201 KAR 36:040.
Code of ethics.
RELATES TO: KRS
335.540(1)(g)
STATUTORY
AUTHORITY: KRS 335.515(3), (7), (11)
NECESSITY AND FUNCTION: KRS 335.515(11)
requires the board to promulgate a code of ethics for licensed professional counselors
and licensed professional counselor associates. This administrative regulation
establishes the required code of ethics.
Section 1. Definitions. (1)
"Client" means:
(a) An individual, family, or group for
whom the licensee provides services within the context of the licensee’s
practice of professional counseling;
(b) A corporate entity or other
organization if the licensee provides a service of benefit directly to the
corporate entity or organization; or
(c) A legal guardian who is responsible
for making decisions relative to the provision of services for a minor or
legally incompetent adult.
(2) "Dual relationship" means a
social, business, or personal relationship between a licensee and a client that
coexists with the professional-client relationship between the licensee and the
client.
Section 2. Responsibility to Clients. (1)
A professional counselor shall:
(a) Advance and
protect the welfare of his client;
(b) Respect the
rights of a person seeking his assistance; and
(c) Make reasonable
efforts to ensure that his services are used appropriately.
(2) A professional
counselor shall not:
(a) Discriminate
against or refuse professional service to anyone on the basis of race, gender,
religion, or national origin;
(b) Exploit the
trust and dependency of a client;
(c)1. Engage in a
dual relationship with a client that might:
a. Impair
professional judgment;
b. Incur a risk of
exploitation of the client; or
c. Otherwise
violate a provision of this administrative regulation.
2. 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 professional counselor shall take appropriate
professional precautions to ensure that judgment is not impaired and
exploitation of the client does not occur, which shall include:
a. Written informed
consent by the client of the client's understanding of the general prohibitions
against dual relationships:
b. Peer
consultation by a licensed professional listed in 201 KAR 36:060, Section 3;
and
c. Proper
documentation of the precautions taken by the licensee.
(d) Engage in a
sexual or an intimate relationship with a current client or with a former
client for five (5) years following the termination of counseling;
(e) Use his
professional relationship with a client to further his own interests;
(f) Continue
therapeutic relationships unless it is reasonably clear that the client is
benefiting from the relationship;
(g) Fail to assist
a person in obtaining other therapeutic services if the professional counselor
is unable or unwilling, for appropriate reasons, 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 counseling sessions without having
first obtained written informed consent from the client;
(j) Engage in
sexual or other harassment or exploitation of his client, student, trainee,
supervisee, employee, colleague, research subject, or actual or potential
witness or complainant in investigations and ethical proceedings; or
(k) Diagnose,
treat, or advise on problems outside the recognized boundaries of his
competence.
Section 3. Confidentiality.
(1) A professional counselor shall respect and guard the confidences of each
individual client.
(2) Professional
counselors shall not disclose a client confidence except:
(a) Pursuant to KRS
202A.400, 620.030, or 645.270 or as otherwise 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 therapy,
at which the professional counselor is a defendant; or
(d) In accordance with
the terms of a written waiver. If more than one (1) person in a family receives
counseling, a professional counselor shall not disclose information from a
particular family member unless he has obtained a waiver from that individual
family member. If the family member is a minor, a custodial parent or legal
guardian may provide a waiver.
(3) A professional
counselor may use client or clinical materials in teaching, writing, and public
presentations if:
(a) A written
waiver 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 professional
counselor shall store or dispose of client records so as to maintain
confidentiality.
Section 4. Professional
Competence and Integrity. A professional counselor shall maintain standards of
professional competence and integrity and shall be subject to disciplinary
action in accordance with KRS 335.540:
(1)(a) Upon
conviction of a felony, or a misdemeanor related to his practice as a
professional counselor; and
(b) Conviction
shall include adjudication based on:
1. A plea of no
contest or an "Alford Plea"; or
2. The suspension
or deferral of a sentence.
(2) If his license
or certificate is subject to disciplinary action by another state's regulatory
agency that the board determines violates applicable Kentucky state law or
administrative regulation;
(3) Upon a showing
of impairment due to mental incapacity or the abuse of alcohol or other
substances which could reasonably be expected to negatively impact the practice
of professional counseling; or
(4) He has failed
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 subpoenas issued by the board.
Section 5.
Responsibility to His Student or Supervisee. A professional counselor shall:
(1) Be aware of his influential position
with respect to a student or supervisee;
(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 himself as competent to perform a professional service
beyond his level of:
(a) Training;
(b) Experience; or
(c) Competence; and
(8) Not disclose the confidence of a
student or supervisee unless:
(a) Pursuant to KRS 202A.400, 620.030, or
645.270 or as otherwise 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
professional 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 student or supervisee; or
(e) In accordance with the terms of a
written informed consent agreement.
Section 6.
Financial Arrangements. A
professional 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
patient, third-party payor, or supervisee that:
(a) Are reasonably understandable; and
(b) Conform to accepted professional practices;
(4) Not offer or accept payment for a
referral; and
(5) Represent facts truthfully to a
client, third-party payor, or supervisee regarding services rendered.
Section 7.
Advertising. (1)
A professional counselor shall:
(a) Accurately represent education,
training, and experience relevant to the practice of professional counseling;
and
(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; and
4. Telephone or association directory
listing.
(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; or
(c) Deletes a material fact or
information.
Section 8. Referral and Termination. (1)
A licensee shall make a timely and appropriate referral of a client if:
(a) The licensee is unable to provide the
work or service; or
(b) The client's need exceeds the
competency of the licensee.
(2) A licensee shall terminate a
professional counseling service if a client:
(a) Has attained his stated goal or
objective; or
(b) Fails to benefit from the counseling
service.
(3) A licensee shall communicate the
referral or the termination of counseling service to a client.
(4) A licensee shall not terminate
counseling service or refer a client for the purpose of entering into a
personal relationship with the client, including:
(a) A sexual or an intimate relationship;
(b) A financial or business relationship;
or
(c) Other activity that might serve a
personal interest of the licensee. (25 Ky.R.
476; Am. 826; eff. 9-16-98; 29 Ky.R. 2512; 2869; eff. 6-16-03; 32 Ky.R. 2076;
33 Ky.R. 83; eff. 7-24-06.)
