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Specialty Guidelines for Forensic Psychology

American Psychological Association

In the past 50 years forensic psychological practice has educational systems including, but not limited to, examin-
expanded dramatically. The American Psychological As- ing or treating persons in anticipation of or subsequent to
sociation (APA) has a division devoted to matters of law legal, contractual, or administrative proceedings; offering
and psychology (APA Division 41, the American Psy- expert opinion about psychological issues in the form of
chologyLaw Society), a number of scientific journals de- amicus briefs or testimony to judicial, legislative, or ad-
voted to interactions between psychology and the law exist ministrative bodies; acting in an adjudicative capacity;
(e.g., Law and Human Behavior; Psychology, Public Pol- serving as a trial consultant or otherwise offering expertise
icy, and Law; Behavioral Sciences & the Law), and a to attorneys, the courts, or others; conducting research in
number of key texts have been published and undergone connection with, or in the anticipation of, litigation; or
multiple revisions (e.g., Grisso, 1986, 2003; Melton, Pe- involvement in educational activities of a forensic nature.
trila, Poythress, & Slobogin, 1987, 1997, 2007; Rogers, Psychological practice is not considered forensic
1988, 1997, 2008). In addition, training in forensic psy- solely because the conduct takes place in, or the product is
chology is available in predoctoral, internship, and post- presented in, a tribunal or other judicial, legislative, or
doctoral settings, and APA recognized forensic psychology administrative forum. For example, when a party (such as
as a specialty in 2001, with subsequent recertification in a civilly or criminally detained individual) or another in-
2008. dividual (such as a child whose parents are involved in
Because the practice of forensic psychology differs in divorce proceedings) is ordered into treatment with a prac-
important ways from more traditional practice areas (Mo- titioner, that treatment is not necessarily the practice of
nahan, 1980) the Specialty Guidelines for Forensic Psy- forensic psychology. In addition, psychological testimony
chologists were developed and published in 1991 (Com- that is solely based on the provision of psychotherapy and
mittee on Ethical Guidelines for Forensic Psychologists, does not include psycholegal opinions is not ordinarily
1991). Because of continued developments in the field in considered forensic practice.
the ensuing 20 years, forensic practitioners ongoing need For the purposes of these Guidelines, forensic practi-
for guidance, and policy requirements of APA, the 1991 tioner refers to a psychologist when engaged in the practice
Specialty Guidelines for Forensic Psychologists were of forensic psychology as described above. Such profes-
revised, with the intent of benefiting forensic practitioners sional conduct is considered forensic from the time the
and recipients of their services alike. practitioner reasonably expects to, agrees to, or is legally
The goals of these Specialty Guidelines for Forensic mandated to provide expertise on an explicitly psycholegal
Psychology (the Guidelines) are to improve the quality of issue.
forensic psychological services; enhance the practice and The provision of forensic services may include a wide
facilitate the systematic development of forensic psychol- variety of psycholegal roles and functions. For example, as
ogy; encourage a high level of quality in professional
practice; and encourage forensic practitioners to acknowl-
edge and respect the rights of those they serve. These This article was published Online First October 1, 2012.
Guidelines are intended for use by psychologists when These Specialty Guidelines for Forensic Psychology were developed
by the American PsychologyLaw Society (Division 41 of the American
engaged in the practice of forensic psychology as described Psychological Association [APA]) and the American Academy of Foren-
below and may also provide guidance on professional sic Psychology. They were adopted by the APA Council of Representa-
conduct to the legal system and other organizations and tives on August 3, 2011.
professions. The previous version of the Guidelines (Specialty Guidelines for
Forensic Psychologists; Committee on Ethical Guidelines for Forensic
For the purposes of these Guidelines, forensic psy- Psychologists, 1991) was approved by the American PsychologyLaw
chology refers to professional practice by any psychologist Society (Division 41 of APA) and the American Academy of Forensic
working within any subdiscipline of psychology (e.g., clin- Psychology in 1991. The current revision, now called the Specialty
ical, developmental, social, cognitive) when applying the Guidelines for Forensic Psychology (referred to as the Guidelines
throughout this document), replaces the 1991 Specialty Guidelines for
scientific, technical, or specialized knowledge of psychol- Forensic Psychologists.
ogy to the law to assist in addressing legal, contractual, and These guidelines are scheduled to expire August 3, 2021. After this
administrative matters. Application of the Guidelines does date, users are encouraged to contact the American Psychological Asso-
not depend on the practitioners typical areas of practice or ciation Practice Directorate to confirm that this document remains in
effect.
expertise, but rather, on the service provided in the case at Correspondence concerning these guidelines should be addressed to
hand. These Guidelines apply in all matters in which psy- the Practice Directorate, American Psychological Association, 750 First
chologists provide expertise to judicial, administrative, and Street, NE, Washington, DC 20002-4242.

January 2013 American Psychologist 7


2012 American Psychological Association 0003-066X/12/$12.00
Vol. 68, No. 1, 719 DOI: 10.1037/a0029889
researchers, forensic practitioners may participate in the The Guidelines are not intended to serve as a basis for
collection and dissemination of data that are relevant to disciplinary action or civil or criminal liability. The stan-
various legal issues. As advisors, forensic practitioners may dard of care is established by a competent authority, not by
provide an attorney with an informed understanding of the the Guidelines. No ethical, licensure, or other administra-
role that psychology can play in the case at hand. As tive action or remedy, nor any other cause of action, should
consultants, forensic practitioners may explain the practical be taken solely on the basis of a forensic practitioner acting
implications of relevant research, examination findings, in a manner consistent or inconsistent with these Guide-
and the opinions of other psycholegal experts. As examin- lines.
ers, forensic practitioners may assess an individuals func- In cases in which a competent authority references the
tioning and report findings and opinions to the attorney, a Guidelines when formulating standards, the authority
legal tribunal, an employer, an insurer, or others (APA, should consider that the Guidelines attempt to identify a
2010b, 2011a). As treatment providers, forensic practitio- high level of quality in forensic practice. Competent prac-
ners may provide therapeutic services tailored to the issues tice is defined as the conduct of a reasonably prudent
and context of a legal proceeding. As mediators or nego- forensic practitioner engaged in similar activities in similar
tiators, forensic practitioners may serve in a third-party circumstances. Professional conduct evolves and may be
neutral role and assist parties in resolving disputes. As viewed along a continuum of adequacy, and minimally
arbiters, special masters, or case managers with decision- competent and best possible are usually different points
making authority, forensic practitioners may serve parties, along that continuum.
attorneys, and the courts (APA, 2011b). The Guidelines are designed to be national in scope
These Guidelines are informed by APAs Ethical and are intended to be consistent with state and federal law.
Principles of Psychologists and Code of Conduct (herein- In cases in which a conflict between legal and professional
after referred to as the EPPCC; APA, 2010a). The term obligations occurs, forensic practitioners make known their
guidelines refers to statements that suggest or recommend commitment to the EPPCC and the Guidelines and take
specific professional behavior, endeavors, or conduct for steps to achieve an appropriate resolution consistent with
psychologists. Guidelines differ from standards in that the EPPCC and the Guidelines.
standards are mandatory and may be accompanied by an The format of the Guidelines is different from most
other practice guidelines developed under the auspices of
enforcement mechanism. Guidelines are aspirational in in-
APA. This reflects the history of the Guidelines as well as
tent. They are intended to facilitate the continued system-
the fact that the Guidelines are considerably broader in
atic development of the profession and facilitate a high
scope than any other APA-developed guidelines. Indeed,
level of practice by psychologists. Guidelines are not in-
these are the only APA-approved guidelines that address a
tended to be mandatory or exhaustive and may not be
complete specialty practice area. Despite this difference in
applicable to every professional situation. They are not format, the Guidelines function as all other APA guideline
definitive, and they are not intended to take precedence documents.
over the judgment of psychologists. This document replaces the 1991 Specialty Guide-
As such, the Guidelines are advisory in areas in which lines for Forensic Psychologists, which were approved by
the forensic practitioner has discretion to exercise profes- the American PsychologyLaw Society (Division 41 of
sional judgment that is not prohibited or mandated by the APA) and the American Board of Forensic Psychology.
EPPCC or applicable law, rules, or regulations. The Guide- The current revision has also been approved by the Council
lines neither add obligations to nor eliminate obligations of Representatives of APA. Appendix A includes a discus-
from the EPPCC but provide additional guidance for psy- sion of the revision process, enactment, and current status
chologists. The modifiers used in the Guidelines (e.g., of these Guidelines. Appendix B includes definitions and
reasonably, appropriate, potentially) are included in rec- terminology as used for the purposes of these Guidelines.
ognition of the need for professional judgment on the part
of forensic practitioners; ensure applicability across the 1. Responsibilities
broad range of activities conducted by forensic practitio-
ners; and reduce the likelihood of enacting an inflexible set Guideline 1.01: Integrity
of guidelines that might be inapplicable as forensic practice Forensic practitioners strive for accuracy, honesty, and
evolves. The use of these modifiers, and the recognition of truthfulness in the science, teaching, and practice of foren-
the role of professional discretion and judgment, also re- sic psychology and they strive to resist partisan pressures to
flects that forensic practitioners are likely to encounter facts provide services in any ways that might tend to be mis-
and circumstances not anticipated by the Guidelines and leading or inaccurate.
they may have to act upon uncertain or incomplete evi-
dence. The Guidelines may provide general or conceptual Guideline 1.02: Impartiality and Fairness
guidance in such circumstances. The Guidelines do not, When offering expert opinion to be relied upon by a deci-
however, exhaust the legal, professional, moral, and ethical sion maker, providing forensic therapeutic services, or
considerations that inform forensic practitioners, for no teaching or conducting research, forensic practitioners
complex activity can be completely defined by legal rules, strive for accuracy, impartiality, fairness, and indepen-
codes of conduct, and aspirational guidelines. dence (EPPCC Standard 2.01). Forensic practitioners rec-

8 January 2013 American Psychologist


ognize the adversarial nature of the legal system and strive ject matter in question. Even with regard to subjects in
to treat all participants and weigh all data, opinions, and which they are expert, forensic practitioners may choose to
rival hypotheses impartially. consult with colleagues.
When conducting forensic examinations, forensic
practitioners strive to be unbiased and impartial, and avoid Guideline 2.02: Gaining and Maintaining
partisan presentation of unrepresentative, incomplete, or Competence
inaccurate evidence that might mislead finders of fact. This
Competence can be acquired through various combinations
guideline does not preclude forceful presentation of the
of education, training, supervised experience, consultation,
data and reasoning upon which a conclusion or professional
study, and professional experience. Forensic practitioners
product is based.
planning to provide services, teach, or conduct research
When providing educational services, forensic practi-
involving populations, areas, techniques, or technologies
tioners seek to represent alternative perspectives, including
that are new to them are encouraged to undertake relevant
data, studies, or evidence on both sides of the question, in
education, training, supervised experience, consultation, or
an accurate, fair and professional manner, and strive to
study.
weigh and present all views, facts, or opinions impartially.
Forensic practitioners make ongoing efforts to de-
When conducting research, forensic practitioners seek
velop and maintain their competencies (EPPCC Standard
to represent results in a fair and impartial manner. Forensic
2.03). To maintain the requisite knowledge and skill, fo-
practitioners strive to utilize research designs and scientific
rensic practitioners keep abreast of developments in the
methods that adequately and fairly test the questions at
fields of psychology and the law.
hand, and they attempt to resist partisan pressures to de-
velop designs or report results in ways that might be Guideline 2.03: Representing Competencies
misleading or unfairly bias the results of a test, study, or
evaluation. Consistent with the EPPCC, forensic practitioners ade-
quately and accurately inform all recipients of their
Guideline 1.03: Avoiding Conflicts of Interest services (e.g., attorneys, tribunals) about relevant as-
Forensic practitioners refrain from taking on a professional pects of the nature and extent of their experience, train-
role when personal, scientific, professional, legal, financial, ing, credentials, and qualifications, and how they were
or other interests or relationships could reasonably be ex- obtained (EPPCC Standard 5.01).
pected to impair their impartiality, competence, or effec-
tiveness, or expose others with whom a professional rela- Guideline 2.04: Knowledge of the Legal
tionship exists to harm (EPPCC Standard 3.06). System and the Legal Rights of Individuals
Forensic practitioners are encouraged to identify, Forensic practitioners recognize the importance of obtain-
make known, and address real or apparent conflicts of ing a fundamental and reasonable level of knowledge and
interest in an attempt to maintain the public confidence and understanding of the legal and professional standards, laws,
trust, discharge professional obligations, and maintain re- rules, and precedents that govern their participation in legal
sponsibility, impartiality, and accountability (EPPCC Stan- proceedings and that guide the impact of their services on
dard 3.06). Whenever possible, such conflicts are revealed service recipients (EPPCC Standard 2.01).
to all parties as soon as they become known to the psy- Forensic practitioners aspire to manage their profes-
chologist. Forensic practitioners consider whether a pru- sional conduct in a manner that does not threaten or impair
dent and competent forensic practitioner engaged in similar the rights of affected individuals. They may consult with,
circumstances would determine that the ability to make a and refer others to, legal counsel on matters of law. Al-
proper decision is likely to become impaired under the though they do not provide formal legal advice or opinions,
immediate circumstances. forensic practitioners may provide information about the
When a conflict of interest is determined to be man- legal process to others based on their knowledge and ex-
ageable, continuing services are provided and documented perience. They strive to distinguish this from legal opin-
in a way to manage the conflict, maintain accountability, ions, however, and encourage consultation with attorneys
and preserve the trust of relevant others (also see Guideline as appropriate.
4.02 below).
Guideline 2.05: Knowledge of the Scientific
2. Competence Foundation for Opinions and Testimony
Guideline 2.01: Scope of Competence
Forensic practitioners seek to provide opinions and testi-
When determining ones competence to provide services in mony that are sufficiently based upon adequate scientific
a particular matter, forensic practitioners may consider a foundation, and reliable and valid principles and methods
variety of factors including the relative complexity and that have been applied appropriately to the facts of the case.
specialized nature of the service, relevant training and When providing opinions and testimony that are based
experience, the preparation and study they are able to on novel or emerging principles and methods, forensic
devote to the matter, and the opportunity for consultation practitioners seek to make known the status and limitations
with a professional of established competence in the sub- of these principles and methods.

January 2013 American Psychologist 9


Guideline 2.06: Knowledge of the Scientific compensation for their services. In the event that a client
Foundation for Teaching and Research breaches the contract or acts in a way that would require the
Forensic practitioners engage in teaching and research ac- practitioner to violate ethical, legal or professional obliga-
tivities in which they have adequate knowledge, experi- tions, the forensic practitioner may terminate the relation-
ence, and education (EPPCC Standard 2.01), and they ship.
acknowledge relevant limitations and caveats inherent in Forensic practitioners strive to act with reasonable
procedures and conclusions (EPPCC Standard 5.01). diligence and promptness in providing agreed-upon and
reasonably anticipated services. Forensic practitioners are
Guideline 2.07: Considering the Impact of not bound, however, to provide services not reasonably
Personal Beliefs and Experience anticipated when retained, nor to provide every possible
Forensic practitioners recognize that their own cultures, aspect or variation of service. Instead, forensic practitioners
attitudes, values, beliefs, opinions, or biases may affect may exercise professional discretion in determining the
their ability to practice in a competent and impartial man- extent and means by which services are provided and
ner. When such factors may diminish their ability to prac- agreements are fulfilled.
tice in a competent and impartial manner, forensic practi-
tioners may take steps to correct or limit such effects, Guideline 3.02: Responsiveness
decline participation in the matter, or limit their participa- Forensic practitioners seek to manage their workloads so
tion in a manner that is consistent with professional obli- that services can be provided thoroughly, competently, and
gations. promptly. They recognize that acting with reasonable
Guideline 2.08: Appreciation of Individual promptness, however, does not require the forensic practi-
and Group Differences tioner to acquiesce to service demands not reasonably
anticipated at the time the service was requested, nor does
When scientific or professional knowledge in the disci- it require the forensic practitioner to provide services if the
pline of psychology establishes that an understanding of client has not acted in a manner consistent with existing
factors associated with age, gender, gender identity, agreements, including payment of fees.
race, ethnicity, culture, national origin, religion, sexual
orientation, disability, language, socioeconomic status, Guideline 3.03: Communication
or other relevant individual and cultural differences af-
Forensic practitioners strive to keep their clients reasonably
fects implementation or use of their services or research,
informed about the status of their services, comply with
forensic practitioners consider the boundaries of their
their clients reasonable requests for information, and con-
expertise, make an appropriate referral if indicated, or
sult with their clients about any substantial limitation on
gain the necessary training, experience, consultation, or
their conduct or performance that may arise when they
supervision (EPPCC Standard 2.01; APA, 2003, 2004,
reasonably believe that their clients expect a service that is
2011c, 2011d, 2011e).
not consistent with their professional obligations. Forensic
Forensic practitioners strive to understand how factors
practitioners attempt to keep their clients reasonably in-
associated with age, gender, gender identity, race, ethnic-
formed regarding new facts, opinions, or other potential
ity, culture, national origin, religion, sexual orientation,
evidence that may be relevant and applicable.
disability, language, socioeconomic status, or other rele-
vant individual and cultural differences may affect and be Guideline 3.04: Termination of Services
related to the basis for peoples contact and involvement
with the legal system. The forensic practitioner seeks to carry through to conclu-
Forensic practitioners do not engage in unfair discrim- sion all matters undertaken for a client unless the forensic
ination based on such factors or on any basis proscribed by practitioner client relationship is terminated. When a fo-
law (EPPCC Standard 3.01). They strive to take steps to rensic practitioners employment is limited to a specific
correct or limit the effects of such factors on their work, matter, the relationship may terminate when the matter has
decline participation in the matter, or limit their participa- been resolved, anticipated services have been completed, or
tion in a manner that is consistent with professional obli- the agreement has been violated.
gations. 4. Relationships
Guideline 2.09: Appropriate Use of Services
and Products Whether a forensic practitioner client relationship exists
depends on the circumstances and is determined by a
Forensic practitioners are encouraged to make reasonable number of factors which may include the information ex-
efforts to guard against misuse of their services and exer- changed between the potential client and the forensic prac-
cise professional discretion in addressing such misuses. titioner prior to, or at the initiation of, any contact or
3. Diligence service, the nature of the interaction, and the purpose of the
interaction.
Guideline 3.01: Provision of Services In their work, forensic practitioners recognize that
Forensic practitioners are encouraged to seek explicit relationships are established with those who retain their
agreements that define the scope of, time-frame of, and services (e.g., retaining parties, employers, insurers, the

10 January 2013 American Psychologist


court) and those with whom they interact (e.g., examinees, quential forensic and therapeutic services, forensic practi-
collateral contacts, research participants, students). Foren- tioners are encouraged to disclose the potential risk and
sic practitioners recognize that associated obligations and make reasonable efforts to refer the request to another
duties vary as a function of the nature of the relationship. qualified provider. If referral is not possible, the forensic
practitioner is encouraged to consider the risks and benefits
Guideline 4.01: Responsibilities to Retaining
to all parties and to the legal system or entity likely to be
Parties
impacted, the possibility of separating each service widely
Most responsibilities to the retaining party attach only after in time, seeking judicial review and direction, and consult-
the retaining party has requested and the forensic practi- ing with knowledgeable colleagues. When providing both
tioner has agreed to render professional services and an forensic and therapeutic services, forensic practitioners
agreement regarding compensation has been reached. Fo- seek to minimize the potential negative effects of this
rensic practitioners are aware that there are some respon- circumstance (EPPCC Standard 3.05).
sibilities, such as privacy, confidentiality, and privilege,
that may attach when the forensic practitioner agrees to Guideline 4.02.02: Expert Testimony by
consider whether a forensic practitionerretaining party Practitioners Providing Therapeutic Services
relationship shall be established. Forensic practitioners, Providing expert testimony about a patient who is a par-
prior to entering into a contract, may direct the potential ticipant in a legal matter does not necessarily involve the
retaining party not to reveal any confidential or privileged practice of forensic psychology even when that testimony
information as a way of protecting the retaining partys is relevant to a psycholegal issue before the decision
interest in case a conflict exists as a result of pre-existing maker. For example, providing testimony on matters such
relationships. as a patients reported history or other statements, mental
At the initiation of any request for service, forensic status, diagnosis, progress, prognosis, and treatment would
practitioners seek to clarify the nature of the relationship not ordinarily be considered forensic practice even when
and the services to be provided including the role of the the testimony is related to a psycholegal issue before the
forensic practitioner (e.g., trial consultant, forensic exam- decision maker. In contrast, rendering opinions and pro-
iner, treatment provider, expert witness, research consul- viding testimony about a person on psycholegal issues
tant); which person or entity is the client; the probable uses (e.g., criminal responsibility, legal causation, proximate
of the services provided or information obtained; and any cause, trial competence, testamentary capacity, the relative
limitations to privacy, confidentiality, or privilege. merits of parenting arrangements) would ordinarily be con-
sidered the practice of forensic psychology.
Guideline 4.02: Multiple Relationships
Consistent with their ethical obligations to base their
A multiple relationship occurs when a forensic practitioner opinions on information and techniques sufficient to sub-
is in a professional role with a person and, at the same time stantiate their findings (EPPCC Standards 2.04, 9.01), fo-
or at a subsequent time, is in a different role with the same rensic practitioners are encouraged to provide testimony
person; is involved in a personal, fiscal, or other relation- only on those issues for which they have adequate founda-
ship with an adverse party; at the same time is in a rela- tion and only when a reasonable forensic practitioner en-
tionship with a person closely associated with or related to gaged in similar circumstances would determine that the
the person with whom the forensic practitioner has the ability to make a proper decision is unlikely to be impaired.
professional relationship; or offers or agrees to enter into As with testimony regarding forensic examinees, the fo-
another relationship in the future with the person or a rensic practitioner strives to identify any substantive limi-
person closely associated with or related to the person tations that may affect the reliability and validity of the
(EPPCC Standard 3.05). facts or opinions offered, and communicates these to the
Forensic practitioners strive to recognize the potential decision maker.
conflicts of interest and threats to objectivity inherent in
multiple relationships. Forensic practitioners are encour- Guideline 4.02.03: Provision of Forensic
aged to recognize that some personal and professional Therapeutic Services
relationships may interfere with their ability to practice in Although some therapeutic services can be considered fo-
a competent and impartial manner and they seek to mini- rensic in nature, the fact that therapeutic services are or-
mize any detrimental effects by avoiding involvement in dered by the court does not necessarily make them forensic.
such matters whenever feasible or limiting their assistance In determining whether a therapeutic service should
in a manner that is consistent with professional obligations. be considered the practice of forensic psychology, psychol-
ogists are encouraged to consider the potential impact of
Guideline 4.02.01: TherapeuticForensic Role
the legal context on treatment, the potential for treatment to
Conflicts
impact the psycholegal issues involved in the case, and
Providing forensic and therapeutic psychological services whether another reasonable psychologist in a similar posi-
to the same individual or closely related individuals in- tion would consider the service to be forensic and these
volves multiple relationships that may impair objectivity Guidelines to be applicable.
and/or cause exploitation or other harm. Therefore, when Therapeutic services can have significant effects on
requested or ordered to provide either concurrent or se- current or future legal proceedings. Forensic practitioners

January 2013 American Psychologist 11


are encouraged to consider these effects and minimize any 6. Informed Consent, Notification,
unintended or negative effects on such proceedings or and Assent
therapy when they provide therapeutic services in forensic
contexts. Because substantial rights, liberties, and properties are of-
ten at risk in forensic matters, and because the methods and
Guideline 4.03: Provision of Emergency procedures of forensic practitioners are complex and may
Mental Health Services to Forensic not be accurately anticipated by the recipients of forensic
Examinees services, forensic practitioners strive to inform service re-
When providing forensic examination services an emer- cipients about the nature and parameters of the services to
gency may arise that requires the practitioner to provide be provided (EPPCC Standards 3.04, 3.10).
short-term therapeutic services to the examinee in order to
prevent imminent harm to the examinee or others. In such Guideline 6.01: Timing and Substance
cases the forensic practitioner is encouraged to limit dis- Forensic practitioners strive to inform clients, examinees,
closure of information and inform the retaining attorney, and others who are the recipients of forensic services as
legal representative, or the court in an appropriate manner. soon as is feasible about the nature and extent of reasonably
Upon providing emergency treatment to examinees, foren- anticipated forensic services.
sic practitioners consider whether they can continue in a In determining what information to impart, forensic
forensic role with that individual so that potential for harm practitioners are encouraged to consider a variety of factors
to the recipient of services is avoided (EPPCC Standard including the persons experience or training in psycholog-
3.04). ical and legal matters of the type involved and whether the
person is represented by counsel. When questions or un-
5. Fees certainties remain after they have made the effort to explain
Guideline 5.01: Determining Fees the necessary information, forensic practitioners may rec-
ommend that the person seek legal advice.
When determining fees forensic practitioners may consider
salient factors such as their experience providing the ser- Guideline 6.02: Communication With Those
vice, the time and labor required, the novelty and difficulty Seeking to Retain a Forensic Practitioner
of the questions involved, the skill required to perform the As part of the initial process of being retained, or as soon
service, the fee customarily charged for similar forensic thereafter as previously unknown information becomes
services, the likelihood that the acceptance of available, forensic practitioners strive to disclose to the
the particularba employment will preclude other employ- retaining party information that would reasonably be an-
ment, the time limitations imposed by the client or circum- ticipated to affect a decision to retain or continue the
stances, the nature and length of the professional relation- services of the forensic practitioner.
ship with the client, the clients ability to pay for the This disclosure may include, but is not limited to, the
service, and any legal requirements. fee structure for anticipated services; prior and current
Guideline 5.02: Fee Arrangements personal or professional activities, obligations, and rela-
tionships that would reasonably lead to the fact or the
Forensic practitioners are encouraged to make clear to the appearance of a conflict of interest; the forensic practitio-
client the likely cost of services whenever it is feasible, and ners knowledge, skill, experience, and education relevant
make appropriate provisions in those cases in which the to the forensic services being considered, including any
costs of services is greater than anticipated or the clients significant limitations; and the scientific bases and limita-
ability to pay for services changes in some way. tions of the methods and procedures which are expected to
Forensic practitioners seek to avoid undue influence be employed.
that might result from financial compensation or other
gains. Because of the threat to impartiality presented by the Guideline 6.03: Communication With
acceptance of contingent fees and associated legal prohi- Forensic Examinees
bitions, forensic practitioners strive to avoid providing pro- Forensic practitioners inform examinees about the nature
fessional services on the basis of contingent fees. Letters of and purpose of the examination (EPPCC Standard 9.03;
protection, financial guarantees, and other security for pay- American Educational Research Association, American
ment of fees in the future are not considered contingent fees Psychological Association, & National Council on Mea-
unless payment is dependent on the outcome of the matter. surement in Education [AERA, APA, & NCME], in press).
Guideline 5.03: Pro Bono Services Such information may include the purpose, nature, and
anticipated use of the examination; who will have access to
Forensic psychologists recognize that some persons may the information; associated limitations on privacy, confi-
have limited access to legal services as a function of dentiality, and privilege including who is authorized to
financial disadvantage and strive to contribute a portion of release or access the information contained in the forensic
their professional time for little or no compensation or practitioners records; the voluntary or involuntary nature
personal advantage (EPPCC Principle E). of participation, including potential consequences of par-

12 January 2013 American Psychologist


ticipation or nonparticipation, if known; and, if the cost of posed service or notifying the examinees attorney or the
the service is the responsibility of the examinee, the antic- retaining party.
ipated cost.
Guideline 6.03.04: Evaluation of Persons Not
Guideline 6.03.01: Persons Not Ordered or Represented by Counsel
Mandated to Undergo Examination Because of the significant rights that may be at issue in a
If the examinee is not ordered by the court to participate in legal proceeding, forensic practitioners carefully consider
a forensic examination, the forensic practitioner seeks his the appropriateness of conducting a forensic evaluation of
or her informed consent (EPPCC Standards 3.10, 9.03). If an individual who is not represented by counsel. Forensic
the examinee declines to proceed after being notified of the practitioners may consider conducting such evaluations or
nature and purpose of the forensic examination, the foren- delaying the evaluation so as to provide the examinee with
sic practitioner may consider postponing the examination, the opportunity to consult with counsel.
advising the examinee to contact his or her attorney, and Guideline 6.04: Communication With
notifying the retaining party about the examinees unwill- Collateral Sources of Information
ingness to proceed.
Forensic practitioners disclose to potential collateral
Guideline 6.03.02: Persons Ordered or sources information that might reasonably be expected to
Mandated to Undergo Examination or inform their decisions about participating that may include,
Treatment but may not be limited to, who has retained the forensic
If the examinee is ordered by the court to participate, the practitioner; the nature, purpose, and intended use of the
forensic practitioner can conduct the examination over the examination or other procedure; the nature of and any
objection, and without the consent, of the examinee (EP- limits on privacy, confidentiality, and privilege; and
PCC Standards 3.10, 9.03). If the examinee declines to whether their participation is voluntary (EPPCC Standard
proceed after being notified of the nature and purpose of the 3.10).
forensic examination, the forensic practitioner may con- Guideline 6.05: Communication in Research
sider a variety of options including postponing the exami- Contexts
nation, advising the examinee to contact his or her attorney,
and notifying the retaining party about the examinees When engaging in research or scholarly activities con-
unwillingness to proceed. ducted as a service to a client in a legal proceeding,
When an individual is ordered to undergo treatment forensic practitioners attempt to clarify any anticipated use
but the goals of treatment are determined by a legal au- of the research or scholarly product, disclose their role in
thority rather than the individual receiving services, the the resulting research or scholarly products, and obtain
forensic practitioner informs the service recipient of the whatever consent or agreement is required.
nature and purpose of treatment, and any limitations on In advance of any scientific study, forensic practitio-
confidentiality and privilege (EPPCC Standards 3.10, ners seek to negotiate with the client the circumstances
10.01). under and manner in which the results may be made known
to others. Forensic practitioners strive to balance the po-
Guideline 6.03.03: Persons Lacking Capacity tentially competing rights and interests of the retaining
to Provide Informed Consent party with the inappropriateness of suppressing data, for
example, by agreeing to report the data without identifying
Forensic practitioners appreciate that the very conditions the jurisdiction in which the study took place. Forensic
that precipitate psychological examination of individuals practitioners represent the results of research in an accurate
involved in legal proceedings can impair their functioning manner (EPPCC Standard 5.01).
in a variety of important ways, including their ability to
understand and consent to the evaluation process. 7. Conflicts in Practice
For examinees adjudicated or presumed by law to lack
the capacity to provide informed consent for the anticipated In forensic psychology practice, conflicting responsibilities
forensic service, the forensic practitioner nevertheless pro- and demands may be encountered. When conflicts occur,
vides an appropriate explanation, seeks the examinees forensic practitioners seek to make the conflict known to
assent, and obtains appropriate permission from a legally the relevant parties or agencies, and consider the rights and
authorized person, as permitted or required by law (EPPCC interests of the relevant parties or agencies in their attempts
Standards 3.10, 9.03). to resolve the conflict.
For examinees whom the forensic practitioner has
Guideline 7.01: Conflicts With Legal
concluded lack capacity to provide informed consent to a
Authority
proposed, non-court-ordered service, but who have not
been adjudicated as lacking such capacity, the forensic When their responsibilities conflict with law, regulations,
practitioner strives to take reasonable steps to protect their or other governing legal authority, forensic practitioners
rights and welfare (EPPCC Standard 3.10). In such cases, make known their commitment to the EPPCC, and take
the forensic practitioner may consider suspending the pro- steps to resolve the conflict. In situations in which the

January 2013 American Psychologist 13


EPPCC or the Guidelines are in conflict with the law, consented to by the client or retaining party, or required or
attempts to resolve the conflict are made in accordance with permitted by law (EPPCC Standard 4.01).
the EPPCC (EPPCC Standard 1.02).
When the conflict cannot be resolved by such means, Guideline 8.01: Release of Information
forensic practitioners may adhere to the requirements of the Forensic practitioners are encouraged to recognize the im-
law, regulations, or other governing legal authority, but portance of complying with properly noticed and served
only to the extent required and not in any way that violates subpoenas or court orders directing release of information,
a persons human rights (EPPCC Standard 1.03). or other legally proper consent from duly authorized per-
Forensic practitioners are encouraged to consider the sons, unless there is a legally valid reason to offer an
appropriateness of complying with court orders when such objection. When in doubt about an appropriate response or
compliance creates potential conflicts with professional course of action, forensic practitioners may seek assistance
standards of practice. from the retaining client, retain and seek legal advice from
their own attorney, or formally notify the drafter of the
Guideline 7.02: Conflicts With Organizational subpoena or order of their uncertainty.
Demands
Guideline 8.02: Access to Information
When the demands of an organization with which they
are affiliated or for whom they are working conflict with If requested, forensic practitioners seek to provide the
their professional responsibilities and obligations, foren- retaining party access to, and a meaningful explanation of,
sic practitioners strive to clarify the nature of the conflict all information that is in their records for the matter at
and, to the extent feasible, resolve the conflict in a way hand, consistent with the relevant law, applicable codes of
consistent with professional obligations and responsibil- ethics and professional standards, and institutional rules
ities (EPPCC Standard 1.03). and regulations. Forensic examinees typically are not pro-
vided access to the forensic practitioners records without
Guideline 7.03: Resolving Ethical Issues With the consent of the retaining party. Access to records by
Fellow Professionals anyone other than the retaining party is governed by legal
When an apparent or potential ethical violation has caused, process, usually subpoena or court order, or by explicit
or is likely to cause, substantial harm, forensic practitioners consent of the retaining party. Forensic practitioners may
are encouraged to take action appropriate to the situation charge a reasonable fee for the costs associated with the
and consider a number of factors including the nature and storage, reproduction, review, and provision of records.
the immediacy of the potential harm; applicable privacy, Guideline 8.03: Acquiring Collateral and
confidentiality, and privilege; how the rights of the relevant Third Party Information
parties may be affected by a particular course of action; and
any other legal or ethical obligations (EPPCC Standard Forensic practitioners strive to access information or re-
1.04). Steps to resolve perceived ethical conflicts may cords from collateral sources with the consent of the rele-
include, but are not limited to, obtaining the consultation of vant attorney or the relevant party, or when otherwise
knowledgeable colleagues, obtaining the advice of inde- authorized by law or court order.
pendent counsel, and conferring directly with the client.
Guideline 8.04: Use of Case Materials in
When forensic practitioners believe there may have
Teaching, Continuing Education, and Other
been an ethical violation by another professional, an at-
Scholarly Activities
tempt is made to resolve the issue by bringing it to the
attention of that individual, if that attempt does not violate Forensic practitioners using case materials for purposes of
any rights or privileges that may be involved, and if an teaching, training, or research strive to present such infor-
informal resolution appears appropriate (EPPCC Standard mation in a fair, balanced, and respectful manner. They
1.04). If this does not result in a satisfactory resolution, the attempt to protect the privacy of persons by disguising the
forensic practitioner may have to take further action appro- confidential, personally identifiable information of all per-
priate to the situation, including making a report to third sons and entities who would reasonably claim a privacy
parties of the perceived ethical violation (EPPCC Standard interest; using only those aspects of the case available in
1.05). In most instances, in order to minimize unforeseen the public domain; or obtaining consent from the relevant
risks to the partys rights in the legal matter, forensic clients, parties, participants, and organizations to use the
practitioners consider consulting with the client before materials for such purposes (EPPCC Standard 4.07; also
attempting to resolve a perceived ethical violation with see Guidelines 11.06 and 11.07 of these Guidelines).
another professional.
9. Methods and Procedures
8. Privacy, Confidentiality, and
Guideline 9.01: Use of Appropriate Methods
Privilege
Forensic practitioners strive to utilize appropriate methods
Forensic practitioners recognize their ethical obligations to and procedures in their work. When performing examina-
maintain the confidentiality of information relating to a tions, treatment, consultation, educational activities, or
client or retaining party, except insofar as disclosure is scholarly investigations, forensic practitioners seek to

14 January 2013 American Psychologist


maintain integrity by examining the issue or problem at the research on or evidence of their usefulness and proper
hand from all reasonable perspectives and seek information application (EPPCC Standard 9.02; AERA, APA, &
that will differentially test plausible rival hypotheses. NCME, in press). This includes assessment techniques,
interviews, tests, instruments, and other procedures and
Guideline 9.02: Use of Multiple Sources of their administration, adaptation, scoring, and interpretation,
Information including computerized scoring and interpretation systems.
Forensic practitioners ordinarily avoid relying solely on Forensic practitioners use assessment instruments
one source of data, and corroborate important data when- whose validity and reliability have been established for use
ever feasible (AERA, APA, & NCME, in press). When with members of the population assessed. When such va-
relying upon data that have not been corroborated, forensic lidity and reliability have not been established, forensic
practitioners seek to make known the uncorroborated status practitioners consider and describe the strengths and limi-
of the data, any associated strengths and limitations, and tations of their findings. Forensic practitioners use assess-
the reasons for relying upon the data. ment methods that are appropriate to an examinees lan-
guage preference and competence, unless the use of an
Guideline 9.03: Opinions Regarding Persons alternative language is relevant to the assessment issues
Not Examined (EPPCC Standard 9.02).
Forensic practitioners recognize their obligations to only Assessment in forensic contexts differs from assess-
provide written or oral evidence about the psychological ment in therapeutic contexts in important ways that foren-
characteristics of particular individuals when they have sic practitioners strive to take into account when conduct-
sufficient information or data to form an adequate founda- ing forensic examinations. Forensic practitioners seek to
tion for those opinions or to substantiate their findings consider the strengths and limitations of employing tradi-
(EPPCC Standard 9.01). Forensic practitioners seek to tional assessment procedures in forensic examinations
make reasonable efforts to obtain such information or data, (AERA, APA, & NCME, in press). Given the stakes in-
and they document their efforts to obtain it. When it is not volved in forensic contexts, forensic practitioners strive to
possible or feasible to examine individuals about whom ensure the integrity and security of test materials and re-
they are offering an opinion, forensic practitioners strive to sults (AERA, APA, & NCME, in press).
make clear the impact of such limitations on the reliability When the validity of an assessment technique has not
and validity of their professional products, opinions, or been established in the forensic context or setting in which
testimony. it is being used, the forensic practitioner seeks to describe
When conducting a record review or providing con- the strengths and limitations of any test results and explain
sultation or supervision that does not warrant an individual the extrapolation of these data to the forensic context.
examination, forensic practitioners seek to identify the Because of the many differences between forensic and
sources of information on which they are basing their therapeutic contexts, forensic practitioners consider and
opinions and recommendations, including any substantial seek to make known that some examination results may
limitations to their opinions and recommendations. warrant substantially different interpretation when admin-
istered in forensic contexts (AERA, APA, & NCME, in
10. Assessment press).
Guideline 10.01: Focus on Legally Relevant Forensic practitioners consider and seek to make
Factors known that forensic examination results can be affected by
factors unique to, or differentially present in, forensic con-
Forensic examiners seek to assist the trier of fact to under- texts including response style, voluntariness of participa-
stand evidence or determine a fact in issue, and they tion, and situational stress associated with involvement in
provide information that is most relevant to the psycholegal forensic or legal matters (AERA, APA, & NCME, in
issue. In reports and testimony, forensic practitioners typ- press).
ically provide information about examinees functional
abilities, capacities, knowledge, and beliefs, and address Guideline 10.03: Appreciation of Individual
their opinions and recommendations to the identified psy- Differences
cholegal issues (American Bar Association & American When interpreting assessment results, forensic practitioners
Psychological Assocation, 2008; Grisso, 1986, 2003; Hei- consider the purpose of the assessment as well as the
lbrun, Marczyk, DeMatteo, & Mack-Allen, 2007). various test factors, test-taking abilities, and other charac-
Forensic practitioners are encouraged to consider the teristics of the person being assessed, such as situational,
problems that may arise by using a clinical diagnosis in personal, linguistic, and cultural differences that might
some forensic contexts, and consider and qualify their affect their judgments or reduce the accuracy of their
opinions and testimony appropriately. interpretations (EPPCC Standard 9.06). Forensic practitio-
ners strive to identify any significant strengths and limita-
Guideline 10.02: Selection and Use of
tions of their procedures and interpretations.
Assessment Procedures
Forensic practitioners are encouraged to consider how
Forensic practitioners use assessment procedures in the the assessment process may be impacted by any disability
manner and for the purposes that are appropriate in light of an examinee is experiencing, make accommodations as

January 2013 American Psychologist 15


possible, and consider such when interpreting and commu- and properties that may be at risk, the complexity of the
nicating the results of the assessment (APA, 2011d). case, the amount and legal significance of unique evidence
in the care and control of the forensic practitioner, and the
Guideline 10.04: Consideration of
Assessment Settings likelihood of future appeal, forensic practitioners strive to
inform the retaining party of the limits of record keeping
In order to maximize the validity of assessment results, times. If requested to do so, forensic practitioners consider
forensic practitioners strive to conduct evaluations in set- maintaining such records until notified that all appeals in
tings that provide adequate comfort, safety, and privacy. the matter have been exhausted, or sending a copy of any
Guideline 10.05: Provision of Assessment unique components/aspects of the record in their care and
Feedback control to the retaining party before destruction of the
record.
Forensic practitioners take reasonable steps to explain
assessment results to the examinee or a designated repre- 11. Professional and Other Public
sentative in language they can understand (EPPCC Stan-
dard 9.10). In those circumstances in which communication Communications
about assessment results is precluded, the forensic practi-
Guideline 11.01: Accuracy, Fairness, and
tioner explains this to the examinee in advance (EPPCC
Avoidance of Deception
Standard 9.10).
Forensic practitioners seek to provide information Forensic practitioners make reasonable efforts to ensure
about professional work in a manner consistent with pro- that the products of their services, as well as their own
fessional and legal standards for the disclosure of test data public statements and professional reports and testimony,
or results, interpretation of data, and the factual bases for are communicated in ways that promote understanding and
conclusions. avoid deception (EPPCC Standard 5.01).
Guideline 10.06: Documentation and When in their role as expert to the court or other
Compilation of Data Considered tribunals, the role of forensic practitioners is to facilitate
understanding of the evidence or dispute. Consistent
Forensic practitioners are encouraged to recognize the im-
with legal and ethical requirements, forensic practitio-
portance of documenting all data they consider with
ners do not distort or withhold relevant evidence or
enough detail and quality to allow for reasonable judicial
opinion in reports or testimony. When responding to
scrutiny and adequate discovery by all parties. This docu-
mentation includes, but is not limited to, letters and con- discovery requests and providing sworn testimony, fo-
sultations; notes, recordings, and transcriptions; assessment rensic practitioners strive to have readily available for
and test data, scoring reports and interpretations; and all inspection all data which they considered, regardless of
other records in any form or medium that were created or whether the data supports their opinion, subject to and
exchanged in connection with a matter. consistent with court order, relevant rules of evidence,
When contemplating third party observation or audio/ test security issues, and professional standards (AERA,
video-recording of examinations, forensic practitioners APA, & NCME, in press; Committee on Legal Issues,
strive to consider any law that may control such matters, American Psychological Association, 2006; Bank &
the need for transparency and documentation, and the po- Packer, 2007; Golding, 1990).
tential impact of observation or recording on the validity of When providing reports and other sworn statements
the examination and test security (Committee on Psycho- or testimony in any form, forensic practitioners strive to
logical Tests and Assessment, American Psychological As- present their conclusions, evidence, opinions, or other
sociation, 2007). professional products in a fair manner. Forensic practitio-
ners do not, by either commission or omission, participate in
Guideline 10.07: Provision of Documentation misrepresentation of their evidence, nor do they participate in
Pursuant to proper subpoenas or court orders, or other partisan attempts to avoid, deny, or subvert the presentation of
legally proper consent from authorized persons, forensic evidence contrary to their own position or opinion (EPPCC
practitioners seek to make available all documentation de- Standard 5.01). This does not preclude forensic practitioners
scribed in Guideline 10.05, all financial records related to from forcefully presenting the data and reasoning upon which
the matter, and any other records including reports (and a conclusion or professional product is based.
draft reports if they have been provided to a party, attorney,
or other entity for review), that might reasonably be related Guideline 11.02: Differentiating
to the opinions to be expressed. Observations, Inferences, and Conclusions
Guideline 10.08: Record Keeping In their communications, forensic practitioners strive to
Forensic practitioners establish and maintain a system of distinguish observations, inferences, and conclusions. Fo-
record keeping and professional communication (EPPCC rensic practitioners are encouraged to explain the relation-
Standard 6.01; APA, 2007), and attend to relevant laws and ship between their expert opinions and the legal issues and
rules. When indicated by the extent of the rights, liberties, facts of the case at hand.

16 January 2013 American Psychologist


Guideline 11.03: Disclosing Sources of private, confidential, or privileged information, and attempt
Information and Bases of Opinions to protect persons from harm, misuse, or misrepresentation
as a result of their statements (EPPCC Standard 4.05).
Forensic practitioners are encouraged to disclose all
sources of information obtained in the course of their Guideline 11.07: Commenting Upon Legal
professional services, and to identify the source of each Proceedings
piece of information that was considered and relied upon in
formulating a particular conclusion, opinion, or other pro- Forensic practitioners strive to address particular legal pro-
fessional product. ceedings in publications or communications only to the
extent that the information relied upon is part of a public
Guideline 11.04: Comprehensive and record, or when consent for that use has been properly
Accurate Presentation of Opinions in Reports obtained from any party holding any relevant privilege
and Testimony (also see Guideline 8.04).
Consistent with relevant law and rules of evidence, when When offering public statements about specific cases
providing professional reports and other sworn statements in which they have not been involved, forensic practitio-
or testimony, forensic practitioners strive to offer a com- ners offer opinions for which there is sufficient information
plete statement of all relevant opinions that they formed or data and make clear the limitations of their statements
within the scope of their work on the case, the basis and and opinions resulting from having had no direct knowl-
reasoning underlying the opinions, the salient data or other edge of or involvement with the case (EPPCC Standard
information that was considered in forming the opinions, 9.01).
and an indication of any additional evidence that may be
REFERENCES
used in support of the opinions to be offered. The specific
substance of forensic reports is determined by the type of American Bar Association & American Psychological Association.
psycholegal issue at hand as well as relevant laws or rules (2008). Assessment of older adults with diminished capacity: A hand-
in the jurisdiction in which the work is completed. book for psychologists. Washington, DC: American Bar Association
Forensic practitioners are encouraged to limit discus- and American Psychological Association.
sion of background information that does not bear directly American Educational Research Association, American Psychological
Association, & National Council on Measurement in Education. (in
upon the legal purpose of the examination or consultation. press). Standards for educational and psychological testing (3rd ed.).
Forensic practitioners avoid offering information that is Washington, DC: Authors.
irrelevant and that does not provide a substantial basis of American Psychological Association. (2002). Criteria for practice guide-
support for their opinions, except when required by law line development and evaluation. American Psychologist, 57, 1048
1051. doi:10.1037/0003-066X.57.12.1048
(EPPCC Standard 4.04).
American Psychological Association. (2003). Guidelines on multicultural
Guideline 11.05: Commenting Upon Other education, training, research, practice, and organizational change for
psychologists. American Psychologist, 58, 377 402. doi:10.1037/0003-
Professionals and Participants in Legal 066X.58.5.377
Proceedings American Psychological Association. (2004). Guidelines for psychologi-
cal practice with older adults. American Psychologist, 59, 4, 236 260.
When evaluating or commenting upon the work or quali- doi:10.1037/0003-066X.59.4.236
fications of other professionals involved in legal proceed- American Psychological Association. (2007). Record keeping guidelines.
ings, forensic practitioners seek to represent their disagree- American Psychologist, 62, 9931004. doi:10.1037/0003-066X.62.9.993
ments in a professional and respectful tone, and base them American Psychological Association. (2010a). Ethical principles of psy-
on a fair examination of the data, theories, standards, and chologists and code of conduct (2002, Amended June 1, 2010). Re-
trieved from http://www.apa.org/ethics/code/index.aspx
opinions of the other expert or party. American Psychological Association. (2010b). Guidelines for child cus-
When describing or commenting upon clients, exam- tody evaluations in family law proceedings. American Psychologist, 65,
inees, or other participants in legal proceedings, forensic 863 867. doi:10.1037/a0021250
practitioners strive to do so in a fair and impartial manner. American Psychological Association. (2011a). Guidelines for psycholog-
Forensic practitioners strive to report the representa- ical evaluations in child protection matters. Washington, DC: Author.
(American Psychologist, 2013, 68, 20 31. doi:10.1037/a0029891)
tions, opinions, and statements of clients, examinees, or American Psychological Association. (2011b). Guidelines for the practice
other participants in a fair and impartial manner. of parenting coordination. Washington, DC: Author. (American Psy-
chologist, 2012, 67, 6371. doi:10.1037/a0024646)
Guideline 11.06: Out of Court Statements American Psychological Association. (2011c). Guidelines for the evalu-
ation of dementia and age related cognitive change. Washington, DC:
Ordinarily, forensic practitioners seek to avoid making Author. (American Psychologist, 2012, 67, 19. doi:10.1037/a0024643)
detailed public (out-of-court) statements about legal pro- American Psychological Association. (2011d). Guidelines for assessment
ceedings in which they have been involved. However, of and intervention with persons with disabilities. Washington, DC:
sometimes public statements may serve important goals Author. (American Psychologist, 2012, 67, 43 62. doi:10.1037/
such as educating the public about the role of forensic a0025892)
practitioners in the legal system, the appropriate practice of American Psychological Association. (2011e). Guidelines for psycholog-
ical practice with lesbian, gay, and bisexual clients. Washington, DC:
forensic psychology, and psychological and legal issues Author. (American Psychologist, 2012, 67, 10 42. doi:10.1037/
that are relevant to the matter at hand. When making public a0024659)
statements, forensic practitioners refrain from releasing Bank, S., & Packer, R. (2007). Expert witness testimony: Law, ethics, and

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practice. In A. M. Goldstein (Ed.), Forensic psychology: Emerging principles-based approach to forensic mental health assessment: Utility
topics and expanding roles (pp. 421 445). Hoboken, NJ: Wiley. and update. In A. M. Goldstein (Ed.), Forensic psychology: Emerging
Committee on Ethical Guidelines for Forensic Psychologists. (1991). topics and expanding roles (pp. 4572). Hoboken, NJ: Wiley.
Specialty guidelines for forensic psychologists. Law and Human Be- Melton, G., Petrila, J., Poythress, N., & Slobogin, C. (1987). Psycholog-
havior, 15, 655 665. ical evaluations for the courts: A handbook for mental health profes-
Committee on Legal Issues, American Psychological Association. (2006). sionals and lawyers. New York, NY: Guilford Press.
Strategies for private practitioners coping with subpoenas or compelled Melton, G., Petrila, J., Poythress, N., & Slobogin, C. (1997). Psycholog-
testimony for client records or test data. Professional Psychology: ical evaluations for the courts: A handbook for mental health profes-
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Golding, S. L. (1990). Mental health professionals and the courts: The intervention in the criminal justice system. Washington, DC: American
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Grisso, T. (2003). Evaluating competencies: Forensic assessments and tion (2nd ed.).. New York, NY: Guilford Press.
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Heilbrun, K., Marczyk, G., DeMatteo, D., & Mack-Allen, J. (2007). A tion (3rd ed.). New York, NY: Guilford Press.

Appendix A
Revision Process of the Guidelines

This revision of the Guidelines was coordinated by the Com- ter). In addition, an electronic discussion list devoted solely
mittee for the Revision of the Specialty Guidelines for Foren- to issues concerning revision of the Guidelines was oper-
sic Psychology (the Revisions Committee), which was es- ated between December 2002 and July 2007, followed by
tablished by the American Academy of Forensic Psychology establishment of an e-mail address in February 2008
and the American PsychologyLaw Society (Division 41 of (sgfp@yahoo.com). Individuals were invited to provide
the American Psychological Association [APA]) in 2002 and input and commentary on the existing Guidelines and pro-
which operated through 2011. This committee consisted of posed revisions via these means. In addition, two public
two representatives from each organization (Solomon Fulero, meetings were held throughout the revision process at
PhD, JD; Stephen Golding, PhD, ABPP; Lisa Piechowski, biennial meetings of the American PsychologyLaw Soci-
PhD, ABPP; Christina Studebaker, PhD), a chairperson ety.
(Randy Otto, PhD, ABPP), and a liaison from Division 42 Upon development of a draft that the Revisions Com-
(Psychologists in Independent Practice) of APA (Jeffrey mittee deemed suitable, the revised Guidelines were sub-
Younggren, PhD, ABPP). mitted for review to the Executive Committee of the Amer-
This document was revised in accordance with APA ican PsychologyLaw Society (Division 41 of APA) and
Rule 30.08 and the APA policy document Criteria for the American Board of Forensic Psychology. Once the
Practice Guideline Development and Evaluation (APA, revised Guidelines were approved by these two organiza-
2002). The Revisions Committee posted announcements tions, they were submitted to APA for review, commen-
regarding the revision process to relevant electronic dis- tary, and acceptance, consistent with APAs Criteria for
cussion lists and professional publications (i.e., the Psy- Practice Guideline Development and Evaluation (APA,
law-L e-mail listserv of the American PsychologyLaw 2002) and APA Rule 30-8. They were subsequently revised
Society, the American Academy of Forensic Psychology by the Revisions Committee and were adopted by the APA
listserv, the American PsychologyLaw Society Newslet- Council of Representatives on August 3, 2011.

(Appendices continue)

18 January 2013 American Psychologist


Appendix B
Definitions and Terminology

For the purposes of these Guidelines: ogy to the law and the use of that knowledge to assist in
Appropriate, when used in relation to conduct by a resolving legal, contractual, and administrative disputes.
forensic practitioner means that, according to the prevailing Forensic Practitioner refers to a psychologist when
professional judgment of competent forensic practitioners, engaged in forensic practice.
the conduct is apt and pertinent and is considered befitting, Forensic Psychology refers to all forensic practice by
suitable, and proper for a particular person, place, condi- any psychologist working within any subdiscipline of psy-
tion, or function. Inappropriate means that, according to chology (e.g., clinical, developmental, social, cognitive).
the prevailing professional judgment of competent forensic Informed Consent denotes the knowledgeable, volun-
practitioners, the conduct is not suitable, desirable, or prop- tary, and competent agreement by a person to a proposed
erly timed for a particular person, occasion, or purpose; and course of conduct after the forensic practitioner has com-
may also denote improper conduct, improprieties, or con- municated adequate information and explanation about the
duct that is discrepant for the circumstances.
material risks and benefits of, and reasonably available
Agreement refers to the objective and mutual under-
alternatives to, the proposed course of conduct.
standing between the forensic practitioner and the person or
persons seeking the professional service and/or agreeing to Legal Representative refers to a person who has the
participate in the service. See also Assent, Consent, and legal authority to act on behalf of another.
Informed Consent. Party refers to a person or entity named in litigation,
Assent refers to the agreement, approval, or permis- or who is involved in, or is witness to, an activity or
sion, especially regarding verbal or nonverbal conduct, that relationship that may be reasonably anticipated to result in
is reasonably intended and interpreted as expressing will- litigation.
ingness, even in the absence of unmistakable consent. Reasonable or Reasonably, when used in relation to
Forensic practitioners attempt to secure assent when con- conduct by a forensic practitioner, denotes the conduct of a
sent and informed consent cannot be obtained or when, prudent and competent forensic practitioner who is en-
because of mental state, the examinee may not be able to gaged in similar activities in similar circumstances.
consent. Record or Written Record refers to all notes, records,
Consent refers to agreement, approval, or permission documents, memorializations, and recordings of consider-
as to some act or purpose. ations and communications, be they in any form or on any
Client refers to the attorney, law firm, court, agency, media, tangible, electronic, handwritten, or mechanical,
entity, party, or other person who has retained, and who has that are contained in, or are specifically related to, the
a contractual relationship with, the forensic practitioner to forensic matter in question or the forensic service provided.
provide services. Retaining Party refers to the attorney, law firm, court,
Conflict of Interest refers to a situation or circum- agency, entity, party, or other person who has retained, and
stance in which the forensic practitioners objectivity, im- who has a contractual relationship with, the forensic prac-
partiality, or judgment may be jeopardized due to a rela- titioner to provide services.
tionship, financial, or any other interest that would Tribunal denotes a court or an arbitrator in an arbi-
reasonably be expected to substantially affect a forensic tration proceeding, or a legislative body, administrative
practitioners professional judgment, impartiality, or deci-
agency, or other body acting in an adjudicative capacity. A
sion making.
legislative body, administrative agency, or other body acts
Decision Maker refers to the person or entity with the
in an adjudicative capacity when a neutral official, after the
authority to make a judicial decision, agency determina-
tion, arbitration award, or other contractual determination presentation of legal argument or evidence by a party or
after consideration of the facts and the law. parties, renders a judgment directly affecting a partys
Examinee refers to a person who is the subject of a interests in a particular matter.
forensic examination for the purpose of informing a deci- Trier of Fact refers to a court or an arbitrator in an
sion maker or attorney about the psychological functioning arbitration proceeding, or a legislative body, administrative
of that examinee. agency, or other body acting in an adjudicative capacity. A
Forensic Examiner refers to a psychologist who ex- legislative body, administrative agency, or other body acts
amines the psychological condition of a person whose in an adjudicative capacity when a neutral official, after the
psychological condition is in controversy or at issue. presentation of legal argument or evidence by a party or
Forensic Practice refers to the application of the parties, renders a judgment directly affecting a partys
scientific, technical, or specialized knowledge of psychol- interests in a particular matter.

January 2013 American Psychologist 19

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