Assignment: Standards on Assessment Assignment: Standards on Assessment
Assignment: Standards on Assessment
Assignment: Standards on Assessment
9. Assessment
9.01 Bases for Assessments
(a) Psychologists base the opinions contained in their recommendations, reports, and diagnostic
or evaluative statements, including forensic testimony, on information and techniques sufficient
to substantiate their findings. (See also Standard 2.04, Bases for Scientific and
Professional Judgments.)
Psychological assessment serves the public good by providing information to
guide decisions affecting the well-being of individuals, families, groups, organizations,
and institutions. Psychologists who draw their conclusions on information
and techniques based on the scientific and professional knowledge of the discipline
are uniquely qualified to interpret the results of psychological assessments in ways
that merit the public trust. However, the public and the profession are harmed
when psychologists provide opinions unsubstantiated by information obtained or
drawn from data gathered through improper assessment techniques (Principle A:
Beneficence and Nonmaleficence and Principle B: Fidelity and Responsibility).
Standard 9.01a of the APA Ethics Code (APA, 2010c) prohibits psychologists from
providing written or oral opinions that cannot be sufficiently substantiated by the
information obtained or the techniques employed.
The standard is broadly worded to apply to all written and oral professional
opinions irrespective of information recipient, setting, or type of assessment.
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Information Recipient
The standard prohibits unfounded professional opinions offered to, among others,
(a) individual clients/patients or their representatives; (b) other professionals;
HMO
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268——PART II ENFORCEABLE STANDARDS
(c) third-party payors; (d) administrative and professional staff at schools, hospitals,
and other institutions; (e) businesses, agencies, and other organizations; (f) the
courts; (g) the military or other governing legal authorities; and (h) callers to talk
radio programs or those interacting with psychologists via the Internet or through
other media.
Setting
Standard 9.01a applies to (a) diagnostic opinions offered orally in the office of a
private practitioner; (b) written reports provided to clients/patients, other practitioners,
or third-party payors through the mail, the Internet, or other forms of
electronic transmission; (c) testimony provided in the courts; and (d) opinions
about an individual’s mental health offered over the Internet, radio, television, or
other electronic media.
Types of Assessment
The standard pertains to all unfounded opinions claiming to be based on any
form of evaluation, including but not limited to (a) standardized psychological,
educational, or neuropsychological tests; (b) diagnostic information gained
through clinical interviews; (c) collateral data obtained through discussions with
family members, teachers, employee supervisors, or other informants; (d) observational
techniques; or (e) brief discussion or correspondence with an individual via
radio, television, telephone, or the Internet.
Violations of this standard are often related to failure to comply with other standards,
including Standards 2.04, Bases for Scientific and Professional Judgments;
9.01b, Bases for Assessments; and 9.02b, Use of Assessments. The following are
examples of opinions based on insufficient information or techniques that would
be considered violations under this standard:
Testifying on the validity of a child abuse allegation based on the results of an idiosyncratic,
improperly constructed parent checklist of child behaviors
Diagnosing an adult with impaired decisional capacity as developmentally disabled
without taking a developmental history
Providing preemployment recommendations on the basis of a personality test with no
proven relationship to job performance
Submitting a diagnosis of neurological impairment to a health insurance company
based solely on information derived during therapy sessions
Informing parents that their preschooler is autistic on the basis of a single observational
session
Recommending a child for special education placement solely on the basis of scores
on a standardized intelligence test
FOR THE USE OF UNIVERSITY OF PHOENIX STUDENTS AND FACULTY ONLY.
NOT FOR DISTRIBUTION, SALE, OR REPRINTING.
ANY AND ALL UNAUTHORIZED USE IS STRICTLY PROHIBITED.
Copyright © 2013 by SAGE Publications, Inc.
Chapter 12 Standards on Assessment——269
Psychologists who knowingly provide unsubstantiated opinions in forensic,
school, or insurance reports fail to live up to the ideals of Principle C: Integrity
and may also find themselves in violation of Standard 5.01, Avoidance of False
or Deceptive Statements (see Hot Topic “Avoiding False and Deceptive Statements
in Scientific and Clinical Expert Testimony,” Chapter 8). However, psychologists
should also be alert to personal and professional biases that may affect their
choice and interpretation of instruments. For example, in a survey of forensic
experts testifying in cases of child sexual abuse allegations, Everson and Sandoval
(2011) found that evaluator disagreements could be explained, in part, by individual
differences in three forensic decision-making attitudes: (1) emphasis on
sensitivity, (2) emphasis on specificity, and (3) skepticism toward child reports
of abuse.
(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 and validity
of their opinions, and appropriately limit the nature and extent of their conclusions or recommendations.
(See also Standards 2.01, Boundaries of Competence, and 9.06, Interpreting
Assessment Results.)
Standard 9.01b specifically addresses the importance of in-person evaluations
of individuals about whom psychologists will offer a professional opinion.
Under this standard, with few exceptions, psychologists must conduct individual
examinations sufficient to obtain personal verification of information on which
to base their professional opinions and refrain from providing opinions about
the psychological characteristics of an individual if they themselves have not
conducted an examination of the individual adequate to support their statements
or conclusions. As video conferencing and other electronically mediated
sources of video communication become increasingly common, appropriately
conducted assessments via these media may meet the requirements of this standard
if the psychologist has had the appropriate preparatory training and the
validity of the video methods of assessment has been scientifically and clinically
established for use with members of the population tested (Standards 2.01e,
Boundaries of Competence; 2.04, Bases for Scientific and Professional Judgment;
9.02, Use of Assessments).
Offering a diagnosis of PTSD based on a 5-minute discussion with a listener to a radio
program hosted by the psychologist
Offering a diagnosis of bipolar disorder based on an individual’s comments on the
psychologist’s blog
Prescribing a psychotropic medication to an elderly patient complaining of memory
lapses without conducting a neuropsychological assessment
FOR THE USE OF UNIVERSITY OF PHOENIX STUDENTS AND FACULTY ONLY.
NOT FOR DISTRIBUTION, SALE, OR REPRINTING.
ANY AND ALL UNAUTHORIZED USE IS STRICTLY PROHIBITED.
Copyright © 2013 by SAGE Publications, Inc.
270——PART II ENFORCEABLE STANDARDS
Standard 9.01b also recognizes that in some cases, a personal examination may
not be possible. For example, an individual involved in a child custody suit, a disability
claim, or performance evaluation may refuse or, because of relocation or
other reasons, be unavailable for a personal examination. The standard requires
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