201 Kar 35:030. Code Of Ethics

Link to law: http://www.lrc.ky.gov/kar/201/035/030reg.htm
Published: 2015

GENERAL GOVERNMENT

CABINET

Board of Alcohol and

Drug Counselors

(Amendment)

 

      201 KAR 35:030.

Code of Ethics.

 

      RELATES TO: KRS 309.081

      STATUTORY

AUTHORITY: KRS 309.0813(2)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS 309.1315(14) requires the board to

promulgate a code of ethics for credential holders[certified alcohol

and drug counselors]. This administrative regulation establishes the

required code of ethics.

 

      Section 1.

Responsibility to Clients. (1) A credential holder[An

alcohol and drug counselor] shall:

      (a) Advance and

protect the welfare of the client;

      (b) Respect the

rights of a person seeking assistance; and

      (c) Make reasonable

efforts to ensure that services are used appropriately.

      (2) If an

alcohol and drug peer support specialist is employed by a facility or

credential holder from whom the peer support specialist received services as a

client, the peer support specialist’s supervisor shall clearly define the

relationship and boundaries of the peer support specialist’s employment

position.

      (3) A credential holder[An

alcohol and drug counselor] shall not:

      (a) Discriminate

against or refuse professional service to anyone on the basis of:

      1. Race;

      2. Gender;

      3. Age;

      4. Sexual

preference or orientation;

      5. Religion;

or

      6.[4.]

National origin;

      (b) Exploit the

trust and dependency of a client or client of the facility where the

counselor provides alcohol and drug counseling or any other service or where

the peer support specialist provides services;

      (c) Engage in a

dual relationship with a client or client of the facility where the

counselor provides alcohol and drug counseling or any other service or where

the peer support specialist provides services, including a social,

business, or personal relationship, that may:

      1. Impair

professional judgment;

      2. Incur a risk of

exploitation of the client; or

      3. Otherwise

violate a provision of this administrative regulation.

If a dual relationship

cannot be avoided, and does not impair professional judgment, incur a risk of

exploitation of the client, or otherwise violate a provision of this

administrative regulation, a counselor shall take appropriate professional

precautions to ensure that judgment is not impaired and exploitation of the

client does not occur. A credential holder shall not engage in a romantic

relationship or sexual intimacy with a member of a client's immediate family or

client’s romantic partner.

      (d) Engage in a

sexual relationship with a current client or current client of the facility

where the counselor provides alcohol and drug counseling or with a former

client or former client of the facility where the counselor provides alcohol

and drug counseling[for two (2) years following the termination of

therapy];

      (e) Use the

professional relationship with a client or current client of the facility

where the counselor provides alcohol and drug counseling to further an

institutional or[a] personal interest;

      (f) Continue a

therapeutic relationship unless it is reasonably clear that the client is

benefiting from the relationship;

      (g) Fail to assist

a person in obtaining other therapeutic service if the counselor is unable or

unwilling, for an appropriate reason, to provide professional help;

      (h) Abandon or

neglect a client in treatment without making reasonable arrangements for the

continuation of treatment;

      (i) Videotape,

record, or permit third-party observation of a therapy session without having

first obtained written informed consent from the client;

      (j) Engage in

sexual or other harassment or exploitation of a client, student, trainee,

supervisee, employee, colleague, research subject, or actual or potential

witness or complainant in an investigation or ethical proceeding; or

      (k) Diagnose,

treat, or advise on problems outside the recognized boundaries of competence.

 

      Section 2. Confidentiality. (1) A credential holder[An alcohol and drug counselor] shall

respect and guard the confidence of each individual client in any setting

and through any means of communication.

      (2) A credential

holder[An alcohol and drug counselor] shall not disclose a client

confidence except:

      (a) As mandated, or

permitted by law;

      (b) To prevent a

clear and immediate danger to a person;

      (c) During the

course of a civil, criminal, or disciplinary action arising from the

counseling, at which the alcohol and drug counselor is a defendant; or

      (d) In accordance

with the terms of a written informed consent agreement.

      (3) An alcohol and

drug counselor may use client or clinical material in teaching, writing, and

public presentations if:

      (a) Written

informed consent has been obtained in accordance with subsection (2)(d) of this

section; or

      (b) Appropriate

steps have been taken to protect client identity and confidentiality.

      (4) A credential

holder shall maintain a client’s record for no less than seven (7) years from

termination of services with the client.

      (5) A credential holder[An

alcohol and drug counselor] shall store or dispose of a client record so as

to maintain confidentiality.

 

      Section 3.

Publication Credit. A credential holder[An alcohol and drug

counselor] shall assign credit to all who have contributed to the published

material and for the work upon which publication is based. A credential holder[An

alcohol and drug counselor] shall:

      (1) Recognize joint

authorship and major contributions of a professional character made by several

persons to a common project. The author who has made the principal[principle]

contribution to a publication shall be identified as the first listed;

      (2) Acknowledge in

a footnote or introductory statement minor contributions of a professional

character, extensive clerical or similar assistance;

      (3) Acknowledge,

through specific citations, unpublished, as well as published, material that

has directly influenced the research or writing.

 

      Section 4.

Professional Competence and Integrity. A credential holder[An

alcohol and drug counselor] shall maintain standards of professional

competence and integrity and shall be subject to disciplinary action for:

      (1) Having been

subject to disciplinary action by another state's regulatory agency that the

board determines violates applicable Kentucky state law or administrative

regulation;

      (2) Impairment due

to mental incapacity or the abuse of alcohol or other substances which

negatively impacts[impact] the practice of alcohol and drug

counseling or peer support services;

      (3) Refusing to

comply with an order issued by the board; or

      (4) Failing to

cooperate with the board by not:

      (a) Furnishing in

writing a complete explanation to a complaint filed with the board;

      (b) Appearing before

the board at the time and place designated; or

      (c) Properly

responding to a subpoena issued by the board.

      (5) A credential holder[An

alcohol and drug counselor] who is aware of conduct by another credential

holder[certified alcohol and drug counselor] that violates this code

of ethics shall report that conduct to the Kentucky Board of[Certification

of] Alcohol and Drug Counselors.

      (6) A credential holder[An

alcohol and drug counselor] shall comply with all the policies and

procedures of the facilities where a credential holder[he] is

employed. If there is conflict with the policies or procedures of the facility

and this code of ethics, the credential holder[alcohol and drug

counselor] shall report this conflict to the Kentucky Board of[Certification

of] Alcohol and Drug Counselors.

 

      Section 5.

Responsibility to a Student or Supervisee. A credential holder[An

alcohol and drug counselor] shall:

      (1) Be aware of his influential position

with respect to a student or supervisee;[and]

      (2) Avoid

exploiting the trust and dependency of a student or supervisee;

      (3)[Try to] Avoid

a social, business, personal, or other dual relationship that could:

      (a) Impair

professional judgment; and

      (b) Increase the

risk of exploitation;

      (4) Take appropriate precautions to

ensure that judgment is not impaired and to prevent exploitation if a dual

relationship cannot be avoided;

      (5) Not provide counseling to a:

      (a) Student;

      (b) Employee; or

      (c) Supervisee;

      (6) Not engage in sexual intimacy or

contact with a:

      (a) Student; or

      (b) Supervisee;

      (7) Not permit a student or supervisee to

perform or represent oneself[himself] as competent to perform a

professional service beyond his level of:

      (a) Training;

      (b) Experience; or

      (c) Competence;

      (8) Not disclose the confidence of a

student or supervisee unless:

      (a) Permitted or mandated by law;

      (b) It is necessary to prevent a clear

and immediate danger to a person;

      (c) During the course of a civil,

criminal, or disciplinary action arising from the supervision, at which the

alcohol and drug counselor is a defendant;

      (d) In an educational or training

setting, of which there are multiple supervisors or professional colleagues who

share responsibility for the training of the supervisee;

      (e) In accordance with the terms of a written

informed consent agreement.

 

      Section 6.

Responsibility to a Research Participant. (1) A credential holder[An

alcohol and drug counselor] performing research shall comply with[be

aware of] federal and state laws and regulations and professional standards

governing the conduct of research.

      (2) A credential holder[An

alcohol and drug counselor] performing research shall:

      (a) Be responsible

for making a careful examination of ethical acceptability in planning a study;

      (b) Seek the

ethical advice of another qualified professional not directly involved in the

investigation, if it is possible that services to a research participant could

be compromised; and

      (c) Observe

safeguards to protect the rights of a participant.

      (3) A credential holder[An

alcohol and drug counselor] requesting a participant’s involvement in

research shall:

      (a) Inform the

participant[him] of all aspects of the research that might

reasonably affect the participant’s[his] willingness to participate;

and

      (b) Be sensitive to

the possibility of diminished consent if the participant:

      1. Is also

receiving clinical services;

      2. Has an

impairment which limits understanding or communication; or

      3. Is a child.

      (4) A credential holder[An

alcohol and drug counselor] performing research shall respect a

participant’s freedom to decline participation in or to withdraw from a

research study at any time.

      (5) A credential holder[An

alcohol and drug counselor] shall avoid a dual relationship with research

participants.

      (6) Information

obtained about a research participant during the course of an investigation

shall be confidential unless there is an authorization previously obtained in

writing. The following shall be explained to the participant before obtaining

written, informed consent:

      (a) A risk that

another person, including a family member, could obtain access to the

information; and

      (b) The plan to be

used to protect confidentiality.

 

      Section 7.

Financial Arrangements. A credential holder[An

alcohol and drug counselor] shall:

      (1) Not charge an

excessive fee for service;

      (2) Disclose[his]

fees to a client and supervisee at the beginning of service;

      (3) Make financial

arrangements with a client[patient], third-party payor, or

supervisee that:

      (a) Are reasonably

understandable; and

      (b) Conform to

accepted professional practices;

      (4) Not offer or

accept compensation[payment] for a referral of a client;

      (5) Represent facts

truthfully to a client, third-party payor, or supervisee regarding services

rendered; and

      (6) Not trade

services to the client in exchange for goods or services provided by or on

behalf of the client.

 

      Section 8.

Advertising. (1) A credential holder[An alcohol and drug

counselor] shall:

      (a) Accurately

represent education, training, and experience relevant to the practice of

professional alcohol and drug counseling;

      (b) Not use

professional identification that includes a statement or claim that is false,

fraudulent, misleading, or deceptive, including the following:

      1. A business card;

      2. An office sign;

      3. Letterhead;

      4. Telephone or

association directory listing; or

      5. Webpage or

social media.

      (2) A statement

shall be considered false, fraudulent, misleading, or deceptive if it:

      (a) Contains a

material misrepresentation of fact;

      (b) Is intended to

or likely to create an unjustified expectation;

      (c) Deletes a

material fact or information.

 

      Section 9.

Environment. A credential

holder[An alcohol and drug counselor] shall provide a

safe, functional environment in which to offer alcohol and drug counseling

services. This shall include the following:

      (1) Allowance for

privacy and confidentiality; and

      (2) Compliance with

any other health and safety requirement according to local, state, and federal

agencies.

 

      Section 10.

Documentation. A credential holder[An alcohol and drug

counselor] shall accurately document activity with a client in a timely

manner.

 

      Section 11. Interprofessional

Relationships. A credential holder[An alcohol and drug counselor] shall

treat a colleague with respect, courtesy, and fairness and shall afford

the same professional courtesy to other professionals. (1) A credential holder[An alcohol and drug counselor] shall not offer professional

service to a client in counseling with another professional unless efforts

have been made to inform[except with the knowledge of] the other

professional, or to establish collaborative treatment or until after

the termination of the client's relationship with the other professional.

      (2) A credential holder[An

alcohol and drug counselor] shall cooperate with a duly constituted

professional ethics committee and promptly supply necessary information unless

constrained by the demands of confidentiality.

 

GEOFFREY WILSON, Board Chairperson

      APPROVED BY AGENCY: June 29, 2015

      FILED WITH LRC: August 25, 2015 at 3 p.m.

      PUBLIC HEARING AND PUBLIC COMMENT PERIOD:

A public hearing on this administrative regulation shall be held on October 26,

2015, at 10:00 a.m. at Division of Occupations and Professions, 911 Leawood

Drive, Frankfort, Kentucky. Individuals interested in being heard at this

hearing shall notify this agency in writing no later than five business days

prior to the hearing, of their intent to attend. If no notification of intent

to attend the hearing is received by that date, the hearing may be canceled. This

hearing is open to the public. Any person who wishes to be heard will be given

an opportunity to comment on the proposed administrative regulation. A

transcript of the public hearing will not be made unless a written request for

a transcript is made. If you do not wish to be heard at the public hearing, you

may submit written comments on the proposed administrative regulation. Written

comments shall be accepted until close of business on November 2, 2015.

Send written notification of intent to attend the public hearing or submit

written comments on the proposed administrative regulation to:

      CONTACT PERSON: Kelly Wells, Board

Administrator, Division of Occupations and Professions, 911 Leawood Drive,

Frankfort, Kentucky 40602, phone (502) 782-8814, fax

(502) 696-5898.

 

REGULATORY IMPACT

ANALYSIS AND TIERING STATEMENT

 

Contact person: Kelly Wells

      (1) Provide a brief summary of:

      (a) What this administrative regulation

does: This administrative regulation establishes the code of ethics for a

credential holder.

      (b) The necessity of this administrative

regulation: The necessity of this regulation is to establish a general code of

ethics to govern the behavior of credential holders.

      (c) How this administrative regulation

conforms to the content of the authorizing statutes: The regulation is in

conformity as the authorizing statute gives the board the ability to promulgate

regulations regarding the code of ethics for a credential holder.

      (d) How this administrative regulation

currently assists or will assist in the effective administration of the

statutes: This regulation will assist in establishing the expected ethical

behavior of a credential holder and protect the public seeking alcohol and drug

related services.

      (2) If this is an amendment to an

existing administrative regulation, provide a brief summary of:

      (a) How the amendment will change this

existing administrative regulation: The amendments will hold the new

credentials established through the legislation enacted during the 2015

legislative session. They also will prohibit sexual relationships with current

and former clients.

      (b) The necessity of the amendment to

this administrative regulation: The amendments are necessary to establish a

code of ethics for a credential holder with a registration or license issued by

the board. They are also necessary to protect a peer support specialist who was

a former client of a facility or credential holder and is now employed by the

same.

      (c) How the amendment conforms to the

content of the authorizing statutes: The regulation is in conformity as the

authorizing statute gives the board the ability to promulgate regulations

regarding the code of ethics for a credential holder.

      (d) How the amendment will assist in the

effective administration of the statutes: The amendment will assist in

establishing a code of ethics for all credential holders.

      (3) List the type and number of

individuals, businesses, organizations, or state and local governments affected

by this administrative regulation: The board is unable to determine the exact

number of persons who would be impacted by this regulation since the applications

vary from month to month. There are presently 859 Certified Alcohol and Drug

Counselors.

      (4) Provide an analysis of how the

entities identified in question (3) will be impacted by either

the implementation of this administrative

regulation, if new, or by the change, if it is an amendment, including:

      (a) List the actions that each of the

regulated entities identified in question (3) will have to take to comply with

this administrative regulation or amendment: A credential holder will be

required to comply with the code of ethics or be subject to possible

disciplinary action.

      (b) In complying with this administrative

regulation or amendment, how much will it cost each of the entities identified

in question (3): There is no known new costs associate with this administrative

regulation.

      (c) As a result of compliance, what

benefits will accrue to the entities identified in question (3): The credential

holders will know the ethical standards expected of them by the board.

      (5) Provide an estimate of how much it

will cost to implement this administrative regulation:

      (a) Initially: No new costs will be

incurred by the changes.

      (b) On a continuing basis: No new costs

will be incurred by the changes.

      (6) What is the source of the funding to

be used for the implementation and enforcement of this administrative

regulation: The board’s operations are funded by fees paid by credential

holders and applicants.

      (7) Provide an assessment of whether an

increase in fees or funding will be necessary to implement this administrative

regulation, if new, or by the change if it is an amendment: There are no

increases in fees or funding is required to implement this administrative regulation.

      (8) State whether or not this

administrative regulation establishes any fees or directly or indirectly

increases any fees: There are no new fees or fee increases associated with the

amendments.

      (9) TIERING: Is tiering applied? Tiering

was not applied as the regulation is applicable to all credential holders. This

regulation does not distinguish between similarly situated individuals on the

basis of any factor.

 

FISCAL NOTE ON STATE OR

LOCAL GOVERNMENT

 

      1. What units, parts or divisions of

state or local government (including cities, counties, fire departments, or

school districts) will be impacted by this administrative regulation? Kentucky

Board of Alcohol and Drug Counselors.

      2. Identify each state or federal statute

or federal regulation that requires or authorizes the action taken by the

administrative regulation: KRS 309.0813(1) and (2).

      3. Estimate the effect of this

administrative regulation on the expenditures and revenues of a state or local

government agency (including cities, counties, fire departments, or school

districts) for the first full year the administrative regulation is to be in

effect. None

      (a) How much revenue will this

administrative regulation generate for the state or local government (including

cities, counties, fire departments, or school districts) for the first year? None.

      (b) How much revenue will this

administrative regulation generate for the state or local government (including

cities, counties, fire departments, or school districts) for subsequent years? None.

      (c) How much will it cost to administer

this program for the first year? None

      (d) How much will it cost to administer

this program for subsequent years? None

      Note: If specific dollar estimates cannot

be determined, provide a brief narrative to explain the fiscal impact of the

administrative regulation.

      Revenues (+/-):

      Expenditures (+/-):

      Other Explanation:
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