††††† 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 certified alcohol and drug counselors. This administrative regulation establishes the required code of ethics.
††††† Section 1. Responsibility to Clients. (1) 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) 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. Religion; or
††††† 4. National origin;
††††† (b) Exploit the trust and dependency of a client;
††††† (c) Engage in a dual relationship with a client, 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.
††††† (d) Engage in a sexual relationship with a current client or with a former client for two (2) years following the termination of therapy;
††††† (e) Use the professional relationship with a client to further 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) An alcohol and drug counselor shall respect and guard the confidence of each individual client.
††††† (2) 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) An alcohol and drug counselor shall store or dispose of a client record so as to maintain confidentiality.
††††† Section 3. Publication Credit. 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. 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 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. 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 impact the practice of alcohol and drug counseling;
††††† (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) An alcohol and drug counselor who is aware of conduct by another 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) An alcohol and drug counselor shall comply with all the policies and procedures of the facilities where he is employed. If there is conflict with the policies or procedures of the facility and this code of ethics, the 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. 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 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) An alcohol and drug counselor performing research shall be aware of federal and state laws and regulations and professional standards governing the conduct of research.
††††† (2) 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) An alcohol and drug counselor requesting a participantís involvement in research shall:
††††† (a) Inform him of all aspects of the research that might reasonably affect 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) An alcohol and drug counselor performing research shall respect a participantís freedom to decline participation in or to withdraw from a research study at any time.
††††† (5) 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. 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 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;
††††† (5) Represent facts truthfully to a client, third-party payor, or supervisee regarding services rendered.
††††† Section 8. Advertising. (1) 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.
††††† (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. 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. An alcohol and drug counselor shall accurately document activity with a client in a timely manner.
††††† Section 11. Interprofessional Relationships. 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) An alcohol and drug counselor shall not offer professional service to a client in counseling with another professional except with the knowledge of the other professional or after the termination of the client's relationship with the other professional.
††††† (2) 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. (25 Ky.R. 947; Am. 2128; eff. 3-17-1999.)