to resolve
the conflict consistent with the
General Principles & Ethical
Standards of the Ethics Code.
Under no circumstances may this
standard be used to justify or defend
violating human rights.
 1.03CONFLICTS If the demands of an organization
are in conflict with this Ethics
BETWEEN ETHICS & Code,
O R G A N I Z AT I O N A L • Psychologists clarify the
nature of the conflict,
DEMANDS
• Make known their
commitment to the Ethics
Code, and take reasonable
steps to resolve the conflict
consistent with the General
Principles & Ethical Standards
of the Ethics Code.
Under no circumstances may this
standard be used to justify or
defend violating human rights.
1.04 INFORMAL RESOLUTION
O F E T H I C A L V I O L AT I O N S
When psychologists believe that there may have
been an ethical violation by another
psychologist,
• They attempt to resolve the issue by bringing
it to the attention of that individual, if an
informal resolution appears appropriate & the
intervention does not violate any
confidentiality rights that may be involved.
Psychologists should discuss the violation with
the offending psychologist to confirm whether
misconduct has actually occurred and, if
appropriate, recommend corrective steps &
ways to prevent future ethical violations.
 If an apparent ethical violation has
1.05 REPORTING substantially harmed or is likely to
substantially harm a person or
ETHICAL organization and is not
V I O L AT I O N S appropriate for informal
resolution under or is not resolved
properly in that fashion,
psychologists take further action
appropriate to the situation:
• Referral to state or national
committees on professional
ethics
• To state licensing boards
This standard does not apply when
an intervention would violate
confidentiality rights.
1 . 0 6 C O O P E R AT I N G
WITH ETHICS
COMMITTEES
• Psychologists cooperate in ethics
investigations, proceedings, &
resulting requirements of the APA or
any affiliated state psychological
association to which they belong.
Failure to cooperate is itself an ethics
violation.
• However, making a request for
deferment of adjudication of an ethics
complaint pending the outcome of
litigation does not alone constitute non-
cooperation.
1.07 IMPROPER COMPLAINTS
• Psychologists do not file or encourage the filing of ethics complaints
that are made with reckless disregard for or willful ignorance
of facts that would disprove the allegation.

1 . 0 8 U N FA I R D I S C R I M I N AT I O N A G A I N S T
COMPLAINANTS & RESPONDENTS
• Psychologists do not deny persons employment, advancement, admissions
to academic or other programs, tenure, or promotion, 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 or considering other appropriate information.
E T H I C A L S TA N D A R D I I : C O M P E T E N C E
Competence: Ability to perform a task or job
effectively. Boundaries of Competence
• Competent psychologists are those who
are suffi ciently capable, skilled, experienced Providing Services in
& expert to adequately complete their the Emergencies
professional tasks they undertake.
• Ethical competence requires responsible & Maintaining Competence
reflective actors who are aware of their
multiple accountabilities.
Bases for Scientific &
• High-quality professional practice demands
Professional Judgments
two very different types of competencies:
• Intellectual competence: acquisition of
knowledge based on empirical research. Delegation of Work to Others
• Emotional competence: ability to
emotionally contain & tolerate the clinical
Personal Problems & Conflicts
material that emerges in treatment.
2.01 BOUNDARIES OF COMPETENCE

a) Psychologists provide services, teach, & conduct research with

populations and
• in areas only within the boundaries of their competence,
• based on their education, training, supervised experience,
consultation, study, or professional experience.
b) Where scientific or professional knowledge in the discipline of psychology
establishes that an understanding of factors associated with age, gender,
gender identity, race, ethnicity, culture, national origin, religion, sexual
orientation, disability, language, or socioeconomic status is essential for
effective implementation of their services or research, psychologists
have or obtain the training, experience, consultation, or supervision
necessary to ensure the competence of their services, or they
make appropriate referrals (except as provided in Standard 2.02,
Providing Service in Emergencies).
c) Psychologists planning to provide services, teach, or conduct research
involving populations, areas, techniques, or technologies new to them
undertake relevant education, training, supervised experience,
consultation, or study.
d) When psychologists are asked to provide services to individuals for
whom appropriate mental health services are not available and for which
psychologists have not obtained the competence necessary,
psychologists with closely related prior training or experience may
provide such services in order to ensure that services are not denied if
they make a reasonable effort to obtain the competence required by
using relevant research, training, consultation, or study.
e) In those emerging areas in which generally recognized standards for
preparatory training do not yet exist, psychologists nevertheless
take reasonable steps to ensure the competence of their work and to
protect clients/patients, students, supervisees, research participants,
organizational clients, & others from harm.
f) When assuming forensic roles, psychologists are or become reasonably
familiar with the judicial or administrative rules governing their roles.
2.02 PROVIDING SERVICES IN
EMERGENCIES
• When psychologists provide services to individuals for whom other
mental health services are not available and for which
psychologists have not obtained the necessary training, psychologists
may provide such services in order to ensure that services are not
denied.
• The services are discontinued as soon as the emergency has
ended or appropriate services are available.

2 . 0 3 M A I N TA I N I N G C O M P E T E N C E
• Psychologists undertake ongoing efforts to develop & maintain their competence.
The requirements of this standard can be met through independent study, continuing
education courses, supervision, consultation, or formal postdoctoral study.
2.04 BASES FOR SCIENTIFIC
& PROFESSIONAL
JUDGEMENTS
• Psychologists' work is based upon established
scientific & professional knowledge of the discipline.
Scientific knowledge refers to information
generated according to accepted principles of
research practice.
Professional knowledge refers to widely accepted
& reliable clinical reports, case studies, or
observations.
The standard permits the use of novel approaches,
recognizing that new theories, concepts, & techniques
are critical to the continued development of the field.
2 . 0 5 D E L E G AT I O N O F
WORK TO OTHERS
Psychologists who delegate work to employees,
supervisees, or research or teaching assistants
or who use the services of others, such as
interpreters, take reasonable steps to:
1) Avoid delegating such work to persons who have
a multiple relationship with those being
served that would likely lead to exploitation or
loss of objectivity;
2) Authorize only those responsibilities that such
persons can be expected to perform competently
on the basis of their education, training, or
experience, either independently or with the
level of supervision being provided;
3) See that such persons perform these services
competently.
2.06 PERSONAL
PROBLEMS & CONFLICTS
a) Psychologists refrain from initiating an activity
when they know or should know that there is a
substantial likelihood that their personal problems
will prevent them from performing their work-
related activities in a competent manner.
b) When psychologists become aware of personal
problems that may interfere with their performing
work-related duties adequately, they take
appropriate measures, such as obtaining
professional consultation or assistance, and
determine whether they should limit,
suspend, or terminate their work-related
duties.
E T H I C A L S TA N D A R D I I I : H U M A N
R E L AT I O N S

Unfair Sexual Other Avoiding

Discrimination Harassment Harassment Harm

Third-Party
Multiple Conflict of Exploitative
Requests for
Relationships Interest Relationships
Services

Psychological
Cooperation Services Interruption of
Informed
With Other Delivered to Psychological
Consent
Professionals or Through Services
Organizations
3 . 0 1 U N FA I R D I S C R I M I N A T I O N
• In their work-related activities, psychologists do not engage in unfair discrimination
based on age, gender, gender identity, race, ethnicity, culture, national
origin, religion, sexual orientation, disability, socioeconomic status, or any
basis proscribed by law.

3.02 SEXUAL HARASSMENT

Sexual harassment is a sexual solicitation, physical advances, or verbal or
nonverbal conduct that is sexual in nature, that occurs in connection with
the psychologist's activities or roles as psychologist, and that either:
• Psychologists do not engage in sexual harassment.
• is unwelcome, is offensive, or creates a hostile workplace or educational
environment, and the psychologist knows or is told this or
• is sufficiently severe or intense to be abusive to a reasonable person in the
context. Sexual harassment can consist of a single intense or severe act
or of multiple persistent or pervasive acts.
3.03 OTHER HARASSMENT
• Psychologists do not knowingly engage in behavior that is harassing or
demeaning to persons with whom they interact in their work based on factors
such as those persons' age, gender, gender identity, race, ethnicity,
culture, national origin, religion, sexual orientation, disability,
language, or socioeconomic status.
• Standard 3.03 prohibits behaviors that draw on these categories to harass or
demean individuals with whom psychologists work, such as colleagues,
students, research participants, or employees.

3 . 0 4 AV O I D I N G H A R M
• Psychologists take reasonable steps to avoid harming their clients/patients,
students, supervisees, research participants, organizational clients, & others with
whom they work, and to minimize harm where it is foreseeable & unavoidable.
• Psychologists do not participate in, facilitate, assist, or otherwise engage in torture,
defined as any act by which severe pain or suff ering, whether physical or
mental, is intentionally inflicted on a person, or in any other cruel,
inhuman, or degrading behavior that violates 3.04.
3 . 0 5 M U LT I P L E R E L A T I O N S

a) A multiple relationship occurs when a psychologist is in a professional role with a

person and:
1) At the same time is in another role with the same person,
2) At the same time is in a relationship with a person closely associated with or
related to the person with whom the psychologist has the professional relationship
3) Or, promises to enter into another relationship in the future with the person or
a person closely associated with or related to the person.
b) If a psychologist finds that, due to unforeseen factors, a potentially harmful multiple
relationship has arisen, the psychologist takes reasonable steps to resolve it with
due regard for the best interests of the affected person and maximal compliance
with the Ethics Code.
c) When psychologists are required by law, institutional policy, or extraordinary
circumstances to serve in more than one role in judicial or administrative
proceedings, at the outset they clarify role expectations and the extent of
confidentiality and thereafter as changes occur.
3.06 CONFLICT OF INTEREST
Conflict of interest occurs when a person's personal interests,
relationships, or financial considerations could potentially influence—or
appear to influence—their ability to make objective, unbiased decisions
in a professional context. This situation often arises when there's a risk
that the individual's judgment could be compromised by factors
outside of their primary responsibilities or duties.
• Psychologists refrain from taking on a professional role when
personal, scientific, professional, legal, financial, or other interests or
relationships could reasonably be expected to:
1. Impair their objectivity, competence, or effectiveness in performing
their functions as psychologists.
2. Or expose the person or organization with whom the professional
relationship exists to harm or exploitation.
3 . 0 7 T H I R D PA R T Y R E Q U E S T F O R
SERVICES
• When psychologists agree to provide services to a person or entity at
the request of a third party (such as an employer, school, court, or
insurance company), psychologists attempt to clarify at the outset of
the service the nature of the relationship with all individuals or
organizations involved.
This clarification includes:
• the role of the psychologist (e.g., therapist, consultant,
diagnostician, or expert witness),
• an identification of who is the client,
• the probable uses of the services provided or the information
obtained,
• and the fact that there may be limits to confidentiality.
3 . 0 8 E X P L O I TAT I V E R E L AT I O N S H I P S

• Psychologists do not exploit persons over whom they have

supervisory, evaluative, or other authority such as clients/patients,
students, supervisees, research participants, & employees.

3 . 0 9 C O O P E R AT I O N W I T H O T H E R
PROFESSIONALS
• When indicated and professionally appropriate, psychologists cooperate with other
professionals in order to serve their clients/patients effectively & appropriately.
 3.10 INFORMED
CONSENT
a) When psychologists conduct
research or provide assessment,
therapy, counseling, or
consulting services in person or
via electronic transmission or
other forms of communication,
they obtain the informed consent of
the individual or individuals, using
language that is reasonably
understandable to that person or
persons, except when conducting
such activities without consent is
mandated by law or
governmental regulation or as
otherwise provided in this Ethics
Code.
b) For persons who are legally incapable of giving informed consent (e.g.,
children, people with certain disabilities, or those with impaired decision-
making abilities), psychologists nevertheless;
1) Provide an appropriate explanation,
2) Seek the individual's assent,
3) Consider such persons' preferences & best interests, and
4) Obtain appropriate permission from a legally authorized person. If such
substitute consent is permitted or required by law. When consent by a
legally authorized person is not permitted or required by law,
psychologists take reasonable steps to protect the individual's rights
and welfare.
c) When psychological services are court ordered or otherwise mandated,
psychologists inform the individual of the nature of the anticipated
services, including whether the services are court ordered or mandated
and any limits of confidentiality, before proceeding.
d) Psychologists appropriately document written or oral consent,
permission, and assent.
ELEMENTS OF INFORMED CONSENT
• Language
• Culture
• Explanation of purpose and procedure
• Risk/benefit
• Alternatives
• Voluntary participation
• Information of the person to ask questions
• Required time
• Detail about confidentiality and disposition of data.
• Compensations in case of risk
• Acknowledgement
3.11 PSYCHOLOGICAL SERVICES DELIVERED
T O O R T H R O U G H O R G A N I Z AT I O N S
a) Psychologists delivering services to or through organizations (such as companies,
schools, hospitals, government agencies, etc.) provide information beforehand to
clients and when appropriate those directly affected by the services about:
• The nature & objectives of the services.
• The intended recipients.
• Which of the individuals are clients?
• The relationship the psychologist will have with each person & the
organization.
• The probable uses of services provided and information obtained.
• Who will have access to the information?
• And limits of confidentiality.
b) If psychologists will be precluded by law or by organizational roles from providing
such information to particular individuals or groups, they so inform those
individuals or groups at the outset of the service.
3.12 INTERRUPTION
OF PSYCHOLOGICAL
SERVICES

• Unless otherwise covered by

contract, psychologists
make reasonable efforts to
plan for facilitating services
in the event that
psychological services are
interrupted by factors such
as the psychologist's
illness, death,
unavailability, relocation,
or retirement or by the
client's/patient's
relocation or financial
limitations.
E T H I C A L S TA N D A R D I V: P R I VA C Y &
CONFIDENTIALITY

Discussing the Minimizing

Maintaining
Limits of Recording Intrusions on
Confidentiality
Confidentiality Privacy

Use of
Confidential
Disclosures Consultations Information for
Didactic
Purpose
4 . 0 1 M A I N TA I N I N G
CONFIDENTIALITY
Psychologists have a primary
obligation & take reasonable
precautions to protect
confidential information obtained
through or stored in any medium,
recognizing that the extent &
limits of confidentiality may be
regulated by law or established
by institutional rules or
professional or scientific
relationship.
4. 02 DISCUSSING THE LIMITS OF
CONFIDENTIALITY
a) Psychologists discuss with persons & organizations with which they
establish a scientific or professional relationship:
1. The relevant limits of confidentiality and
2. The foreseeable uses of the information generated through their
psychological activities.
b) Unless it is not feasible or is contraindicated, the discussion of
confidentiality occurs at the outset of the relationship and
thereafter as new circumstances may warrant.
c) Psychologists who offer services, products, or information via
electronic transmission inform clients/patients of the risks to
privacy & limits of confidentiality.
4.03 RECORDING
Before recording the voices or images of individuals to whom
they provide services, psychologists obtain permission from all
such persons or their legal representatives before recording
begins.

4.04 MINIMIZING INTRUSIONS ON

P R I VA C Y
a) Psychologists include in written & oral reports and consultations
only information to the purpose for which the communication is
made.
b) Psychologists discuss confidential information obtained in their
work only for appropriate scientific or professional purposes and
only with persons clearly concerned with such matters.
4.05 DISCLOSURES

a) Psychologists may disclose confidential information with the

appropriate consent of the organizational client, the individual
client, or another legally authorized person on behalf of the client
unless prohibited by law.
b) Psychologists disclose confidential information without the consent
of the individual only as mandated or where permitted by law for a
valid purpose such as to:
1) Provide needed professional services;
2) Obtain appropriate professional consultations;
3) Protect the client, psychologist, or others from harm; or
4) Obtain payment for services from a client, in which instance
disclosure is limited to the minimum that is necessary to achieve
the purpose.
4 . 0 6 C O N S U LT A T I O N S
When consulting with colleagues:
1) Psychologists do not disclose confidential information that reasonably could lead to the
identification of a client/patient, research participant, or other person or organization
with whom they have a confidential relationship unless they have obtained the prior
consent of the person or organization or the disclosure cannot be avoided, and
2) They disclose information only to the extent necessary to achieve the
purposes of the consultation.

4 . 0 7 U S E O F C O N F I D E N T I A L I N F O R M AT I O N
FOR DIDACTIC OR OTHER PURPOSES
Psychologists do not disclose in their writings, lectures, or other public media,
confidential, personally identifiable information concerning their clients/patients, students,
research participants, organizational clients, or other recipients of their services that they
obtained during the course of their work, unless:
1. They take reasonable steps to disguise the person or organization,
2. The person or organization has consented in writing, or
3. There is legal authorization for doing so.
E T H I C A L S TA N D A R D V: A D V E RT I S I N G &
O T H E R P U B L I C S TAT E M E N T S
• This section of the APA Ethical Standards is designed to
guide psychologists through the process of advertising
their practice and making other types of public Avoidance of
Statements by
statements. deceptive
others
statements
• Advertising refers to the use of public representations
intended to attract clients or patients.
Description of
• Public statements refer to all statements made in the workshop and
public domain. non- degree Media
granting Presentations
• Public statements include but are not limited to paid or educational
unpaid advertising, product endorsements, grant programs
applications, licensing applications, other credentialing
applications, brochures, printed matter, directory listings,
personal resumes or curricula vitae, or comments for use In-person
Testimonial
solicitation
in media such as print or electronic transmission,
statements in legal in legal proceedings, lectures and
public oral presentations, and published materials.
5 . 0 1 A V O I D A N C E O F FA L S E O R
D E C E P T I V E S TAT E M E N T S
a) Psychologists do not knowingly make public statements that are false,
deceptive, or fraudulent concerning their research, practice, or other work
activities or those of persons or organizations with which they are
affi liated.
b) Psychologists do not make false, deceptive, or fraudulent statements
concerning their:
• Training, experience, or competence
• Academic Degree
• Credentials
• Institutional or association affi liations Services
• Scientific or clinical basis for, or results or degree of success of, their
services
• Fees
• Publications or research findings

c) Psychologists claim degrees as credentials for their health services only if

those degrees:
5 . 0 2 S TAT E M E N T S
BY O T H E R S

a) Psychologists who engage others to create or

place public statements that promote their
professional practice, products, or activities
retain professional responsibility for such
statements.
b) Psychologists do not compensate employees
of press, radio, television, or other
communication media in return for publicity in
a news item.
c) A paid advertisement relating to psychologists'
activities must be identified or clearly
recognizable as such (the advertisement must
be clearly labeled as paid content.).
5.03 DESCRIPTION OF WORKSHOP & NON-
D E G R E E G R A N T I N G E D U C AT I O N A L
PROGRAMS
To the degree to which they exercise control, psychologists responsible
for announcements, catalogs, brochures, or advertisements describing
workshops, seminars, or other non-degree-granting educational
programs ensure that they accurately describe the audience for which
the program is intended, the educational objectives, the presenters, &
the fees involved.
5 . 0 4 M E D I A P R E S E N TAT I O N S
When psychologists provide public advice or comment via print, Internet, or
other electronic transmission, they take precautions to ensure that statements:
1) Are based on their professional knowledge, training, or experience in
accord with appropriate psychological literature and practice;
2) Are otherwise consistent with this Ethics Code (The statements must align
with the ethical guidelines established by APA); and
3) Do not indicate that a professional relationship has been established with
the recipient.
5.05 TESTIMONIALS
Psychologists do not solicit testimonials from current therapy
clients/patients or other persons who because of their particular
circumstances are vulnerable to undue influence.

5 . 0 6 I N - P E R S O N S O L I C I TAT I O N
Psychologists do not engage, directly or through agents, in uninvited in-
person solicitation of business from actual or potential therapy
clients/patients or other persons who, because of their particular
circumstances, are vulnerable to undue influence.
However, this prohibition does not preclude:
1. Attempting to implement appropriate collateral contacts for the purpose
of benefiting an already engaged therapy client/patient or
2. Providing disaster or community outreach services.
E T H I C A L S TA N D A R D V I : R E C O R D
KEEPING & FEE
Documentation for Professional and Scientific
• Records benefit both the client and Work and Maintenance of Records
the psychologist through Maintenance, Dissemination, and Disposal of
Confidential Records of Professional and
documentation of treatment plans, Scientific Work
services provided, & client progress. Withholding Records for Non-payment
• Record keeping also benefits
psychologists by providing Fee & Financial Arrangement
documentation of appropriate
Barter with Clients/Patients
planning, implementation,
evaluation, & modifications of Accuracy in Reports to Payors and Funding
services or research. Sources

• Good record keeping also includes Referral & Fee

documentation of ethical, scientific,
or practice decision making that
can assist in effectively responding
to ethics complaints.
6 . 0 1 D O C U M E N TAT I O N F O R
PROFESSIONAL & SCIENTIFIC WORK &
MAINTENANCE OF RECORDS
Psychologists create, and to the extent the records are under their
control, maintain, disseminate, store, retain, & dispose of records &
data relating to their professional & scientific work in order to:
1) Facilitate provision of services later by them or by other
professionals,
2) Allow for replication of research design & analyses,
3) Meet institutional requirements,
4) Ensure accuracy of billing & payments, and
5) Ensure compliance with law.
BASIC COMPONENTS OF RECORDS
OF PSYCHOLOGICAL SERVICES
• Information for the client's ongoing file.
• Identifying data & contact information.
• Fees & billing arrangements.
• Guardianship status, if appropriate.
• Informed consent/assent & any waivers of confidentiality.
• Mandated reporting, if relevant.
• Diagnosis or basis for request for services.
• Treatment plan (updated as appropriate).
6 . 0 2 M A I N T E N A N C E , D I SS E M I N AT I O N , &
DISPOSAL OF CONFIDENTIAL RECORDS OF
PROFESSIONAL & SCIENTIFIC WORK

a) Psychologists maintain confidentiality in creating, storing,

accessing, transferring, & disposing of records under their control,
whether these are written, automated, or in any other medium.
b) If confidential information concerning recipients of psychological
services is entered into databases or systems of records available
to persons whose access has not been consented to by the
recipient, psychologists use coding or other techniques to
avoid the inclusion of personal identifiers.
c) Psychologists make plans in advance to facilitate the appropriate
transfer and to protect the confidentiality of records & data in the
event of psychologists' withdrawal from positions or practice.
6.03 WITHHOLDING RECORDS FOR
N O N - PAY M E N T
Psychologists may not withhold records under their control that are
requested & needed for a client's/patients emergency treatment solely
because payment has not been received.

6 . 0 5 B A RT E R W I T H C L I E N T S / PAT I E N T S
Barter is the acceptance of goods, services, or other nonmonetary
remuneration from clients/patients in return for psychological services.
Psychologists may barter only if:
1) It is not clinically contraindicated, and
2) The resulting arrangement is not exploitative.
6.04 FEES & FINANCIAL
ARRANGEMENTS
a) As early as is feasible in a professional or scientific relationship,
psychologists & recipients of psychological services reach an agreement
specifying compensation & billing arrangements.
b) Psychologists' fee practices are consistent with law.
c) Psychologists do not misrepresent their fees
d) If limitations to services can be anticipated because of limitations in
financing, this is discussed with the recipient of services as early as is
feasible.
e) If the recipient of services does not pay for services as agreed, and if
psychologists intend to use collection agencies or legal measures to
collect the fees, psychologists first inform the person that such measures
will be taken & provide that person an opportunity to make prompt
payment.
6.06 ACCURACY IN REPORTS TO
PAY O R S & F U N D I N G S O U R C E S
In their reports to payors for services or sources of research funding,
psychologists take reasonable steps to ensure the accurate reporting of
the nature of the service provided or research conducted, the fees,
charges, or payments, and where applicable, the identity of the
provider, the findings, & the diagnosis.

6.07 REFERRAL & FEE

When psychologists pay, receive payment from, or divide fees with
another professional, other than in an employer-employee relationship, the
payment to each is based on the services provided (clinical, consultative,
administrative, or other) and is not based on the referral itself.
E T H I C A L S TA N D A R D V I I : E D U C AT I O N &
TRAINING

Design of Descriptions Student

Education and of Education Accuracy in Disclosure of
Training and Training Teaching Personal
Programs Programs Information
Sexual
Mandatory Assessing
Relationships
Individual or Student and
with Students
Group Supervisee
and
Therapy Performance
Supervisees
7 . 0 1 D E S I G N O F E D U C AT I O N & T R A I N I N G
PROGRAMS
Psychologists responsible for education & training programs take reasonable steps to:
• Ensure that the programs are designed to provide the appropriate knowledge &
proper experiences, and
• To meet the requirements for licensure, certification, or other goals for which claims
are made by the program.

7 . 0 5 M A N D AT O RY I N D I V I D UA L O R G R O U P
THERAPY
a) When individual or group therapy is a program or course requirement, psychologists
responsible for that program allow students in undergraduate & graduate programs
the option of selecting such therapy from practitioners unaffi liated with the program.
b) Faculty who are or are likely to be responsible for evaluating students' academic
performance do not themselves provide that therapy. This standard is designed to
protect the integrity & fairness of evaluations of student academic performance.
7 . 0 2 D E S C R I P T I O N S O F E D U C AT I O N
& TRAINING PROGRAMS
Psychologists responsible for education & training programs take
reasonable steps to ensure that:
• There is a current & accurate description of the program content
(including participation in required course- or program- related
counseling, psychotherapy, Experiential groups, consulting projects,
or community service),
• Training goals & objectives, stipends & benefits, and requirements
that must be met for satisfactory completion of the program.
This information must be made readily available to all interested
parties.
7.03 ACCURACY IN TEACHING
a) Psychologists take reasonable steps to ensure that course syllabi
are accurate regarding the subject matter to be covered, bases
for evaluating progress, and the nature of course experiences.
This standard does not preclude an instructor from modifying
course content or requirements when the instructor considers it
pedagogically necessary or desirable, so long as students are
made aware of these modifications in a manner that enables
them to fulfil course requirements.
b) When engaged in teaching or training, psychologists present
psychological information accurately.
7.04 STUDENT DISCLOSURE OF
P E R S O N A L I N F O R M AT I O N
Psychologists do not require students or supervisees to disclose
personal information in course- or program-related activities, either
orally or in writing, regarding sexual history, history of abuse & neglect,
psychological treatment, and relationships with parents, peers, &
spouses or significant others except if:
1) The program or training facility has clearly identified this
requirement in its admissions & program materials.
2) Or the information is necessary to evaluate or obtain assistance for
students whose personal problems could reasonably be judged to be
preventing them from performing their training- or professionally
related activities in a competent manner or posing a threat to the
students or others.
7.06 ASSESSING STUDENT &
SUPERVISEE PERFORMANCE
a) In academic & supervisory relationships, psychologists establish a
timely and specific process for providing feedback to students &
supervisees. Information regarding the process is provided to the
student at the beginning of supervision.
b) Psychologists evaluate students & supervisees on the basis of their
actual performance on relevant and established program
7 . requirements.
0 7 S E X U A L R E L AT I O N S H I P S W I T H
STUDENTS & SUPERVISEES
Psychologists do not engage in sexual relationships with students or
supervisees who are in their department, agency, or training center or over
whom psychologists have or are likely to have evaluative authority.
E T H I C A L S TA N D A R D V I I I : R E S E A R C H &
P U B L I C AT I O N

Client/Patient,
Informed Consent Student, &
Dispensing With
Institutional Informed Consent for Recording Subordinate
Informed Consent
Approval to Research Voices & Images Research
for Research
in Research Participants
Credit

Offering
Humane Care &
Inducements for Deception in Reporting
Debriefing Use of Animals in
Research Research Research Results
Research
Participation

Duplicate Sharing Research

Plagiarism Publication Credit Publication of Data for Reviewers
Data Verification
8 . 0 1 I N S T I T U T I O N A L A P P R OVA L
When institutional approval is required, psychologists provide accurate
information about their research proposals and obtain approval prior to
conducting the research. They conduct the research in accordance with
the approved research protocol.

8.06 OFFERING INDUCEMENTS FOR

R E S E A R C H PA R T I C I PAT I O N
a) Psychologists make reasonable efforts to avoid offering excessive or
inappropriate financial or other inducements for research participation
when such inducements are likely to coerce participation.
b) When offering professional services as an inducement for research
participation, psychologists clarify the nature of the services, as well as
the risks, obligations, & limitations. (See also Standard 6.05, Barter with
Clients/Patients.)
8.02 INFORMED CONSENT TO RESEARCH
a) When obtaining informed consent as required in Standard 3.10, psychologists inform
participants about:
• Purpose of research, expected duration, & procedures.
• Right to decline & withdraw.
• Foreseeable consequences of declining or withdrawing.
• Foreseeable factors that may be expected to influence their willingness to
participate.
• Research benefits.
• Limits of confidentiality.
• Incentives for participation.
• Right for question/answer
b) Psychologists conducting intervention research involving the use of experimental
treatments clarify to participants at the outset of the research:
• The experimental nature of the treatment;
• The services that will or will not be available to the control group(s) if
appropriate;
• The means by which assignment to treatment & control groups will be made;
• Available treatment alternatives;
8.03 INFORMED CONSENT FOR RECORDING
VOICES & IMAGES IN RESEARCH
Psychologists obtain informed consent from research participants prior to
recording their voices or images for data collection unless:
1) The research consists solely of naturalistic observations in public places,
and it is not anticipated that the recording will be used in a manner that
could cause personal identification or harm
2) Or the research design includes deception, and consent for the use of the
recording is obtained during debriefing.
8 . 0 4 C L I E N T / P A T I E N T, S T U D E N T, &
S U B O R D I N AT E R E S E A R C H PA RT I C I PA N T S
CREDIT
a) When psychologists conduct research with clients/patients, students, or subordinates
as participants, psychologists take steps to protect the prospective participants from
adverse consequences of declining or withdrawing from participation.
b) When research participation is a course requirement or an opportunity for extra
credit, the prospective participant is given the choice of equitable alternative
activities.
8.05 DISPENSING WITH INFORMED
CONSENT FOR RESEARCH
Psychologists may dispense with informed consent only,
1) where research would not reasonably be assumed to create
distress or harm and involves
a) the study of normal educational practices, curricula, or classroom
management methods conducted in educational settings;
b) only anonymous questionnaires, naturalistic observations, or
archival research for which disclosure of responses would not
place participants at risk of criminal or civil liability or damage
their financial standing, employability, or reputation, and
confidentiality is protected; or
c) the study of factors related to job or organization effectiveness
conducted in organizational settings for which there is no risk to
participants' employability, and confidentiality is protected or
2) where otherwise permitted by law or federal or institutional
regulations.
8.07 DECEPTION IN RESEARCH
Deception is the explicit misstatement of facts and the provision of
information that actively misled subjects regarding some aspect of study.
a) Psychologists do not conduct a study involving deception unless they have
determined that the use of deceptive techniques is justified by the study's
significant prospective scientific, educational, or applied value and that
effective non-deceptive alternative procedures are not feasible.
b) Psychologists do not deceive prospective participants about research that
is reasonably expected to cause physical pain or severe emotional
distress.
c) Psychologists explain any deception that is an integral feature of the
design and conduct of an experiment to participants as early as is
feasible, preferably at the conclusion of their participation, but no later
than at the conclusion of the data collection, and permit participants to
withdraw their data.
8.08 DEBRIEFING
a) Psychologists provide a prompt opportunity for participants to obtain
appropriate information about the nature, results, & conclusions of the
research, and they take reasonable steps to correct any misconceptions
that participants may have of which the psychologists are aware.
b) If scientific or humane values justify delaying or withholding this
information, psychologists take reasonable measures to reduce the risk
of harm.
c) When psychologists become aware that research procedures have
harmed a participant, they take reasonable steps to minimize the harm.
8.09 HUMANE CARE & USE OF ANIMALS IN
RESEARCH
a) Psychologists acquire, care for, use, & dispose of animals in compliance with current
federal, state, & local laws and regulations, and with professional standards.
b) Psychologists trained in research methods and experienced in the care of laboratory
animals supervise all procedures involving animals and are responsible for ensuring
appropriate consideration of their comfort, health, & humane treatment.
c) Psychologists ensure that all individuals under their supervision who are using
animals have received instruction in research methods and in the care, maintenance,
and handling of the species being used, to the extent appropriate to their role.
d) Psychologists make reasonable efforts to minimize the discomfort, infection, illness, &
pain of animal subjects.
e) Psychologists use a procedure subjecting animals to pain, stress, or privation only
when an alternative procedure is unavailable and the goal is justified by its
prospective scientific, educational, or applied value.
f) Psychologists perform surgical procedures under appropriate anesthesia and follow
techniques to avoid infection and minimize pain during & after surgery.
g) When it is appropriate that an animal's life be terminated, psychologists proceed
rapidly, with an effort to minimize pain and in accordance with accepted procedures.
8.10 REPORTING RESEARCH
R E S U LT S
a) Psychologists do not fabricate data. (See also Standard 5.01a,
Avoidance of False or Deceptive Statements.)
b) If psychologists discover significant errors in their published data,
they take reasonable steps to correct such errors in a correction,
retraction, erratum, or other appropriate publication means.

8.11 PLAGIARISM
Psychologists do not present portions of another's work or data as
their own, even if the other work or data source is cited occasionally.
8 . 1 2 P U B L I C AT I O N C R E D I T
a) Psychologists take responsibility & credit, including authorship
credit, only for work they have actually performed or to which they
have substantially contributed.
b) Principal authorship & other publication credits accurately reflect
the relative scientific or professional contributions of the
individuals involved, regardless of their relative status. Mere
possession of an institutional position, such as department chair,
does not justify authorship credit. Minor contributions to the
research or to the writing for publications are acknowledged
8 . 1appropriately,
3 D U P L I Csuch
A T Eas PinUfootnotes
B L I C A or
T Iin
O an
N introductory
O F D A T Astatement.

Psychologists do not publish, as original data, data that have been

previously published. This does not preclude republishing data when
they are accompanied by proper acknowledgment.
8 . 1 4 S H A R I N G R E S E A R C H D ATA F O R
V E R I F I C AT I O N
a) After research results are published, psychologists do not withhold the data on
which their conclusions are based from other competent professionals who seek to
verify the substantive claims through reanalysis and who intend to use such data
only for that purpose, provided that the confidentiality of the participants can be
protected and unless legal rights concerning proprietary data preclude their
release. This does not preclude psychologists from requiring that such individuals
or groups be responsible for costs associated with the provision of such
information.
b) Psychologists who request data from other psychologists to verify the substantive
claims through reanalysis may use shared data only for the declared purpose.
Requesting psychologists obtain prior written agreement for all other uses of the
data.
8.15 REVIEWERS
Psychologists who review material submitted for presentation, publication,
grant, or research proposal review respect the confidentiality of and the
proprietary rights in such information of those who submitted it.
E T H I C A L S TA N D A R D I X : A SS E SS M E N T

Informed
Bases for Use of Test
Consent in Release of
Assessmen Assessmen Constructio
Assessmen Test Data
t t n
t
Assessmen Obsolete Test
Interpreting Explaining
t by Tests & Scoring &
Assessmen Assessmen
Unqualified Outdated Interpretati
t Results t Results
Persons Test Results on Services
Maintaining
Test
Security
9.01 BASES FOR ASSESSMENT
a) Psychologists base the opinions contained in their recommendations, reports,
& diagnostic or evaluative statements, including forensic testimony, on
information and techniques sufficient to substantiate their findings.
b) Except as noted in 9.01c, psychologists provide opinions of the psychological
characteristics of individuals only after they have conducted an examination
of the individuals adequate to support their statements or conclusions.
• When, despite reasonable efforts, such an examination is not practical,
psychologists document the efforts they made and the result of those
efforts, clarify the probable impact of their limited information on the
reliability & validity of their opinions, and appropriately limit the nature
and extent of their conclusions or recommendations.
c) When psychologists conduct a record review or provide consultation or
supervision and an individual examination is not warranted or necessary for
the opinion, psychologists explain this and the sources of information on
which they based their conclusions & recommendations.
9. 02 USE OF ASSESSMENT
a) Psychologists administer, adapt, score, interpret, or use assessment
techniques, interviews, tests, or instruments in a manner and for
purposes that are appropriate in light of the research on or
evidence of the usefulness and proper application of the
techniques.
b) Psychologists use assessment instruments whose validity &
reliability have been established for use with members of the
population tested. When such validity or reliability has not been
established, psychologists describe the strengths & limitations of
test results & interpretation.
c) Psychologists use assessment methods that are appropriate to an
individual's language preference & competence, unless the use of
an alternative language is relevant to the assessment issues.
9.03 INFORMED CONSENT IN ASSESSMENT
a) Psychologists obtain informed consent for assessments, evaluations, or diagnostic
services, as described in Standard 3.10, Informed Consent, except when:
1) Testing is mandated by law or governmental regulations.
2) Informed consent is implied because testing is conducted as a routine
educational, institutional, or organizational activity (e.g., when participants
voluntarily agree to assessment when applying for a job).
3) One purpose of the testing is to evaluate decisional capacity. Informed consent
includes an explanation of the nature & purpose of the assessment, fees,
involvement of third parties, & limits of confidentiality and suffi cient opportunity
for the client/patient to ask questions & receive answers.
b) Psychologists inform persons with questionable capacity to consent or for whom
testing is mandated by law or governmental regulations about the nature & purpose
of the proposed assessment services, using language that is reasonably
understandable to the person being assessed.
c) Psychologists using the services of an interpreter obtain informed consent from
the client/patient to use that interpreter, ensure that confidentiality of test results &
test security are maintained, and include in their recommendations, reports, &
diagnostic or evaluative statements, including forensic testimony, discussion of any
limitations on the data obtained.
9 . 0 4 R E L E A S E O F T E S T D ATA
a) Test data refers to raw & scaled scores, client/patient responses to test
questions or stimuli, and psychologists’ notes & recordings concerning
client/patient statements & behavior during an examination. Those
portions of test materials that include client/patient responses are
included in the definition of test data.
• Pursuant to a client/patient release, psychologists provide test data to
the client/patient or other persons identified in the release.
Psychologists may refrain from releasing test data to protect a
client/patient or others from substantial harm or misuse or
misrepresentation of the data or the test, recognizing that in many
instances release of confidential information under these circumstances
is regulated by law.
b) In the absence of a client/patient release, psychologists provide test data
only as required by law or court order.
9.05 TEST CONSTRUCTION
Psychologists who develop tests & other assessment techniques use
appropriate psychometric procedures and current scientific or
professional knowledge for test design, standardization, validation,
reduction or elimination of bias, & recommendations for use.
9 . 0 6 I N T E R P R E T I N G A S S E S S M E N T R E S U LT S
When interpreting assessment results, including automated
interpretations, psychologists take into account:
• The purpose of the assessment,
• Various test factors & Test-taking abilities, and
• Other characteristics of the person being assessed, such as
situational, personal, linguistic, & cultural differences that might
affect psychologists' judgments or reduce the accuracy of their
interpretations.
They indicate any significant limitations of their interpretations.
9.0 7 ASSESSMEN T BY UN QUALIFIED
PERSONS
Psychologists do not promote the use of psychological assessment
techniques by unqualified persons, except when such use is conducted
for training purposes with appropriate supervision.

9 . 0 8 O B S O L E T E T E S T S & O U T D AT E D
T E S T R E S U LT S
a) Psychologists do not base their assessment or intervention decisions or
recommendations on data or test results that are outdated for the current
purpose.
b) Psychologists do not base such decisions or recommendations on tests &
measures that are obsolete and not useful for the current purpose.
9.09 TEST SCORING &
I N T E R P R E TAT I O N S E R V I C E S
a) Psychologists who offer assessment or scoring services to other
professionals accurately describe the purpose, norms, validity,
reliability, & applications of the procedures and any special
qualifications applicable to their use.
b) Psychologists select scoring & interpretation services on the basis
of evidence of the validity of the program & procedures as well as
on other appropriate considerations.
c) Psychologists retain responsibility for the appropriate application,
interpretation, & use of assessment instruments, whether they
score & interpret such tests themselves or use automated or other
services.
9 . 1 0 E X P L A I N I N G A S S E S S M E N T R E S U LT S
Regardless of whether the scoring & interpretation are done by
psychologists, by employees or assistants, or by automated or other
outside services psychologists take reasonable steps to ensure that
explanations of results are given to the individual or designated
representative, unless the nature of the relationship precludes
provision of an explanation of results, and this fact has been clearly
explained to the person being assessed in advance.
9 . 1 1 M A I N TA I N I N G T E S T S E C U R I T Y
• The term test materials refers to manuals, instruments, protocols, & test
questions or stimuli and does not include test data as defined in Standard 9.04,
Release of Test Data.
• Psychologists make reasonable efforts to maintain the integrity & security of test
materials and other assessment techniques consistent with law & contractual
obligations, and in a manner that permits adherence to this Ethics Code.
E T H I C A L S TA N D A R D X : T H E R A P Y

Sexual Intimacies
Therapy Involving Providing Therapy
Informed Consent With Current
Couples or Group Therapy to Those Served
to Therapy Therapy
Families by Others
Clients/Patients

Sexual Intimacies
With Relatives or Sexual Intimacies
Therapy With
Significant Others With Former Interruption of Terminating
Former Sexual
of Current Therapy Therapy Therapy
Partners
Therapy Clients/Patients
Clients/Patients
10.01 INFORMED CONSENT TO THERAPY
a) Psychologists inform clients/patients as early as is feasible in the therapeutic
relationship about the:
• Nature & anticipated course of therapy,
• fees,
• Involvement of third parties
• Limits of confidentiality and
• Provide suffi cient opportunity for the client/patient to ask questions & receive
answers.
b) When obtaining informed consent for treatment for which generally recognized
techniques & procedures have not been established, psychologists inform their
clients/patients of the developing nature of the treatment, the potential risks involved,
alternative treatments that may be available, and the voluntary nature of their
participation.
c) When the therapist is a trainee and the legal responsibility for the treatment provided
resides with the supervisor, the client/patient, as part of the informed consent
procedure, is informed that the therapist is in training and is being supervised and is
given the name of the supervisor.
1 0 . 2 T H E R A P Y I N V O LV I N G C O U P L E S
O R FA M I L I E S
a) When psychologists agree to provide services to several persons who
have a relationship (such as spouses, significant others, or parents &
children), they take reasonable steps to clarify at the outset:
1) Which of the individuals are clients/patients and
2) The relationship the psychologist will have with each person. This
clarification includes the psychologist's role and the probable uses of
the services provided or the information obtained.
b) If it becomes apparent that psychologists may be called on to perform
potentially conflicting roles (such as family therapist and then
witness for one party in divorce proceedings), psychologists take
reasonable steps to clarify & modify, or withdraw from, roles
appropriately.
10.03 GROUP THERAPY
When psychologists provide services to several persons in a group
setting, they describe at the outset the roles & responsibilities of all
parties and the limits of confidentiality.

10.04 PROVIDING THERAPY TO THOSE

SERV ED BY OTHERS
• In deciding whether to offer or provide services to those already receiving
mental health services elsewhere, psychologists carefully consider the
treatment issues and the potential client's/ patient's welfare.
• Psychologists discuss these issues with the client/patient or another legally
authorized person on behalf of the client/patient in order to minimize the
risk of confusion & conflict, consult with the other service providers when
appropriate, and proceed with caution & sensitivity to the therapeutic
issues.
10.05 SEXUAL INTIMACIES WITH CURRENT
T H E R A P Y C L I E N T S / PAT I E N T S

• Psychologists do not engage in sexual intimacies with current therapy

clients/patients.
1 0 . 0 6 S E X UA L I N T I M A C I E S W I T H R E L AT I V E S O R
SIGNIFICANT OTHERS OF CURRENT THERAPY
C L I E N T S / PAT I E N T S
• Psychologists do not engage in sexual intimacies with individuals they know to
be close relatives, guardians, or significant others of current clients/patients.
• Psychologists do not terminate therapy to circumvent this standard.

10.07 THERAPY WITH FORMER SEXUAL PA RT N E R S

• Psychologists do not accept as therapy clients/patients persons with

whom they have engaged in sexual intimacies.
10.08 SEXUAL INTIMACIES WITH FORMER
T H E R A P Y C L I E N T S / PAT I E N T S
a) Psychologists do not engage in sexual intimacies with former clients/patients
for at least two years after cessation or termination of therapy.
b) Psychologists do not engage in sexual intimacies with former clients/patients
even after a two-year interval except in the most unusual circumstances.
Psychologists who engage in such activity after the two years following
cessation or termination of therapy and of having no sexual contact with the
former client/patient bear the burden of demonstrating that there has been
no exploitation, in light of all relevant factors.

10.09 INTERRUPTION OF THERAPY

• When entering into employment or contractual relationships, psychologists
make reasonable efforts to provide for orderly and appropriate resolution of
responsibility for client/patient care in the event that the employment or
contractual relationship ends, with paramount consideration given to the
welfare of the client/patient.
1 0 . 1 0 T E R M I N AT I N G T H E R A P Y
a) Psychologists terminate therapy when it becomes reasonably clear that:
• Services are no longer needed.
• The client/patient is not likely to benefit.
• The client/patient is being harmed by continued service.
b) Psychologists may terminate therapy when threatened or otherwise
endangered by the client/patient or another person with whom the
client/patient has a relationship.
c) Except where precluded by the actions of clients/patients or third-party
payors, prior to termination psychologists provide pre-termination
counseling and suggest alternative service providers as appropriate.
 Mental Healthcare Act,
2017
LAWS &
GUIDELINES Rights of Persons with
Disabilities Act, 2016

RCI Regulations and Act,

2000
M E N TA L
H E A LT H C A R E
ACT 2017

10 chapters & 100

sections
 1. Preliminary
2. Definitions
3. Rights of Persons with Mental
Illness
4. Mental Healthcare Services
Mental
Healthcare Act, 5. Admission
2017 has 10 6. Treatment
chapters: 7. Discharge
8. Appeals
9. Offenses and Penalties
10. Miscellaneous
INTRODUCTION

• This act provides for the persons who are suffering with mental
illness with healthcare and services to protect their rights.

• Right to live life with dignity by not being against discriminated or

harassed.

What is Mental Health Care?

"Mental healthcare" includes analysis and diagnosis of a person's
mental condition and treatment as well as care and rehabilitation of
such person for his mental illness or suspected mental illness.
"Mental illness" means a substantial
disorder of thinking, mood, perception,
orientation or memory that grossly
impairs judgment, behavior, capacity
to recognize reality or ability to meet
the ordinary demands of life, mental
conditions associated with the abuse of
alcohol and drugs but does not include
mental retardation which is a condition
of arrested or incomplete development
of mind of a person, specially
characterized by sub normality of
intelligence.
D E T E R M I N AT I O N O F M E N TA L I L L N E SS
Same style as nationwide or overseas held
medical criteria
D E T E R M I N AT I O N
O F M E N TA L
ILLNESS

Cannot be decided by a
person’s political, economic or
social status, association in
cultural society, racial or
religious group.
M E N T A L H E A LT H P R O F E S S I O N A L S

• Post-graduate Ayush doctors as Mental Health Professionals

Chapter I of MHA 2017

R I G H T S O F P E R S O N S W I T H M E N TA L
ILLNESS
• Right to access mental health care.
• Right to community living.
• Right to protection from cruel, inhuman and degrading treatment.
• Right to equality and non-discrimination.
• Right to information.
• Right to confidentiality.
• Right to access medical records.
• Right to personal contacts and communication.
• Right to legal aid.
C A PA C I T Y ( S E C T I O N 4 )
• Capacity refers to one's ability to make decisions regarding their
mental healthcare & treatment.
• Under the MHCA, all persons are presumed to have capacity.
• Capacity with regard to making decisions in other matters such as
entering into contracts, buying or selling property, marriage,
parenthood, etc. is not covered under the MHCA.
• Decision making refers to the process by which a person expresses
their will and preferences for particular option/s presented to them
for their mental healthcare and treatment.
• Decisions can be exercised only when a person is provided adequate
information and support (if required) which can help them make a
choice
 INFORMED
CONSENT
• Informed consent is consent given for a
specific intervention

• Consent should be given without force,

undue influence, fraud, threat, mistake or
misrepresentation

• Consent should be obtained after disclosing

adequate information about risks, benefits
and alternatives to the specific intervention.

• Information should be provided in a

language and manner understood by the
person.
CRITERIA FOR
INFORMED CONSENT
• Choices should be offered, if available, in accordance
with good clinical practice; alternative modes of
treatment, especially those that are less intrusive,
should be discussed and offered to the patient.

• The person giving consent must have capacity to do

so and capacity is assumed unless there is evidence
to the contrary.

• Consent means right to refuse or stop treatment.

• Consequences of refusing treatment, which may

include discharge from the hospital, should be
explained to the person.

• The consent should be documented in the patient's

medical records.
C O M M U N I C AT I O N O F I N F O R M AT I O N

• Information should be provided toa person in their local language

which is easy to understand or in the following ways:
 Written declarations of how a person would
A D VA N C E like to be treated in the event that they
cannot take decisions for their own mental
DIRECTIVE healthcare and treatment

(SECTION 5) A person can specify in their Advance

Directive :
• The form of treatment and care they
want (and don't want) Any other
aspects related to their care and
rehabilitation Their Nominated
Representatives in order of precedence

Who can make an Advance Directive?

• Every person has a right to make an
advance directive.
• Legal guardians can make advance
directives on behalf of minors.
• Centre for Mental Health Law & Policy
P R O C E D U R E T O M A K E A D VA N C E D
DIRECTIVES

The Central Mental Any person may make

Health Authority will an advance directive
prescribe regulations Procedure According to by writing it on a piece
for the manner of Model Regulations of paper and signing it
making Advance or inserting their
Directives thumb impression.

Certificate from any

general practitioner The advance directive
The advance directive
that the person has has to be registered
will have to be signed
capacity at the time of with the Mental Health
by witnesses.
making an advance Review Board.
directive.
EXAMPLE
In the event if I, XYZ, have a mental illness and am not in the condition to take
decisions by myself, then:

a. I wish to be care for and treated as under:

I wish to be admitted in a hospital which is close to my family home. I want my food to
be cooked at home. If I am in a lot of pain or distress, then I wish to be given medicines
to calm me even if I don't give permission in that moment.

b. I wish not to be cared for and treated as under:

I do not want to be administered lithium because of its side effects. I do not want any
visitors to come to the hospital to meet me. Under no circumstances do I wish to be
physically restrained.

At all times I will be supported by my mother who will take decisions on my behalf since
she knows me and my wishes the best.
W H E N D O A D VA N C E
D I R E C T I V E S A P P LY
• Advance Directives will be invoked when the person with
mental illness ceases to have capacity till, they regain
capacity.

• When a person has capacity, their decision will override

any Advance Directive

• Only the latest advance directive will be applicable

• It is the duty of every mental health professional to provide

treatment in accordance with the advance directive

• Advance directives do not apply to emergency

treatments.
 • Every person has the right to access
mental healthcare and treatment
RIGHT TO ACCESS from government health services
M E N T A L H E A LT H C A R E including those services run or funded by
(SECTION 18) the Central and State Governments.

• These services should be of aff ordable

cost, of good quality, available in
suffi cient quantity, accessible
geographically, without
discrimination on the basis of gender,
sex, sexual orientation, religion, culture,
caste, social or political beliefs, class,
disability or any other basis and provided
in a manner that is acceptable to persons
with mental illness and their families and
care-givers.
 Acute mental healthcare services
such as outpatient and inpatient
services;
Provision of halfway homes,
sheltered accommodation,
supported accommodation;
Mental health services to
Minimum Services to support family of persons with
mental illness;
be provided:
Home based rehabilitation;

Hospital and community-based

rehabilitation establishments and
services;
Provision for child mental health
services and old age mental health
services.
RIGHT TO COMMUNITY
LIVING (SECTION 19)
• Right to Community Living means every
person with mental illness has the right to-
a. Have a right to live in and be a part of
society and cannot be segregated or
excluded from their community.
b. Have a right not to be admitted or kept in
a MHE for long stay solely on the ground:
• They cannot live with their family; or
• There is an absence of community
support, or they have been segregated
or excluded; or
• They are homeless; or
• They have no family relatives willing to
take care of them.
RIGHT TO PROTECTION FROM
CRUEL, INHUMAN &
D E G R A D I N G T R E AT M E N T
(SECTION 20)

• Every person with mental illness has the right

to be protected from cruel, inhuman and
degrading treatment.

• Duty of MHEs to ensure that services are

provided in a manner that respects the
dignity of such persons.

• Services should fulfil basic minimum

standards as prescribed by authorities, but
MHEs should go beyond these standards.
RIGHT TO EQUALITY & NON-
D I S C R I M I N AT I O N ( S E C T I O N 2 1 )

1. Non-discrimination

• Persons with mental illness cannot be discriminated

against based on their gender, sex, sexual orientation,
religion, culture, caste, social or political beliefs, class or
disability.

2. Parity

• All persons with mental illness must be treated equally

with persons with physical illnesses in the provision of
healthcare.

• Persons with mental illness must be provided healthcare

services in the same manner, extent and quality as
persons with physical illness – the same standards should
be applicable to all.
Examp 1. If persons with physical illness are being
provided wholesome food, then similar food of
les of the same quality should be provided to persons
Parity- with mental illness.

2. If persons with physical illness have their

wards in a ventilated and well-lit area, persons
with mental illness should be placed in similar
wards, and not in a secluded area or a
basement.
3. If persons with physical illness are provided a
certain quality of bed linen which is replaced
and washed regularly, persons with mental
illness should be provided similar linen which is
washed and replaced after reasonable intervals.
MEDICAL INSURANCE
[SECTION 21(4)]

• Insurers are required to make provisions for medical

insurance for treatment of mental illness.

• Insurance policies should be offered to persons with mental

illness on the same basis as is available for treatment of
persons with physical illness.

• This implies that there should be no discrimination in the

insurances policies, indemnity plans, premium price
ranges, aspects of health services covered,
reimbursements, duration, etc.

• Any persons including the MHE may file complaints against

any insurance companies that deny medical insurance to
persons with mental illness admitted in the MHE.
 • All MHEs have the duty to provide the
information mentioned below.
RIGHT TO • Where information cannot be given to person

I N F O R M AT I O N with mental illness, should be provided to the

NR.
(SECTION 22) • The right to information extends to the
following-

1. Provisions of the MHCA or any other law under

which they are being admitted, and the
criteria for admission under such provisions
o provide a copy of the provisions of the law
which are easy to understand for the patient
and explained in simple language
o provide information at the time of admission
o Information can be provided by any of the
medical staff, or the MHP in charge of
admissions
2. Right to make an application to the concerned Board for a review of
his or her admission
• MHEs should provide information on the procedure to make an
application, relevant contact details for approaching the Board,
and relevant forms for making such an application.
• Such information may be provided by the medical personnel
responsible for making admissions and includes the MO/MHP in
charge, Psychiatrist in charge of treatment or any other MHP
designated to handle admissions.
• Information should be provided at the time of admission.
RIGHT TO CONFIDENTIALITY
(SECTION 23 & SECTION 24)
1. Right to Confi dentiality
• No personal information (of any kind or platform) of any person
with mental illness will be provided to anyone without such
person's informed consent.
• No photograph or information relating to a person with mental
illness undergoing treatment in the MHE should be released to the
media without the person's consent.

2. Exceptions to Person's Right to Confi dentiality

a) The NR requires information to fulfil duties under the Act;

b) Other mental health professionals, and health professionals

require the information to provide care and treatment to the
person;

c) Necessary to protect any other person from harm or violence to

the extent that is necessary to provide such protection;
RIGHT TO ACCESS MEDICAL
RECORDS (SECTION 25)
1. Right to Access Records
• Every person with mental illness has the right to
access their medical records.
• It is the duty of the MHP in charge of records to
provide the information to any person who
applies for the same.

2. Withholding Information
• The MHP in charge can withhold information in
the records if it is felt that:
a. serious mental harm will be caused to the person with
mental illness
b. likelihood of harm to other persons.
• It is the duty of the MHP to inform the person of
their right to apply to the concerned Board for an
order to release such information.
RIGHT TO PERSONAL
C O N TA C T &
C O M M U N I C AT I O N
(SECTION 26)
Every person with mental illness admitted in
a MHE has the right to:
a. Refuse or receive visitors;
b. Refuse or receive and make telephone or
mobile phone calls at reasonable times;
c. Send and receive mail through electronic
mode including emails.
• MHEs must provide access to telephones,
computers and internet connection in order
to ensure that persons with mental illness
admitted have access to means of
communication.
• Designated personnel in the MHE must
assist persons with mental illness in
sending their postal communication.
RIGHT TO MAKE COMPLAINTS
ABOUT DEFICIENCIES IN
PROVISION OF SERVICES
(SECTION 28)

• Any person with mental illness or their NR has the right

to make a complaint regarding deficiencies in provision
of care, treatment and services in the MHE

• Complaint can be made to:

a. Medical offi cer or MHP in charge (and if not satisfied

with the response)

b. Concerned Board (and if not satisfied with the

response)

c. The State Mental Health Authority

• In addition, a person with mental illness can seek judicial

remedy for a violate of their rights by a MHP in a MHE
under the MHCA or any other law.
M E N T A L H E A LT H R E V I E W B O A R D S
(SECTION 73)

• Authorities with quasi-judicial powers

to protect the rights of persons with
mental illness

• Ensure proper implementation of the

provisions of the MHCA

• Ensure that admissions, treatment and

discharge are taking place according
to procedures, without violating the
rights of persons with mental illness
E M E R G E N C Y T R E AT M E N T
(SECTION 94)
• Emergency treatment includes any medical treatment
including treatment for mental illness, or transportation of
person with mental illness to the nearest MHE.
• Can be provided by any registered medical practitioner
and anywhere only when necessary to prevent:
a. death or irreversible harm to the person
b. Person with mental illness inflicting harm to another
c. Causing serious damage to property belonging to self
or others due to behavior flowing from mental illness
• If NR is present, informed consent must be taken. ECT
cannot be given as emergency treatment
• Emergency treatment can be provided only till:
- A period of 72 hours
- Till the person with mental illness has been assessed
- During disasters or emergencies up to 7 days
 • Electro Convulsive Therapy [ECT] without
muscle relaxants and anesthesia is
PROHIBITED prohibited

PROCEDURES • In case of ECT for minors, the Psychiatrist

must:
(SECTION 95) i. Apply to concerned Board seeking
permission and receiving approval; and
ii. Obtain informed consent from the
legal guardian after providing adequate
information about risks, benefits,
alternatives and consequence of
following treatment or not.
• Sterilization of men and women as a
form of treatment for mental illness is
prohibited.
• Chaining in whatever form
• Physical restrain without permission of
concerned psychiatrist
RESTRAINTS & SECLUSION
(SECTION 97)

• A person with mental illness shall not

be subjected to seclusion or solitary
confinement, and, where necessary,
physical restraint may only be used
when:

a. To prevent imminent & immediate

harm to person concerned.

b. Authorised by the psychiatrist in

charge of the person’s treatment.
ROLE OF POLICE OFFICERS
(SECTION 100)
• Every officer in-charge of a police
station shall have a duty-
a) to take under protection any person
found wandering within the limits of the
police station whom the offi cer has
reason to believe has mental illness and
is incapable of taking care of himself; or
b) to take under protection any person
within the limits of the police station
whom the offi cer has reason to believe
to be a risk to himself or others by
reason of mental illness.
RESTRICTIONS ON • Mental Health Professionals or Medical
M E N T A L H E A LT H Practitioners cannot discharge any duty
or perform a function which the MHCA
PROFESSIONALS does not Authorize.
(CHAPTER 6) o For example, a mental health
professional cannot recommend to a
person with mental illness the
decisions such person must make in
their personal matters such as
buying or selling property, entering
into contracts, etc.
• Medicines or treatment which are not
authorised by the field of profession of
such MHP or MP cannot be
recommended.
o For example, a clinical psychologist
cannot administer medicines to a
person with mental illness.
O F F E N C E S & P E N A LT I E S ( C H A P T E R 9 )
1. Penalties for Non-Registration of MHEs

• Penalties will be decided by an order of the SMHA

• The owner or person (in charge) who carries on a MHE without registration is
liable to a penalty:
a. Between Rs. 5000 to Rs. 50,000 for the first time.

b. Between Rs. 50, 000 and Rs. 2,00,000 for the second time.

c. Between Rs. 2,00,000 and Rs. 5,00,000 for every subsequent time.

• Any MHP who serves in a non-registered MHE will be liable to a penalty

extending to Rs. 25,000.

• If a person does not pay the penalty, the SMHA will forward the order to the
Collector of the district where such person/MHE resides and recover the same
as a land revenue arrear.
2. Punishment for Contravening
provisions/regulations of MHCA
• Any person who has a duty/responsibility under
the MHCA and contravenes or fails to perform
the same is liable to be punished.
• The punishments will be accordingly:

a. Imprisonment for a term up to 6 months and/or

a fine up to Rs. 10,000 for the first time.

b. Imprisonment for a term up to 2 years and/or a

fine between Rs. 50,000 to Rs. 5,00,000 for
every subsequent time.
3. Off ences by Companies
• A company is a body incorporated under law and includes a firm or
association of individuals
• If a company commits an offence, the following will be considered
guilty:
a. The Company; and
b. The person in-charge and responsible for the conduct of the
company at the time of the offence.
• However, if such persons are not liable to punishment if they prove
that the offence was committed without their knowledge or they
exercised due-diligence to prevent the offence.
• Any director, manager, secretary, or offi cer of the Company-
• who has consented, connived, or contributed (even through neglect) to
an offence committed by the Company will be held liable and
punished.
 S. 309 IPC - Whoever attempts to commit suicide and
does any act towards the commission of such offence,
shall be punished with simple imprisonment for a term
which may extend to one year or with fine, or with
DECRIMINALIZING both.
Presumption of severe stress in case of attempt to
SUICIDE commit suicide.
Notwithstanding anything contained in section
309 of the Indian Penal Code any person who
attempts to commit suicide shall be presumed, unless
proved otherwise, to have severe stress and shall not
be tried and punished under the said Code.
 The appropriate Government shall have a duty to
provide care, treatment & rehabilitation to a
person, having severe stress and who attempted to
commit suicide, to reduce the risk of recurrence of
attempt to commit suicide.
 The MHE will have to report every case of a
suicide or attempted suicide to the nearest
police station, under the jurisdiction of MHE located.
 the MHE will have to attempt assist the police in
case there is an investigation into determining
whether the suicide or suicide act was done by a
person who was under severe stress.
 • Promotion of mental health &
DUTIES OF Preventive programs.
A P P R O P R I AT E • Creating awareness about
GOVERNMENT mental health and illness and
reducing stigma associated
with mental illness.

• Establishment, composition,
duties of Central & State
Mental Health Authority.

Chapter VI, VII, VIII of MHA 2017

RIGHTS OF
PERSONS
WITH
DISABILITY
A C T, 2 0 1 6

RPWD ACT, 2016

 Ministry of Social Justice &
Empowerment

This act replaces the PWD Act,

THE RIGHT OF 1995
PERSONS WITH
DISABILITIES
It comes into force from 15th
ACT, 2016 June 2017

This law will be a game

changer for the estimated 70-
100 million disabled citizens of
India
 According to act person who intentionally insults or intimidates with intent to
humiliate a PWD on any place within public view is punishable with
imprisonment.

Reservation in Jobs increased from 3% to 4%.

Persons with at least 40% of a disability are allowed for benefits in reservations
in education and employment, preference in government schemes, etc.

As per RTE also they can avail free education from age 6 to 18.

State government have to set district level committees to deal with injustice at
local level.

National & state level funds should be there to help PWD.

All buildings whether private or public should be PWD

friendly.

Social courts should be in every district and have to

make sure no injustice and violation of this act.

CHANGES FROM PWD ACT, 1995

• This act will cover 21 Disabilities instead of 7 disabilities that were

covered by PWD Act, 1995.
• This new Act lays complete emphasis on one's rights -
1. Right to equality and opportunity,
2. Right to inherit and own property,
3. Right to home and family and reproductive rights among others.
4. Every child with disability between the age group of 6 and 18
years shall have the right to free education.
5. The New Act will bring our law in line with the United National
Convention on the Rights of Persons with Disabilities (UNCRPD).
 DEFINITION OF
PERSON WITH
DISABILITY (PWDs)
Persons with Disabilities (Equal
Opportunities, Protection of Rights & Full
Participation) (PwD) Act, 1995, defines
'disability' as:-
• Blindness
• Low-Vision
• Leprosy-cured
• Hearing Impairment
• Locomotor Disability
• Mental Retardation
• Mental Illness
• "person with disability"
means a person with long term
physical, mental, intellectual or
sensory impairment which, in
interaction with barriers,
hinders his full and effective
participation in society equally
with others;

• "person with disability

having high support needs"
means a person with
benchmark disability certified
under clause (a) of sub-section
(2) of section 58 who needs
high support;
• Numbers of types of disabilities have been increased from 7 to 21.
• Speech & Language Disability and Specific Learning Disability have
been added for the first time.
• Acid Attack Victims have been included.
• Dwarfism, muscular dystrophy have had been indicated as separate
class of specified disability.
• The New categories of disabilities also included three blood disorders,
Thalassemia, Hemophilia and Sickle Cell disease
• In addition, the Government has been authorized to notify any other
category of specified disability
GUARDIANSHIP

• 14. (1) If a disabled person is unable to take

legally binding decisions, may be provided
further support of a limited guardian to take
legally binding decisions on his behalf in
consultation with such person, in such
manner prescribed by the State Government:
­ For the purposes of this sub-section, "limited
guardianship" means a system of joint
decision which operates on mutual
understanding and trust between the guardian
and the person with disability, which shall be
limited to a specific period and for specific
decision and situation and shall operate in
accordance to the will of the person with
disability.
P R O M O T E H E A LT H C A R E F O R -
a) Surveys, investigations and research concerning the cause of
occurrence of disabilities;
b) Promote various methods for preventing disabilities;
c) Screen all the children at least once in a year for the purpose of
identifying "at-risk" cases;
d) Provide facilities for training to the staff at the primary health
centers;
e) Awareness campaigns - information for general hygiene, health and
sanitation;
f) Take measures for pre-natal, perinatal and post-natal care of mother
and child;
g) Educate the public through the pre-schools, schools, primary health
centers, and Anganwadi workers;
h) Create awareness through television, radio and other mass media
on the causes of disabilities and the preventive measures
i) Healthcare during the time of natural disasters and other situations
of risk;
SPECIAL PROVISION FOR PERSONS
WITH BENCHMARK DISABILITIES
• Free education for children with benchmark disabilities.
• Reservation in higher educational institutions.
32. (1) All Government institutions of higher education and other higher education
institutions receiving aid from the Government shall reserve not less than 5% seats
for persons with benchmark disabilities.
• Identification of posts for reservation.
• Incentives to employers in private sector. Special employment exchange.
• Special schemes and development programs.
• Special provisions for persons with disabilities with high support.
• Access to Information and communication technology.
• Access to transport.
R E S E RVAT I O N S
• Every appropriate Government shall appoint in every Government
establishment, not less than 4% of the total number of vacancies in
the cadre strength in each group of posts meant to be filled with
persons with benchmark disabilities of which, 1% each shall be
reserved for persons with benchmark disabilities under clauses (a),
(b) and (c) and one per cent. for persons with benchmark
disabilities under clauses (d) and (e),
namely:-
a) blindness & low vision;
b) deaf & hard of hearing;
c) locomotor disability including cerebral palsy, leprosy cured,
dwarfism, acid attack victims and muscular dystrophy;
d) autism, intellectual disability, specific learning disability &
mental illness;
e) multiple disabilities from amongst persons under clauses (a) to
(d) including deaf-blindness in the posts identified for each
disabilities.
O F F E N C E S & P E N A LT I E S

• 89. Any person who contravenes any of the provisions of this Act, or
of any rule made thereunder shall for first

• Contravention be punishable with fine which may extend to ten

thousand rupees and for any subsequent contravention with fine
which shall not be less than fifty thousand rupees, but which may
extend to five lakh rupees.
 RC I
R E G U L AT I O N S &
ACT,2000
(Rehabilitation Council of
India)
INTRODUCTION
• The Rehabilitation Council of India (RCI) was set up as a registered
society in 1986.
• On September, 1992 the RCI Act was enacted by Parliament and
it became a Statutory Body on 22 June 1993.
• The Act was amended by Parliament in 2000 to make it more
broad based.
• The mandate given to RCI is to regulate and monitor services given to
persons with disability, to standardize syllabi and to maintain a
Central Rehabilitation Register of all qualified professionals and
personnel working in the field of Rehabilitation and Special Education.
• The Act also prescribes punitive action against unqualified
persons delivering services to persons with disability.
 The persons registered with RCI
shall be entitled to practice as a
rehabilitation professionals/
personnel in any part of India
and to recover in due course of
R E G I S T RAT I O N
law in respect of such practice
any expenses, charges in
respect of medicaments or
other appliances or any fees to
which he may be entitled.
 An Act to provide for the
constitution of the Rehabilitation
council of India for regulating
RC I AC T 1 9 9 2 the training of rehabilitation
WITH professionals & monitoring the
training of rehabilitation
AMENDMENT professionals and personnel,
2000 promoting research in
rehabilitation and special
education and the maintenance
of a Central Rehabilitation
Register and for matters
connected therewith or incidental
thereto.
O B J E C T I V E S O F T H E RC I AC T

Regulating and monitoring the training

and practice of rehabilitation professionals
and personnel.
Promoting quality standards in
rehabilitation and special education
services.
Protecting the rights and interests of
PWDs.

Fostering research and development in

the field of rehabilitation.
M A I N P R OV I S I O N S O F T H E RC I
ACT
RECOGNIZING QUALIFIED
PROFESSIONALS UNDER THE
RCI ACT, 2000
Who can call themselves a qualified rehabilitation
professional in India?
• The RCI Act recognizes specific qualifications for various
rehabilitation professions, ensuring individuals possess the
necessary knowledge and skills to effectively serve persons
with disabilities.
• Some of the key professions covered by the Act include:
 Physiotherapist
 Occupational Therapist
 Speech-Language Pathologist
 Audiologist
 Special Educator
 Prosthetist and Orthotist
 Rehabilitation Psychologist
 Counselor
 Social Worker
 Ensures quality of
services provided to
PWDs.

Protects individuals
I M P O RTA N C E O F
from unqualified
RC I
practitioners.
RECOGNITION:-
Promotes ethical and
evidence-based
practices in
rehabilitation.
A P P R OVA L O F
TRAINING
PROGRAMS
• Eligibility: Institutions seeking RCI
approval must be recognized
universities, colleges, or training
centers affi liated with recognized
universities.
• Pre-requisites: Before formal
application, institutions must
ensure they:
• Possess adequate infrastructure,
including classrooms,
laboratories, & clinical facilities.
• Have qualified and experienced
faculty with relevant RCI-
recognized degrees.
• Follow the prescribed curriculum
and syllabus for the specific
rehabilitation profession.
Application Process:
• Initial Application: Submit a detailed application form to the
RCI, along with supporting documents like faculty profiles,
infrastructure details, and curriculum outline.
• Inspection Visit: RCI offi cials conduct a thorough inspection of
the institution's facilities, faculty qualifications, and adherence
to curriculum guidelines.
• Review and Decision: The RCI Committee reviews the
inspection report and application documents before making a
final decision on approval.
• Grant of Approval: Upon approval, the institution receives an
offi cial RCI recognition certificate, allowing them to offer the
training program.

By adhering to these steps and diligently fulfilling RCI's

requirements, institutions can ensure their rehabilitation
training programs meet the highest standards and empower
graduates to make a positive impact in the lives of
individuals with disabilities.
MAINTENANCE OF THE CENTRAL
R E H A B I L I TAT I O N R E G I S T E R

Transparency: The Central

Rehabilitation Register acts as Accountability: By making
a central repository of information readily available,
information on all qualified the register holds
rehabilitation professionals in professionals accountable for
India. This allows anyone, maintaining their
including patients, employers, qualifications and adhering to
and regulatory bodies, to ethical practices. This fosters
easily verify the qualifications trust and confidence in the
and registration status of any rehabilitation sector.
practitioner.
 PROHIBITION OF
UNQUALIFIED
PRACTICE
• Delivering rehabilitation services
without RCI recognition is illegal.
• Only RCI-qualified professionals
have the necessary skills and
knowledge to provide safe and
effective care.
• Unqualified practice can lead to:
• Improper diagnosis and treatment plans
• Delayed recovery or worsening of
conditions
• Physical or emotional harm
 Broader reach: More
rehabilitation professions
brought under the RCI's
purview, ensuring wider
coverage and improved access
to services for PWDs.
Strengthened regulations:
I M PA C T O F T H E Stricter norms for training
2000 programs and professional
practice, leading to higher
AMENDMENT
quality services.
Enhanced enforcement:
Improved mechanisms for
monitoring and addressing
non-compliance, promoting
accountability.