EPPP Ethical and Legal Issues Review: Core Principles
Foundations of the APA Ethics Code
The APA Ethics Code EPPP content focuses heavily on the distinction between the five General Principles and the ten Ethical Standards. The General Principles—Beneficence and Nonmaleficence, Fidelity and Responsibility, Integrity, Justice, and Respect for People's Rights and Dignity—are explicitly defined as aspirational. This means they do not represent enforceable rules but rather the underlying moral philosophy that should guide a psychologist's professional life. On the exam, these principles are often the rationale behind the specific enforceable standards. For instance, the principle of Nonmaleficence (doing no harm) is the mechanical driver behind the standard prohibiting sexual intimacies with clients. When answering questions, candidates must identify whether a behavior violates an enforceable standard (e.g., Standard 3.05 regarding multiple relationships) or merely falls short of an aspirational goal. The exam frequently tests the hierarchy of these rules, requiring candidates to know that the Preamble and General Principles are not used by the Ethics Committee to sanction members, whereas the Ethical Standards are mandatory and subject to adjudication.
Applying Ethical Decision-Making Models
When a psychologist faces a situation where two ethical values conflict, they must employ ethical decision-making models to reach a resolution. The EPPP often assesses the process rather than just the outcome. A standard model involves identifying the relevant ethical issues, consulting existing guidelines, evaluating the rights and responsibilities of all affected parties, and generating alternative courses of action. One frequently cited framework is the Knapp and VandeCreek’s integrated model, which encourages moving from "remedial ethics" (simply avoiding punishment) to "positive ethics" (striving for the highest professional ideal). In a simulated exam scenario, if a psychologist is unsure how to proceed, the "correct" answer often involves a specific sequence: consulting with a colleague or an ethics committee, reviewing the relevant literature/code, and documenting the reasoning process. Documentation is a critical scoring point; if an action is not documented, the psychologist lacks a defense against claims of negligence or ethical misconduct. The exam rewards candidates who recognize that ethical behavior is a proactive, deliberative process rather than a static set of prohibitions.
Distinguishing Ethics from Law
Candidates must master the friction between professional ethics and legal issues in psychology. While ethics represent the standards of the profession, laws represent the mandates of the jurisdiction. A common exam pitfall is failing to recognize what happens when the two conflict. According to Standard 1.02, if a psychologist’s ethical responsibilities conflict with law, regulations, or other governing legal authority, the psychologist must make known their commitment to the Ethics Code and take steps to resolve the conflict. However, if the conflict is unresolvable via those means, psychologists may adhere to the requirements of the law. This is a shift from older versions of the code and emphasizes that psychologists are not required to violate the law. A primary example is the Health Insurance Portability and Accountability Act (HIPAA), which may have stricter requirements for record access than the APA code. In such cases, the law (HIPAA) takes precedence. Understanding this hierarchy is vital for questions involving court orders, subpoenas, and state-specific statutes that might mandate actions otherwise restricted by ethical guidelines.
Confidentiality, Privilege, and Mandatory Reporting
Defining Confidentiality and Its Limits
Confidentiality EPPP questions focus on the psychologist's ethical obligation to protect client information from unauthorized disclosure. This is an ontological duty that begins the moment a professional relationship is contemplated. However, the exam focuses heavily on the "limits" to this duty. Psychologists must discuss these limits during the informed consent process, typically at the outset of therapy. Mechanical triggers for breaching confidentiality include the "Duty to Protect" (originating from the Tarasoff v. Regents of the University of California case), where a psychologist must take reasonable steps to protect an identifiable victim from a serious threat of physical violence. It is important to note that state laws vary on whether this is a "duty to warn" (contacting the victim) or a "duty to protect" (which might involve hospitalization or notifying police). On the EPPP, the focus is on the psychologist's responsibility to act when a specific, imminent threat is made toward a third party. Other limits include cases where the client is a danger to themselves, though the least restrictive intervention is usually the ethically preferred starting point.
Understanding Legal Privileges
While confidentiality is an ethical duty, privileged communication is a legal concept that prevents the disclosure of confidential information in legal proceedings. The "privilege" belongs to the client, not the psychologist. This means only the client (or their legal guardian) can waive privilege to allow the psychologist to testify or release records. On the EPPP, questions often involve a psychologist receiving a subpoena. Candidates must distinguish between a subpoena (which requires a response but not necessarily the release of records) and a court order (which typically mandates the release of information). If a psychologist receives a subpoena for records without the client's consent, the standard procedure is to contact the client, discuss the implications, and if the client objects, the psychologist may need to file a motion to quash or seek a protective order. This legal mechanism ensures that the psychologist does not inadvertently violate the client's rights while still respecting the judicial system's power.
Mandatory Reporting Laws for Abuse
Every jurisdiction has mandatory reporting laws that override the duty of confidentiality. These laws typically apply to the suspected abuse or neglect of children, the elderly, and sometimes dependent adults. On the EPPP, the threshold for reporting is usually "reasonable suspicion" rather than absolute proof. A psychologist does not conduct their own investigation to confirm the abuse; doing so could interfere with a forensic investigation and exceeds the psychologist's scope of practice. The report must be made immediately to the appropriate authorities (e.g., Child Protective Services). A key distinction for the exam is that while reporting past child abuse is mandatory, reporting a client’s past crimes (that do not involve current child/elder abuse) is generally not permitted if it violates confidentiality. Furthermore, if a client discloses that they were abused as a child, and there is no reason to suspect that the perpetrator is currently in a position to abuse other children, a report may not be legally required, though state laws vary. For EPPP purposes, the safety of the protected class (child/elder) is always the priority.
Competence and Professional Boundaries
Maintaining Competence Through Continuing Education
Competence is the bedrock of ethical practice. Standard 2.01 requires psychologists to provide services, teach, and conduct research only within the boundaries of their competence, based on their education, training, supervised experience, consultation, or professional experience. The EPPP assesses knowledge of how competence is maintained and expanded. Continuing Education (CE) is not just a licensure requirement but an ethical necessity to stay current with evolving evidence-based practices. When a psychologist wishes to move into a new area of practice (e.g., transitioning from adult therapy to neuropsychological assessment), they must undergo relevant education and supervision. The exam often tests the "referral" mechanism: if a psychologist lacks the competence to treat a specific condition and cannot reasonably obtain it in a timely manner, the ethical course of action is to refer the client to a qualified professional. Competence also involves self-care; psychologists must recognize when their own personal problems—such as burnout or substance use—interfere with their work, a concept known as professional impairment.
Managing Multiple Relationships
A multiple relationship occurs when a psychologist is in a professional role with a person and at the same time is in another role with that person, or with someone closely associated with that person. Standard 3.05 states that multiple relationships are not inherently unethical unless they are "reasonably expected to impair the psychologist's objectivity, competence, or effectiveness" or risk exploitation or harm. The EPPP tests the ability to evaluate risk in these scenarios. For example, a psychologist treating a client while also entering a business partnership with them is a clear violation because it compromises objectivity. Conversely, in small, rural communities, multiple relationships may be unavoidable. In such cases, the psychologist must take steps to minimize harm, such as seeking consultation and maintaining clear boundaries. Sexual intimacies with current clients are strictly prohibited (Standard 10.05) and represent a per se violation, often leading to immediate loss of licensure and high malpractice liability.
Providing Services in Areas of Emergent Competence
In some situations, such as emergencies or in underserved areas, a psychologist may be called upon to provide services for which they do not have full training. The APA Ethics Code allows for this under Standard 2.02, provided that the psychologist makes a good-faith effort to obtain the necessary knowledge and ceases the service as soon as the emergency has ended or appropriate services are available. This is often referred to as emergent competence. On the EPPP, questions might describe a crisis in a rural town where no specialist is available. The ethical action is for the local psychologist to provide the best possible care while seeking remote supervision or consultation, rather than abandoning the person in need. This demonstrates the principle of Beneficence. However, the psychologist must be transparent with the client about the limits of their expertise. This nuanced approach balances the need for immediate care against the requirement for specialized training, ensuring that the psychologist's actions remain grounded in the best interests of the public.
Assessment, Diagnosis, and Forensic Ethics
Ethical Use of Psychological Tests
The EPPP requires deep knowledge of the ethical standards governing assessment (Standards 9.01 to 9.11). Psychologists must use assessment instruments whose validity and reliability have been established for use with members of the population tested. A critical concept is test security; psychologists must make reasonable efforts to maintain the integrity and security of test materials, such as manuals, instruments, and protocols. This is distinct from "test data," which includes raw and scaled scores. Under HIPAA, clients generally have the right to access their test data, but psychologists may withhold it to protect the client from substantial harm or to protect the security of the test itself. Furthermore, when interpreting results, psychologists must account for the purpose of the assessment as well as various test factors (e.g., situational, personal, linguistic, and cultural differences) that might affect the accuracy of the interpretations. Automated scoring services do not absolve the psychologist of responsibility; the clinician remains the final authority on the interpretation of the data.
Issues in Diagnosis and Labeling
Ethical diagnosis involves more than just matching symptoms to the DSM-5-TR; it requires an understanding of the impact of labels on the client. Psychologists must avoid over-diagnosing or misdiagnosing for the purpose of insurance reimbursement, a practice known as upcoding, which is both unethical and fraudulent. Conversely, "downcoding" to avoid the stigma of a severe diagnosis can also be problematic as it leads to inaccurate records. The EPPP may present scenarios where a client's cultural background affects symptom presentation. Ethical practice requires the psychologist to distinguish between a mental disorder and a culturally sanctioned response to a stressor. Furthermore, psychologists must be mindful of the self-fulfilling prophecy inherent in labeling, where a diagnosis may negatively impact a client's self-concept or legal standing. The ethical requirement is to provide an accurate, evidence-based diagnosis while minimizing the potential for misuse of that information by third parties or the client themselves.
Special Considerations in Forensic Evaluations
Forensic psychology involves the application of psychological knowledge to legal questions. The ethical standards here differ significantly from clinical practice. In a forensic evaluation, the "client" is often the court or an attorney, not the individual being evaluated. This means the traditional rules of confidentiality are altered. The psychologist must provide a Forensic Informed Consent, explaining that the results of the evaluation will likely be shared in a public report or testimony and that no therapist-client relationship is being formed. A major EPPP focus is the prohibition of dual roles in forensics; a psychologist should generally not serve as both a treating therapist and an expert witness for the same client. This is because the role of a therapist is that of an advocate, while the role of a forensic expert is that of an objective evaluator. Mixing these roles creates an irreconcilable conflict of interest that undermines the psychologist's credibility and the integrity of the legal process.
Legal Statutes Governing Practice
Licensure Laws and Scope of Practice
Licensure is a function of the police power of the state, intended to protect the public from incompetent or unethical practitioners. Each jurisdiction has a "Practice Act" that defines the scope of practice for psychologists. On the EPPP, it is important to understand that while the exam is national, the legal authority to practice is local. The Association of State and Provincial Psychology Boards (ASPPB) provides the Model Act, which many states follow, but variations exist. A common topic is the unauthorized practice of psychology by unlicensed individuals. Psychologists have an ethical duty to report such behavior if it poses a risk to the public. Additionally, the concept of reciprocity and the Psychology Interjurisdictional Compact (PSYPACT) are becoming increasingly relevant. These allow for temporary practice across state lines, but psychologists must still adhere to the laws of the state where the client is located. Understanding who can use the title "psychologist"—typically only those with a doctoral degree who have met state-specific licensure requirements—is a fundamental regulatory fact tested on the exam.
Malpractice and Risk Management
Malpractice is a civil tort that occurs when a psychologist is negligent in their professional duties. To succeed in a malpractice suit, a plaintiff must prove four elements: (1) a professional relationship was established (Duty), (2) the psychologist breached that duty (Breach), (3) the client suffered a measurable injury (Harm), and (4) the breach of duty was the direct and proximate cause of the harm (Causation). The EPPP often tests risk management strategies designed to prevent malpractice. The most effective strategy is maintaining a high standard of care, which is defined as what a reasonably prudent psychologist would do in similar circumstances. Other strategies include thorough documentation, obtaining informed consent, and seeking consultation in difficult cases. It is important to distinguish between an "error in judgment" and "negligence." A psychologist is not liable for a poor outcome if they followed standard professional procedures. However, failing to assess for suicide in a depressed client who then attempts suicide could be seen as a breach of the standard of care.
Record-Keeping and Documentation Standards
Documentation serves as the primary evidence of a psychologist's professional conduct. The APA Record Keeping Guidelines suggest that records should include the nature, delivery, and progress of services, as well as billing information. On the EPPP, the duration of record retention is a frequent question. While state laws vary, the APA suggests retaining full records for at least seven years after the last date of service for adults, and for minors, for seven years or until three years after the minor reaches the age of majority (whichever is longer). Records must be stored securely to maintain confidentiality, and psychologists must have a professional will in place to ensure that records are managed appropriately in the event of their death or disability. The mechanical process of documentation should be contemporaneous; delaying notes for weeks or months undermines their legal and clinical utility. In the context of the EPPP, "if it isn't written down, it didn't happen" is the guiding principle for assessing the adequacy of professional behavior in clinical vignettes.
Emerging Ethical Challenges
Ethics in Telepsychology and Digital Practice
The rapid expansion of telepsychology has introduced new ethical complexities. Psychologists must ensure they are competent in the technology they use and that the platforms are HIPAA-compliant to protect data privacy. A major EPPP focus is the issue of jurisdictional practice. Generally, the psychologist must be licensed in the state where the client is physically located at the time of the session. This requires verifying the client's location at the start of every meeting. Additionally, psychologists must develop an emergency plan for telepsychology clients, such as identifying local emergency services, since the psychologist is not physically present to intervene in a crisis. There are also unique challenges regarding informed consent in digital practice, including the risks of technology failure and the potential for unauthorized access to electronic communications. Psychologists must also manage their "digital footprint," ensuring that personal social media profiles do not compromise professional boundaries or client confidentiality.
Cultural Competence and Ethical Service Delivery
Ethical practice is inextricably linked to cultural competence. Standard 2.01(b) requires psychologists to have the necessary knowledge to provide effective services to diverse populations. This involves recognizing how factors such as age, gender, race, ethnicity, culture, national origin, religion, sexual orientation, disability, and socioeconomic status impact the psychological process. On the EPPP, cultural competence is not just about sensitivity; it is about the mechanical application of appropriate norms in assessment and the selection of interventions that have been validated for specific groups. Failing to account for cultural differences can lead to misdiagnosis or harmful treatment, which violates the principle of Nonmaleficence. Psychologists must also be aware of their own implicit biases and how these may affect their clinical judgment. The exam rewards candidates who choose actions that demonstrate an active effort to adapt practice to the client's cultural context, such as using a qualified interpreter rather than a family member for a non-English speaking client.
Ethical Billing and Financial Practices
Financial arrangements must be transparent and established early in the professional relationship. Standard 6.04 requires psychologists to reach an agreement with clients as soon as is feasible regarding compensation and billing. The EPPP tests knowledge of prohibited practices, such as fee-splitting, where a psychologist pays or receives a percentage of a fee for a referral. This is seen as a conflict of interest that compromises the psychologist's objectivity. Bartering (exchanging services for goods or non-monetary services) is permitted only if it is not clinically contraindicated and not exploitative. However, bartering for services (e.g., a client providing housecleaning in exchange for therapy) is generally discouraged due to the high risk of boundary blurring and the difficulty of determining fair market value. Regarding unpaid fees, psychologists may use collection agencies, but they must first notify the client and provide an opportunity for payment. They may only disclose the minimum necessary information (e.g., name, amount owed) to the collection service, preserving the client's clinical confidentiality to the greatest extent possible.