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.)