STATEMENT OF EMERGENCY
201 KAR 35:030E
This emergency regulation establishes the
code of ethics for individuals who have been issued a registration,
certification, and licensure by the board. This emergency regulation is
necessary because Kentucky is facing an epidemic of alcohol and drug abuse,
especially heroin. During the 2015 legislative session, HB 92 was signed into
the law, which took effect on June 24, 2015, that expanded the credentials
regulated by the Kentucky Board of Alcohol and Drug Counselors and services
that may be offered by qualified, credentialed individuals. No administrative
hearing can be held until the regulation is promulgated. This emergency
regulation shall be replaced by an ordinary administrative regulation. The
ordinary administrative regulation is identical to this emergency
administrative regulation.
STEVE BESHEAR, Governor
GEOFFREY WILSON, Chairperson
GENERAL GOVERNMENT
CABINET
Board of Alcohol and
Drug Counselors
(Emergency Amendment)
201 KAR 35:030E. Code of Ethics.
RELATES TO: KRS 309.081
STATUTORY
AUTHORITY: KRS 309.0813(2)
EFFECTIVE: August
25, 2015
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.
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: