201 KAR 17:041. Professional code of

ethics.

 

      RELATES TO: KRS 334A.180

      STATUTORY AUTHORITY: KRS 334A.080(3)

      NECESSITY, FUNCTION, AND CONFORMITY: KRS

334A.080(3) requires the Board of Speech-Language Pathology and Audiology to

promulgate responsible administrative regulations, including administrative

regulations which delineate qualifications for licensure and renewal of

licensure. This administrative regulation establishes the code of ethics.

 

      Section 1. Responsibility to Patients.

(1) A licensee shall:

      (a) Advance and protect the welfare of

the patient;

      (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 licensee shall not:

      (a) Exploit the trust and dependency of a

patient;

      (b)1. Except as provided by subparagraph

2 of this paragraph, engage in a dual relationship with a patient, including a

social, business, or personal relationship that may:

      a. Impair professional judgment;

      b. Incur a risk of exploitation of the

patient; 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 patient, or otherwise violate a provision of this

administrative regulation, a licensee shall take appropriate professional precautions

to ensure that judgment is not impaired and exploitation of the patient does

not occur;

      (c) Use his professional relationship

with a patient to further his own interests;

      (d) Continue a therapeutic relationship

unless it is reasonably clear that the patient is benefiting from the

relationship;

      (e) Fail to assist a person in obtaining

other therapeutic services if the licensee is unable or unwilling, for appropriate

reasons, to provide professional help;

      (f) Abandon or neglect a patient in

treatment without making reasonable arrangements for the continuation of

treatment;

      (g) Videotape, record, or photograph the

provision of services without having first obtained written informed consent

from the patient;

      (h) Permit third-party observation

without first obtaining oral or written informed consent from the patient;

      (i) Engage in sexual or other harassment

or exploitation of his patient, student, trainee, supervisee, employee,

colleague, research subject, or actual or potential witness or complainant in

an investigation or ethical proceeding; or

      (j) Diagnose, treat, or advise on a

problem outside the recognized boundaries of his competence.

 

      Section 2. Confidentiality. (1) A

licensee shall respect and guard the confidences of each individual patient.

      (2) A licensee shall not disclose a

patient 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 therapy, at which the

licensee is a defendant; or

      (d) In accordance with the terms of a

written waiver. If the patient is a minor, a parent may provide a waiver.

      (3) A licensee may use patient 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 patient identity and confidentiality.

      (4) A licensee shall store or dispose of

patient records so as to maintain confidentiality.

 

      Section 3. Professional Competence and

Integrity. A licensee shall maintain standards of professional competence and

integrity and shall be subject to disciplinary action in accordance with KRS

334A.180:

      (1) Upon conviction of a felony, or a

misdemeanor related to the practice of the licensee. Conviction shall include

adjudication based on:

      (a) A plea of no contest or an

"Alford Plea"; or

      (b) 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 negatively

impact the licensee’s practice;

      (4) If the licensee misrepresented or

concealed a material fact in obtaining a license, renewing a license, or

reinstating a license;

      (5) If he has refused to comply with an

order issued by the board; or

      (6) If 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 a subpoena

issued by the board.

 

      Section 4. Responsibility to His Student

or Supervisee. A licensee 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) Avoid a social, business, personal,

or other dual relationship that could:

      (a) Impair professional judgment; or

      (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 engage in sexual intimacy or

contact with a:

      (a) Student;

      (b) Employee; or

      (c) Supervisee;

      (6) 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;

      (7) Not disclose the confidence of a

student or supervisee except:

      (a) If permitted or mandated by law;

      (b) If 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

licensee is a defendant;

      (d) In an educational or training

setting, if there are multiple supervisors or professional colleagues who share

responsibility for the training of the supervisee; or

      (e) In accordance with the terms of a

written informed consent agreement.

 

      Section 5. Financial Arrangements. A

licensee shall:

      (1) Disclose his fees to a patient and

supervisee at the beginning of service;

      (2) Make financial arrangements with a

patient, third-party payor, or supervisee that:

      (a) Are reasonably understandable; and

      (b) Conform to accepted professional

practices;

      (3) Not offer or accept payment for a

referral; and

      (4) Represent facts truthfully to a

patient, third-party payor, or supervisee regarding services rendered.

 

      Section 6. Advertising. (1) A licensee

shall:

      (a) Accurately represent education,

training, and experience relevant to the practice; and

      (b) Not use professional identification,

including a business card, office sign, letterhead or telephone or association

directory listing, that includes a statement or claim that is false,

fraudulent, misleading, or deceptive pursuant to subsection (2) of this section.

      (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. (6 Ky.R. 242; eff. 12-5-1979; Am. 13 Ky.R. 516; eff.

10-2-1986; 26 Ky.R. 874; 1525; eff. 1-26-2000; 36 Ky.R. 851; 1448; eff.

2-5-2010.)