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REPORTS OF THE ASSOCIATION

American Psychological Association


Policy in Context
The Development and Evaluation of Guidelines for Professional Practice

Geoffrey M. Reed, Christopher J. McLaughlin, and Russ Newman


American Psychological Association

Over the past two decades, a major trend in health care has with the continuing health care cost crisis, created the
been the development and promulgation of guidelines for Agency for Health Care Policy and Research (AHCPR) in
the provision of a wide range of health care services by 1989. A central aspect of AHCPR’s charge was the devel-
health care professionals. Although professional organiza- opment of practice guidelines, with the explicit goal of
tions and other health care entities have long been devel- changing the practice patterns of physicians and other
oping and disseminating guidelines, the recent proliferation health care providers (AHCPR, 1993a). Throughout the
is related to the emphasis on evidence-based medicine or, 1990s, National Institutes of Health agencies, under con-
more broadly, evidence-based practice. The underlying as- gressional pressure to demonstrate their practical contribu-
sumptions of evidence-based practice in general and of tion to U.S. health care, launched a series of “technology
many guidelines in particular are that probabilistic studies transfer” initiatives to disseminate research-based treat-
provide the best evidence of what works and that better ments to the field. These efforts were generally based on
health outcomes will accrue from the direct application of the assumption that the major challenges in improving
research findings by individual health care professionals health care and reducing health care costs included teach-
working with individual patients (Tannenbaum, 1994). ing health care professionals to use research-based treat-
Some of the roots of the evidence-based practice discourse ments properly and developing appropriate clinical change
can be traced to a report by Wennberg (1984), who found and outcomes assessment strategies to ensure that they
substantial unexplained variation in the rates that similar were doing so.
populations received specific medical procedures for given As viewed within American Psychological Associa-
health conditions. This and subsequent small area variation tion (APA) policy, guidelines are “pronouncements, state-
studies were “widely interpreted to mean that physicians ments, or declarations that suggest or recommend specific
were uncertain about the value of alternative treatments and professional behavior, endeavor, or conduct” (APA, 2002a,
that their actions were consequently influenced by clini- p. 1052, this issue). A key feature of guidelines as they are
cally extraneous factors such as tradition and convenience” defined by APA is that they are aspirational in intent.
(Tannenbaum, 1999, p. 758). Guidelines differ from standards in that standards are man-
The growing managed care movement took up this
perspective with enthusiasm during the 1990s. Health care
Geoffrey M. Reed, Christopher J. McLaughlin, and Russ Newman, Prac-
professionals were portrayed as major causes of waste, tice Directorate, American Psychological Association.
inefficiency, and escalating cost in the health care system, We are grateful to William C. Howell, former executive director of
which justified the transfer of control from physicians to the APA Science Directorate, for his collaboration in getting these efforts
the health plan via a variety of supply-side initiatives. started. We recognize the important contributions to APA’s developing
guidelines policy of the Board of Professional Affairs (BPA) and its
Health care systems and health care plans pursued goals of Committee for the Advancement of Professional Practice (COPPS). We
reducing practice variation and standardizing care, devel- wish particularly to acknowledge the chairs of BPA over the past several
oping increasingly specific rules (standards, guidelines, years—Deborah J. Tharinger, 1995; Melba J. T. Vasquez, 1996; Daniel J.
practice parameters, critical pathways, best practices, etc.) Abrahamson, 1997; Robert A. Brown, 1998; Ronald H. Rozensky, 1999;
Suzanne Bennett Johnson, 2000; Janet R. Matthews, 2001; and Sandra L.
for the provision of care, with professionals often cast as Shullman, 2002—as well as the chairs of COPPS—Philip H. Witt, 1995;
interchangeable providers offering encounter-based as op- Richard H. Reichbart, 1996; Catherine Acuff, 1997; Lisa R. Grossman,
posed to relationship-based services (Gutek, 1995) based 1998; Steven B. Bisbing, 1999; Jean Lau Chin, 2000; Erica H. Wise,
on an industrialized model of health care (Reed, McLaugh- 2001; and Kristin A. Hancock, 2002—all of whom have been closely
involved in this work.
lin, & Milholland, 2000). Correspondence concerning this article should be sent to Geoffrey M.
The emphasis on guidelines development also re- Reed, Practice Directorate, American Psychological Association, 750
ceived substantial federal support. Congress, concerned First Street, NE, Washington, DC 20002-4242.

December 2002 ● American Psychologist 1041


Copyright 2002 by the American Psychological Association, Inc. 0003-066X/02/$5.00
Vol. 57, No. 12, 1041–1047 DOI: 10.1037//0003-066X.57.12.1041
datory and may be accompanied by an enforcement mech- client directed or client focused, as opposed to practitioner
anism (APA, 1993). For example, the “Ethical Principles of focused, and tend to be condition or treatment specific.
Psychologists and Code of Conduct” (APA, 2002c, this Outside APA, guidelines of this type are often referred to
issue) includes enforceable standards. In contrast, current as clinical practice guidelines, defined as systematically
APA policy for practice guidelines (APA, 2002b, this is- developed statements to assist practitioner and patient de-
sue) requires that the guidelines note explicitly that they are cisions about appropriate health care for specific clinical
not intended to be mandatory, exhaustive, or definitive; circumstances (Field & Lohr, 1990). Treatment guidelines
may not be applicable to every clinical situation; and are typically have one of three targets: (a) primary prevention
not intended to take precedence over the judgment of of disease through population-based preventive interven-
psychologists. APA’s official approach to guidelines tions (e.g., pediatric immunizations), (b) early detection of
strongly emphasizes professional judgment in individual a specific condition through population-based screening
patient encounters and is therefore at variance with that of (e.g., mammography), or (c) treatment of a specific disor-
more ardent adherents to evidence-based practice. der or condition after it has manifested (e.g., treatment of
Guidelines have also become among the most active depression in primary care settings).
and controversial topics in APA policy development over Outside APA, a vast array of health care guidelines
the past several years. APA policy requires that all APA have been promulgated by government agencies, profes-
guidelines— even those to be promulgated solely in the sional societies, health systems, health plans, and managed
name of a division of APA— be approved by the APA care companies. The National Guidelines Clearinghouse,
Council of Representatives. Guidelines documents have sponsored by the federal Agency for Healthcare Quality
been increasingly scrutinized in the APA policy process and Research (AHQR; formerly AHCPR) in partnership
because of increased practitioner sensitivity to mandates with the American Medical Association and the American
and limitations as a result of their experience with managed Association of Health Plans, listed in September 2002
care and increased anxiety about the potential legal risk to approximately 900 treatment guidelines documents spon-
practitioners created by guidelines. This reaction has often sored by over 200 organizations, including nearly 100
surprised those involved in the development of the guide- guidelines in behavioral health areas. This represents only
lines that have been reviewed as potential APA policy, as a portion of the guidelines that have been developed, be-
these individuals have generally been well-intentioned in cause an approval process for inclusion in the clearing-
their efforts to support, educate, or protect practitioners house involves assessment of the guidelines in relation to
rather than controlling them or putting them at risk. specific criteria. Guidelines are also being removed from
Several governance groups within APA have some the system when they are over five years old. We recom-
degree of oversight responsibility in the development and mend that anyone interested or concerned about develop-
monitoring of guidelines. The APA Board of Professional ments in the area of guidelines take some time to examine
Affairs (BPA) has primary responsibility for guidelines the contents of the clearinghouse on the World Wide Web
intended to inform the provision of services by psycholo- at http://www.guideline.gov.
gists. BPA’s mission, as stated in the APA Bylaws, in- There have long been advocates for the development
cludes “developing recommendations for and monitoring of treatment guidelines by APA. A part of the motivation
the implementation of APA policy, standards, and guide- for this appears to be the desire to advance the cause of
lines for the profession of psychology” (APA, 1999, p. 23). psychological and behavioral interventions that appear to
The Board of Educational Affairs attends to the develop- be threatened by biomedically based guidelines being pro-
ment of education and training guidelines, including guide- duced elsewhere. A decade ago, however, BPA—in col-
lines for accreditation, as an aspect of its responsibilities. laboration with the Board of Scientific Affairs (BSA) and
And the Board of Scientific Affairs regularly addresses the the Committee for the Advancement of Professional Prac-
need for and development of guidelines for various re- tice (CAPP)— decided that rather than providing yet an-
search activities. other competing set of guidelines, a better course of action
This article and the two accompanying policy docu- was to develop a policy basis for the systematic evaluation
ments focus on guidelines for professional practice and of treatment guidelines. The goals of this policy were not
related policy development in this area by BPA over the only to assist the practitioner in differentiating good from
past decade. BPA’s work in this area has been based on its bad guidelines but, perhaps more important, to provide a
belief that the intention of guidelines should be to facilitate systematic and APA-approved policy basis for protesting
the continued systematic development of the profession against poor, unreasonable, unjustified, or biased treatment
and to support a high level of professional practice by guidelines being promulgated in the marketplace.
psychologists. This joint effort of BPA, BSA, and CAPP resulted in
the Template for Developing Guidelines: Interventions for
Treatment Guidelines Mental Disorders and Psychosocial Aspects of Physical
Within the domain of guidelines for professional practice, Disorders (APA, 1995b), approved by the APA Council of
APA policy distinguishes two types: treatment guidelines Representatives in February 1995. This document stirred
and practice guidelines. Treatment guidelines are defined considerable controversy, in part because it seemed to
as those that provide specific recommendations about treat- privilege specific research methodologies for establishing
ments to be offered to clients. Treatment guidelines are the effectiveness of treatments and in part because of the

1042 December 2002 ● American Psychologist


general sensitivity among psychologists to the restrictions which has obviously contributed to their proliferation.
being imposed on them by managed care. Some psychol- However, Stricker et al. found that managed care guide-
ogists feared that the template appeared to encourage the lines were particularly likely to conflate evidence-based
development of treatment guidelines that might be used to treatment recommendations with issues related to cost and
disenfranchise certain forms of treatment and certain sec- utilization management. Further, the basis for determining
tors of the profession. In our view, many of these fears what type and duration of treatment is reimbursable was
were exaggerated on the basis of misperceptions and a often not specified in the guidelines. Stricker and col-
confusion of the template with other efforts related to leagues acknowledged cost as a legitimate consideration in
evidence-based practice. However, on the basis of these selecting among effective alternative treatments but noted
concerns and experience with implementing the template, that some guidelines appeared to bear little relationship to
BPA led a joint BPA/BSA/CAPP review and revision of the literature and seemed to be “attempts to implement
this document beginning in 1997. economic control by restricting clinical services in an ar-
As a part of this review and revision, Stricker, Abra- bitrary fashion, under the cover of presumed scientific
hamson, Bologna, Hollon, Robinson, and Reed (1999) ex- justification” (Stricker et al., 1999, p. 71).
amined a selection of available treatment guidelines and Another important source of treatment guidelines has
found wide variation in the quality of their coverage of the been professional organizations, these guidelines perhaps
relevant literature as well as the scientific and clinical basis, representing an attempt to retain authority for health care
specificity, and generalizability of their treatment recom- decision making. The most prominent of these efforts have
mendations. This variability was partly explained by been those of medical societies. For example, the American
whether the guidelines had been developed by government Psychiatric Association has developed and published 12
agencies, professional societies, or health care entities such treatment guidelines and the American Academy of Pedi-
as managed care organizations. Several of the guidelines atrics has issued the same number. Stricker and colleagues
reviewed were developed by the AHCPR, described above (1999) noted that guidelines promulgated by professional
as one of the most active government agencies in this area. associations were similar to those developed by govern-
Stricker and colleagues noted that AHCPR’s guidelines ment associations in that they adopted an educative stance
were clearly designed to educate rather than to legislate,
rather than mandated professional behavior. However,
were interdisciplinary in nature, and provided extensive
these guidelines were substantially less likely to be devel-
empirical and clinical information. At the same time, these
oped in an interdisciplinary fashion and could be exces-
guidelines did not always accurately translate the evi-
sively influenced by professional turf issues and were
dence they reviewed into the critical pathways or algo-
therefore particularly vulnerable to biomedical bias. Al-
rithms recommended to guide patient flow and deter-
mine the protocol for treatment under particular sets of though such guidelines generally make explicit the fact that
circumstances. they are intended to apply only to members of the profes-
For example, AHCPR’s guidelines on the detection sion that developed them, they may have broader implica-
and treatment of depression in primary care were based on tions to the extent that they are used legally to establish a
an extensive and thorough review of relevant literature by standard of care and are adopted by health care systems
an interdisciplinary panel and provided a detailed descrip- and health plans to apply to all health care professionals.
tion of the disorder and the available treatment options For example, as a means of meeting the aforementioned
(AHCPR, 1993b, 1993c, 1993d, 1993e). Despite the rec- NCQA requirement, the largest mental health managed
ognition in the literature review that psychotherapy is at care organization has adopted the guidelines of the Amer-
least as effective as pharmacotherapy in the treatment of ican Psychiatric Association, which strongly emphasize
many (if not most) depressions and may be of longer
lasting and broader benefit, the treatment algorithms the 1
It is relevant to the current discussion that in 1996, after producing
guidelines offered exhibited a serious biomedical bias that 19 guidelines, AHCPR discontinued the development and revision of
was inconsistent with the available evidence. These algo- guidelines. Instead, AHRQ now funds “evidence-based practice centers”
rithms would lead most patients to be treated pharmaco- to develop “evidence reports”— comprehensive reviews of relevant liter-
logically, with referral for psychotherapy only after re- ature in specific areas—with the idea that these reports may be used as a
basis for guidelines development efforts by other organizations. Over 60
peated failures with various medications (Munoz, Hollon, of these reports have been generated on topics nominated through a public
McGrath, Rehm, & VandenBos, 1994).1 process. Although guideline developers are free to come to their own
Stricker and colleagues (1999) noted that some of the conclusions on the basis of the evidence provided in the report, significant
least specific guidelines they reviewed were those devel- biomedical bias may be introduced into the report depending on the
criteria for inclusion of studies in a particular area. For example, many
oped by commercial organizations seeking to control costs. psychosocial and behavioral interventions for attention-deficit/hyperactiv-
The National Committee for Quality Assurance (NCQA) is ity disorder (ADHD) are difficult or impossible to test using a double-
a managed-care–funded accrediting body that has devel- blind randomized controlled trials methodology (e.g., Pelham et al.,
oped standards for the managed care industry. Among 1993). These studies were omitted from the initial draft of the AHCPR
these standards is the requirement that each managed care evidence report on the treatment of ADHD prepared by the McMaster
University Evidence-Based Research Center (Jadad, Boyle, Cunningham,
organization adopt and disseminate guidelines “for the Kim, & Schachar, 1999) because of the selection criteria used for inclu-
provision of acute and chronic care services that are rele- sion of studies in this report. This was eventually partly corrected in
vant to its enrolled membership” (NCQA, 2000, p. 42), response to comments received by AHRQ from Russ Newman.

December 2002 ● American Psychologist 1043


pharmacologic treatments (provided by psychiatrists) over has been increasing interest on the part of divisions and
psychological and behavioral interventions. governance groups concerned with specific populations
The joint governance review and revision of the 1995 (e.g., older adults; ethnic and linguistic minorities; lesbians,
template resulted in the “Criteria for Evaluating Treatment gay men, and bisexuals) in developing guidelines to inform
Guidelines” (APA, 2002a, this issue), which replaced the and improve the treatment of these populations. At the
template as APA policy on its approval by the Council of same time, divisions and groups identified with specialties
Representatives in August 2000. The “Criteria for Evalu- within psychology have exhibited a trend in interest in
ating Treatment Guidelines” focuses on the evaluation developing guidelines for provision of services or for ed-
rather than the development of treatment guidelines and ucation and training in those areas. (Few guidelines in this
provides a framework that health professionals can use to second category have yet been approved by the Council of
determine the strength and clinical applicability of any Representatives, and those that have been approved are not
treatment-specific guideline. With this policy now in place, considered practice guidelines and therefore do not appear
APA has a consistent, authoritative basis for reviewing in Table 1.)
treatment guidelines in an efficient and objective manner These developments began to raise concern among
and providing feedback to their developers. Recently, BPA some practitioner constituencies of APA. As the health care
charged its Committee on Professional Practice and Stan- system was in the midst of its embrace of treatment guide-
dards to develop a checklist for use in applying the “Cri- lines as described above and managed care was imposing
teria for Evaluating Treatment Guidelines” to a particular severe restrictions on treatment, some came to see APA-
guidelines document. This checklist is available online at developed practice guidelines as yet another form of ex-
http://www.apa.org/practice/guidelines/treatcrit.html. ternal control over practitioners. Concerns were also raised
about the potential for practice guidelines to be used to
Practice Guidelines limit generalist practice, as well as their potential use in
A second type of guideline consists of recommendations to litigation to impeach psychologist witnesses or to challenge
professionals concerning their conduct and the issues to be the behavior of practitioners.
considered in particular areas of clinical practice. These BPA believed that practice guideline development
guidelines may focus either on general practitioner behav- based on sound principles and APA policy would inform,
ior or on special considerations relevant to specific clinical assist, and protect practitioners and their patients, but at the
situations or specific populations. These guidelines do not same time recognized the importance of the concerns that
focus on recommendations for treatment of specific clinical were being raised. BPA attempted to bring some concep-
conditions. Current APA policy refers to these types of tual order to the process of guideline development by
recommendations as practice guidelines. directing COPPS to develop the Criteria for Guideline
Various professional societies in health care areas use Development and Review (APA, 1995a), which was ap-
different labels to refer to policies that offer guidance of proved by the Council of Representatives in February
this sort to their members. However, most recognize that 1995. This document established the APA policy that prac-
offering such guidance is a legitimate function of profes- tice guidelines should not be created “as a means of estab-
sional associations, and most associations of health care lishing the identity of a particular group or specialty area
professionals have developed and approved policies offer- . . . nor should they be created with the purpose of exclud-
ing recommendations for practice in their profession. In- ing certain persons from practicing in a particular area”
deed, professional associations are often seen as having a (APA, 1995a, p. 2).
unique standing and role in offering such professional Several internal groups, including COPPS, relied on
advice and consultation to their members (see Reed et al., the 1995 document to guide their development of practice
2000). guidelines. BPA monitored these developments closely. A
Practice guidelines are generally based on expert and particularly useful experience occurred in 1999, when BPA
professional consensus in the field about recommended had the chance to work extensively with one of these
professional procedures in the targeted clinical area or with groups, the drafting team for the “Guidelines for Psycho-
a particular client population. They also are informed by therapy with Lesbian, Gay, and Bisexual Clients,” which
relevant scientific literature and may rely on empirical was subsequently approved by the Council of Representa-
evidence when it is available. They often are developed for tives in February 2000 (APA Division 44/Committee on
areas of practice in which there is some controversy or Lesbian, Gay, and Bisexual Concerns Task Force on
question or in areas where health care practice comes into Guidelines for Psychotherapy With Lesbian, Gay, and Bi-
contact with the judicial system, and in these cases they are sexual Clients, 2000). BPA learned from this experience
often informed by legal opinion. and its own ongoing evaluation that the 1995 document did
Table 1 lists a number of practice guidelines ap- not provide sufficiently clear guidance to developers and
proved by the APA Council of Representatives over the evaluators of practice guidelines and did not distinguish
past 30 years. Many of these were developed by BPA sufficiently among guidelines of varying quality.
through its Committee on Professional Practice and BPA asked COPPS to develop a revised policy that
Standards (COPPS). would be conceptualized as a companion to the “Criteria
An examination of Table 1 suggests that over the past for Evaluating Treatment Guidelines” (APA, 2002a) and
decade, in addition to the efforts of BPA and COPPS, there would address specifically those policy issues relevant to

1044 December 2002 ● American Psychologist


Table 1
Selected Practice Guidelines Approved by the American Psychological Association (APA) Council of
Representatives (Council)
Date of approval
Policy approved by Council by Council Primary group for development of policy Publication citation

“Guidelines for Psychologists 1973 Board of Professional Affairs (BPA) APA, 1973
Conducting Growth
Groups”
“Guidelines for Therapy With 1978 Task Force on Sex Bias and Sex APA Task Force on Sex Bias and
Women” Role Stereotyping in Sex Role Stereotyping in
Psychotherapeutic Practice, BPA Psychotherapeutic Practice,
1978
“General Guidelines for 1987 Committee on Professional APA Committee on Professional
Providers of Psychological Standards, BPA Standards, 1987
Services”
“Guidelines for Providers of 1990 Task Force on the Delivery of APA Office of Ethnic Minority
Psychological Services to Services to Ethnic Minority Affairs, 1993
Ethnic, Linguistic, and Populations, Board of Ethnic
Culturally Diverse Minority Affairs
Populations”
“Record Keeping Guidelines” 1993 Committee on Professional Practice APA Committee on Professional
and Standards (COPPS), BPA Practice and Standards, 1993
“Guidelines for Child Custody 1994 COPPS, BPA APA Committee on Professional
Evaluations in Divorce Practice and Standards, 1994
Proceedings”
“Guidelines for Psychological 1998 COPPS, BPA APA Committee on Professional
Evaluations in Child Practice and Standards, 1999
Protection Matters”
“Guidelines for the Evaluation 1998 APA Presidential Task Force on the APA Presidential Task Force on
of Dementia and Age- Assessment of Age-Consistent the Assessment of Age-
Related Cognitive Decline” Memory Decline and Dementia Consistent Memory Decline,
1998
“Guidelines for Psychotherapy 2000 Joint task force of Division 44 APA Division 44/Committee on
With Lesbian, Gay, and (Society for the Psychological Lesbian, Gay, & Bisexual
Bisexual Clients” Study of Lesbian, Gay, and Concerns Task Force, 2000
Bisexual Issues) and APA
Committee on Lesbian, Gay,
and Bisexual Concerns
Guidelines for Test User 2000 Board of Scientific Affairs, BPA, Turner, DeMers, Fox, & Reed,
Qualifications Committee for the Advancement 2001 (Executive summary)
of Professional Practice
Guidelines on Multicultural 2002 Joint task force of Division 17 Not yet published
Education, Training, (Counseling Psychology) and
Research, Practice, and Division 45 (Society for the
Organizational Change for Psychological Study of Ethnic
Psychologists Minority Issues)

the development and evaluation of practice guidelines. guidance in a particular area of practice. The document
After a two-year development and review process, the explicitly recognizes that practice guidelines have potential
Council of Representatives approved the new policy doc- legal uses. It is important to note that BPA does not view
ument, “Criteria for Practice Guideline Development and this potential as an indication that practice guidelines
Evaluation” (APA, 2002b), in August 2001. should not be developed. Rather, this potential highlights
The “Criteria for Practice Guideline Development and the importance for guideline development to be based on
Evaluation” (APA, 2002b) addresses and more clearly em- demonstrable practitioner and consumer need and for pol-
phasizes several of the concerns expressed by the practi- icy on practice guideline development to require guideline
tioner community. The document sets as APA policy that language providing both sufficient flexibility for responsi-
guideline development should be undertaken on the basis ble clinical judgment as well as an emphasis on the aspi-
of a clear documentation of practitioner need or request for rational nature of the guidelines. It is equally important that

December 2002 ● American Psychologist 1045


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