Ethical and Legal Aspects

1
Chapter 16

• Ethical and Legal Aspects
• of Counseling

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Ethical and Legal Aspects

• Counseling is an active profession based on
  values which are orienting beliefs about what is
  goodand how that good should be achieved
  (Bergin, 1985).
• Values are at the core of counseling
  relationships.
• Counselors by necessity must be dependent on
  codes of ethics as well as external codes of law.
• Counselors who are not clear about their values,
  ethics, and legal responsibilities can cause harm
  despite their best intentions.

3
Definitions

• Ethics
• Normative in nature.
• Focus on principles and standards that govern
  relationships between individuals.
• Morality
• Involves judgment or evaluation of action.
• Associated with such words as good, bad, right,
  wrong, and should.

4
Definitions

• Law
• The precise codification of governing standards
  that are established to ensure legal and moral
  justice.
• Created by legislation, court decision, and
  tradition.
• Does not dictate what is ethical in a given
  situation only what is legal.

5
Temptations in Counseling

• Physical Intimacy
• Titillation of Gossip
• Opportunity (if the gamble plays off) to advance
  ones career

6
Common Unethical Behaviors

• Violation of confidentiality
• Exceeding ones level of professional competence
• Negligent practice
• Claiming expertise one does not possess
• Imposing ones values on a client
• Creating dependency in a client
• Sexual activity with a client
• Conflicts of interest
• Questionable financial arrangements
• Improper advertising

7
Professional Codes

• Designed to offer formal statements for ensuring
  protection of clients rights while identifying
  expectations of practitioners.
• Designed to provide some guidelines for the
  professional behavior of members on a personal
  level.
• Protect the profession from government
  intervention.
• Control internal disagreements.
• Protect practitioners from malpractice lawsuits.
• Helps increase public trust in profession
  integrity.

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Limitations of Ethical Codes

• General and idealistic seldom answer specific
  questions.
• Enforcing ethical codes is difficult.
• Some legal and ethical issues are not covered in
  codes.
• May be conflicts within the delineated standards.
• Codes are historical documents.
• Do not address cross-cultural issues.
• Do not address every possible situation.

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Conflicts Within and Among Codes

• Counselors must be able to differentiate an
  ethical dilemma from other types of dilemmas.
• Different ethical codes may offer conflicting
  guidelines.
• Conflicts may occur when counselors belong to two
  or more professional organizations whose codes of
  ethics differ.

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Types of Ethical Dilemmas

• Confidentiality Role Conflict
• Role Conflict
• Counselor Competence
• Conflicts with Employer/Institution
• Degree of Dangerousness
• most difficult to resolve

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Guidelines for Acting Ethically

• Personal and professional honesty.
• Acting in the best interest of clients.
• Act without malice or personal gain.
• Justify an action.

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Continuum of Reasoning(Van Hoose Paradise,
1979)

• Punishment Orientation external social
  standards are the basis for judging behaviors.
• Institutional Orientation believe in and abide
  by the rules of the institution where employed.
• Societal Orientation decisions are based on
  societal standards.
• Individual Orientation individual needs receive
  top priority at this stage.
• Principle Orientation concern for the
  individual is primaryethical decisions are based
  on internalized ethical standards not external
  considerations.

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Ethics in Specific Counseling Situations

• Ethical behavior is greatly influenced by
• The prevalent attitudes in the setting in which
  one works.
• Ones colleagues.
• The task the counselor is performing (e.g.,
  diagnosing).

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Dual Relationships

• Counselors may lose their objectivity and clients
  may be placed in a situation in which they cannot
  be assertive and take care of themselves.
• The thought and emotion that will take place will
  most likely have an impact on the therapeutic
  relationship.

15
The Law and Counseling

• The law offers few definite answers and there are
  always notable exceptions to any legal precedent.
• The only time that the law overrides a
  professional code of ethics is when it is
  necessary to protect the public health, safety,
  and welfare.

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1993 Napa County, CA, and Gary Ramona

• The legal opinion on which the case was decided
  was duty to care.
• The court held that health providers legal
  obligation is to not act negligently.

17
1996 U.S.Supreme Court Decision in Jaffee v.
Redmond

• Held that communications between licensed
  psychotherapists and their clients are privileged
  and do not have to be disclosed in cases held in
  federal court.

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Legal Aspects of the Relationship

• Counselors must follow specific guidelines in
  working with certain populations.
• Situations often involve the sharing of
  information among clients, counselors, and the
  court system broken down into
• Confidentiality
• Privacy
• Privileged Communication

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Exceptions

• Most states recognize and protect privileged
  communication in counselor-client relationships.
  Exceptions include
• Cases of a dispute between counselor and client.
• When the client raises the issue of mental
  condition in legal proceedings.
• Clients condition poses a danger to self/others.

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Exceptions

1. Cases of child abuse or neglect.
2. Knowledge that the client is contemplating
   commission of a crime.
3. During court-ordered psychological evaluations.
4. For purposes of involuntary hospitalization.
5. Counselor has knowledge that the client is a
   victim of a crime.
6. Cases of harm to vulnerable adults.

21
Group Counseling

• As opposed to individuals, the legal concept of
  privileged communication generally does not apply
  in group and family counseling (Anderson, 1996).

22
Civil and Criminal Liability

• Liability concerned with whether counselors
  have caused harm to clients.
• Directly connected to
• Malpractice
• Negligence
• Classified under two headings
• Civil Liability acting wrongly toward another
  or for failing to act when there is a recognized
  duty to do so.
• Criminal Liability working with a client in a
  way the law does not allow.

23
Client Records and Rights

• Implied Rights linked to substantive due
  process (constitutional rights).
• Explicit Rights focus on procedural due
  process.
• Basically, records should contain all
  information about the client necessary for his or
  her treatment.

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Categories of Records Documents

• Identifying or Intake Information
• Assessment Information
• Treatment Plan
• Case Notes
• Termination Summary
• Other Data

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Third Party Reimbursement

• It is critical for counselors who receive
  third-party reimbursement to make sure that their
  clients records refer to progress in terms of a
  treatment plan and a diagnosis.