Ethical, Legal, and Professional Issues in Counseling

by Remley, Theodore; Herlihy, Barbara

• ISBN13: 9780131128149
• ISBN10: 0131128140
• Edition: 2nd
• Format: Paperback
• Copyright: 2005-01-01
• Publisher: Prentice Hall

Summary

From two leading scholars in the field of counseling, and written specifically for the future practicing counselor, this comprehensive volume offers an in-depth examination of the counseling profession. The authors approach each professional issue in counseling from both an ethicalanda legal point-of-view, offering readers a complete, integrated exploration of all facets. Difficult issues are addressed in a straightforward manner, and practical, realistic advice is proffered through vignettes that showcase typical situations and dilemmas faced by practicing counselors.

Table of Contents

SECTION I: FOUNDATIONS
Introduction	1	(21)
Professional Orientation	1	(5)
Morality, Ethics, Law, Professionalism, and Best Practice	2	(2)
A Model for Professional Practice	4	(2)
Professional Ethics	6	(9)
Foundations of Ethics	6	(1)
Principles and Virtues	7	(2)
Codes of Ethics	9	(3)
Ethical Decision Making	12	(2)
Power and Ethics	14	(1)
Legal Issues	15	(5)
Origins of Law	15	(1)
Recognizing Legal Issues	16	(1)
Obtaining Legal Advice	17	(1)
Exercising Professional Judgment	18	(1)
Personal Values Systems of Counselors	19	(1)
Summary and Key Points	20	(2)
Professional Identity of Counselors	22	(29)
Philosophy Underlying the Counseling Profession	23	(3)
The Wellness Model	23	(2)
A Developmental Perspective	25	(1)
Prevention and Early Intervention	25	(1)
Empowerment of Clients	26	(1)
Counseling Services	26	(1)
Counselor Preparation Programs	27	(1)
Credentialing	28	(6)
Degree	29	(1)
State License	29	(1)
State Agency Certification	30	(1)
National Voluntary Certification	31	(1)
Program Accreditation	32	(1)
Ethical Standards Related to Credentialing	33	(1)
Evolution of the Counseling Profession	34	(4)
Origins of the Profession	34	(1)
Counseling Psychology	34	(1)
School Counseling	35	(1)
Vocational Rehabilitation Counseling	35	(1)
Counseling as a New Profession	36	(1)
Steps in Becoming a Profession	37	(1)
Progress Toward Professionalization	38	(1)
Professional Associations of Counselors	38	(4)
American Counseling Association	38	(1)
ACA Divisions	39	(2)
ACA State Branches	41	(1)
Other Associations	41	(1)
Current Issues Related to Professional Identity	42	(3)
Specialties Versus One United Profession	42	(1)
Organizational Structure of ACA	43	(1)
CACREP Accreditation of Specialties	44	(1)
Varying State Licensure and Certification Requirements	44	(1)
Legal and Political Issues	45	(2)
Challenges to the Scope of Practice of Counselors	45	(1)
Job Classifications for Counselors	46	(1)
Third-Party Reimbursement	47	(1)
Identity and Professionalism	47	(2)
Counseling and Other Mental Health Professions	47	(1)
Pride in the Counseling Profession	48	(1)
Summary and Key Points	49	(2)
Professional Practice in a Multicultural Society	51	(16)
The Evolution of Ethical Considerations in Multicultural Counseling	51	(1)
Becoming a Multiculturally Competent Counselor	52	(6)
Self-Awareness	54	(1)
Knowledge	55	(1)
Skills	56	(2)
Gender Issues	58	(1)
Multiple Cultural Identities	58	(2)
Multicultural Supervision	60	(1)
Multiculturalism and Ethical Standards	61	(2)
Protecting Culturally Different Clients from Harm	63	(1)
Clients Who May Be Victims of Illegal Discrimination	63	(1)
Gay and Lesbian Clients and Family Law Issues	64	(1)
Cultural Issues in Crisis Counseling	65	(1)
Advocacy and Counseling	65	(1)
Summary and Key Points	66	(1)
SECTION II: ISSUES
Client Welfare and Informed Consent	67	(23)
Client Welfare	67	(10)
Counselor Needs and Values	68	(3)
Client Dependency	71	(1)
Involuntary or Mandated Clients	72	(1)
Counseling Techniques	73	(1)
Interruptions and Termination	74	(3)
Informed Consent	77	(11)
Contract Law	78	(1)
Informed Consent in Medicine	78	(2)
Informed Consent in Mental Health	80	(1)
Written Disclosure Statements	81	(7)
Summary and Key Points	88	(2)
Confidentiality and Privileged Communication	90	(29)
Confidentiality	91	(5)
Origins of Confidentiality	91	(1)
The Rationale for Confidentiality	92	(1)
Counselor Practices and Confidentiality	93	(2)
Ethical Standards and Confidentiality	95	(1)
Privileged Communication	96	(13)
Origins of Privileged Communication	97	(2)
The Rationale for Privileged Communication in Counseling Relationships	99	(8)
Asserting the Privilege	107	(1)
Responding to Subpoenas	108	(1)
Suits for Disclosure	108	(1)
Exceptions to Confidentiality and Privileged Communication	109	(8)
Client Waiver of the Privilege	109	(1)
Death of the Client	109	(1)
Sharing Information with Subordinates or Fellow Professionals	110	(3)
Protecting Someone Who Is in Danger	113	(1)
Counseling Multiple Clients	113	(2)
Counseling Minor or Legally Incompetent Clients	115	(1)
Court-Ordered Disclosures	115	(1)
Legal Protections for Counselors in Disputes	116	(1)
Other Legal Exceptions	116	(1)
Diversity Considerations in Confidentiality and Privileged Communication	117	(1)
Summary and Key Points	118	(1)
Records and Subpoenas	119	(22)
Records	119	(17)
Ethical Issues and Standards Related to Records	120	(1)
Legal Requirements	121	(1)
Confidentiality and Privileged Communication Requirements	122	(1)
Purposes of Records	122	(2)
Types of Records Kept by Counselors	124	(2)
Clinical Case Notes	126	(4)
Client Access to Records	130	(1)
Federal Laws Affecting Counseling Records	131	(1)
Health Insurance Portability and Accountability Act	131	(2)
Family Educational Rights and Privacy Act	133	(1)
Federally Funded Substance Abuse Programs	134	(1)
Other Federal Statutes	134	(1)
Handling, Storing, and Destroying Records	135	(1)
Voluntarily Transferring Records	136	(1)
Subpoenas	136	(3)
Discovery in Litigation	137	(1)
Validity of Subpoenas	137	(1)
Interrogatories	138	(1)
Appearances at Proceedings	138	(1)
Testimony Under Oath	139	(1)
Turning Over Records	139	(1)
Summary and Key Points	139	(2)
Competence and Malpractice	141	(28)
Competence as an Ethical and Legal Concept	142	(1)
Counselor Preparation Issues	143	(1)
Credentialing	144	(3)
Licensure	144	(2)
Certification	146	(1)
Specialties	146	(1)
Maintaining Competence	147	(4)
Continuing Education	147	(1)
Peer Review	147	(1)
Information Technologies	148	(1)
Making Referrals	148	(2)
Diversity Considerations in Counseling Competence	150	(1)
Counselor Incompetence	151	(3)
Distress, Burnout, and Impairment	151	(3)
Malpractice	154	(13)
Suicidal Clients	155	(2)
Clients Who May Be at Risk for Harming Others	157	(7)
A Hypothetical Malpractice Case	164	(2)
Real Malpractice Cases	166	(1)
Summary and Key Points	167	(2)
Boundary Issues	169	(24)
Nonsexual Dual Relationships	170	(15)
The Potential for Harm	170	(2)
The Problematic Nature of Dual Relationships	172	(2)
Diversity Considerations	174	(1)
Boundary Crossings Versus Boundary Violations	175	(2)
The Legal Perspective on Boundary Crossings	177	(1)
Specific Boundary Issues	177	(7)
Ethical Decision Making	184	(1)
Sexual Dual Relationships	185	(5)
The Offending Mental Health Professional	186	(1)
Harm to Clients	186	(1)
Legal Consequences for Offending Counselors	187	(2)
Postcounseling Sexual Relationships	189	(1)
Sexual Attraction to Clients	189	(1)
Counseling Clients Who Have Been Abused by Previous Counselors	190	(1)
Summary and Key Points	190	(3)
Counseling Children and Vulnerable Adults	193	(22)
Counseling Minor Clients	193	(15)
Legal Status and Rights of Minors	194	(1)
The Rights of Parents	195	(4)
Responding to Parents Who Demand Confidential Counseling Information	199	(1)
Children at Risk for Harm to Self or Others	200	(1)
Release of Records	201	(1)
Confidentiality in School Counseling	201	(1)
Confidentiality in Consultations	202	(1)
Reporting Suspected Child Abuse or Neglect	202	(3)
School Violence	205	(1)
Dual or Multiple Relationships	206	(1)
Diversity Considerations with Minors	207	(1)
Vulnerable Adults	208	(5)
Elder or Vulnerable Adult Maltreatment	208	(3)
Other Issues in Counseling Older Adults	211	(1)
Diversity Considerations in Counseling Older Adults	212	(1)
Clients Who Have Been Declared Legally Incompetent	213	(1)
Summary and Key Points	213	(2)
Counseling Families and Groups	215	(20)
Family Counseling	215	(11)
Informed Consent	216	(2)
Client Welfare	218	(1)
Risky Techniques	218	(1)
Family Violence	219	(1)
Privacy and Confidentiality	220	(1)
Privileged Communication	220	(1)
Family Secrets	221	(1)
Divorce and Child Custody	222	(2)
Counselor Competence	224	(1)
Diversity Considerations	225	(1)
Group Counseling	226	(7)
Informed Consent	227	(1)
Screening	228	(1)
Client Welfare and Protection from Harm	229	(1)
Privacy and Confidentiality	229	(1)
Confidentiality with Minors	230	(1)
Privileged Communication	230	(1)
Dual Relationships	230	(1)
Socializing Among Members	231	(1)
Counselor Competence	232	(1)
Diversity Considerations in Group Counseling	232	(1)
Summary and Key Points	233	(2)
Evaluation, Testing, and Diagnosis	235	(20)
Evaluation and Assessment	236	(2)
Objectivity in Evaluation	236	(1)
Client Welfare and Informed Consent	236	(1)
Competence in Evaluation	236	(1)
The Counselor as Expert Witness	237	(1)
Testing	238	(10)
Developing and Publishing Tests	238	(1)
Test Security	239	(1)
Copyright Laws	239	(1)
Competence to Test	240	(5)
Release of Testing Records	245	(1)
Providing Explanations to Clients	245	(2)
Diversity Issues in Testing	247	(1)
Diagnosis	248	(5)
Informed Consent	249	(1)
Consulting with Physicians	250	(1)
Qualifications to Diagnose	250	(1)
Diversity Considerations in Diagnosis	251	(1)
Legal Issues in Diagnosis	252	(1)
Summary and Key Points	253	(2)
Professional Relationships and Private Practice	255	(17)
Professional Relationships	255	(9)
Employer/Employee Relationships	256	(1)
Counselors as Employees	256	(3)
Counselors as Employers	259	(2)
Confidential Information	261	(1)
Referrals	262	(1)
Respecting Other Professionals	263	(1)
Private Practice	264	(7)
Taxes and Business Licenses	264	(2)
Business Form	266	(1)
Fees for Services	267	(1)
Attorney and Accountant Services	268	(1)
Professional Liability Insurance	269	(1)
Making the Transition	269	(2)
Summary and Key Points	271	(1)
Technology and Health Care Plans	272	(20)
Technology	272	(9)
Telephones	272	(1)
Answering Machines, Voice Mail, and Answering Services	273	(1)
Telephone Pagers	274	(1)
Cellular Telephones	274	(1)
Facsimile Machines	275	(1)
Office Security	275	(1)
Computer Storage	275	(1)
Electronic Mail Communications	276	(2)
Use of the Internet	278	(2)
Diversity Considerations in the Use of Technology	280	(1)
Health Care Plans	281	(10)
State Insurance Laws	281	(1)
Types of Health Care Plans	282	(1)
Managed Care	282	(1)
Counselors as Service Providers	283	(1)
Client Privacy	284	(1)
Diagnosis	285	(1)
Informed Consent	285	(1)
Receiving Payment for Services	285	(1)
Continuing Treatment and Denial of Services	286	(1)
Avoiding Fraud	287	(3)
Changing Nature of Health Care Plans	290	(1)
Diversity Considerations	290	(1)
Summary and Key Points	291	(1)
Issues in Counselor Education	292	(21)
Counselor Education Programs	292	(11)
Informed Consent	292	(1)
Admissions	293	(1)
Curriculum Issues	294	(2)
Evaluation Issues	296	(3)
Retention, Dismissal, and Endorsement	299	(4)
Faculty and Student Issues	303	(8)
Faculty Competence	303	(1)
Diversity Considerations	303	(1)
Student--Faculty Research Collaboration	304	(1)
Personal Relationships Between Counselor Educators and Students	305	(4)
Diversity Considerations in Faculty--Student Relationships	309	(1)
Relationships Among Students	309	(1)
Responsibilities of Students	310	(1)
Summary and Key Points	311	(2)
Supervision and Consultation	313	(19)
Supervision	314	(11)
Fair Evaluation	314	(1)
Informed Consent	315	(1)
Supervision Agreements	315	(2)
Supervisor Competence	317	(1)
Confidentiality Concerns	318	(1)
Supervisory Relationships	318	(3)
Accountability and Responsibility	321	(1)
Vicarious Liability	321	(2)
Supervisor and Supervisee Rights and Responsibilities	323	(1)
Diversity Considerations in Supervision	324	(1)
Consultation	325	(5)
Accountability	325	(1)
Consultation Contracts	326	(1)
Consultant Competence	327	(1)
Safeguarding Consultee and Client Rights	327	(2)
The Consultation Relationship	329	(1)
Diversity Considerations in Consultation	329	(1)
Summary and Key Points	330	(2)
Research and Publications	332	(17)
Conducting Research	332	(7)
Research Roles	332	(1)
Research Design	333	(2)
Protecting Research Participants from Harm	335	(2)
Institutional Review Boards	337	(1)
Reporting Results	337	(1)
Feedback to Participants	337	(1)
Honest and Accurate Reporting of Results	338	(1)
Cooperating with Other Researchers	339	(1)
Publications	339	(8)
Giving Credit to Contributors	339	(4)
Submitting Work for Publication Consideration	343	(1)
Copyright Laws	343	(3)
Contracts	346	(1)
Reporting Income	347	(1)
Summary and Key Points	347	(2)
Resolving Legal and Ethical Issues	349	(77)
Legal and Ethical Decision Making	349	(1)
Personal Legal Decision Making	349	(1)
Personal Ethical Decision Making	350	(1)
Responding to Accusations of Unethical or Illegal Behavior	350	(3)
Informal Complaints	351	(1)
Formal Complaints	352	(1)
When You Suspect a Colleague Is Acting Unethically or Illegally	353	(8)
Unethical Behavior	353	(4)
Illegal Behavior of Others	357	(1)
A Complex Case	358	(1)
Guidelines for Avoiding Problems	358	(3)
APPENDIXES
Appendix A American Counseling Association Code of Ethics and Standards of Practice	361	(24)
Appendix B Contact Information	385	(1)
Appendix C American Counseling Association Cross-Cultural Competencies	386	(3)
Appendix D Association for Specialists in Group Work: Principles for Diversity-Competent Group Workers	389	(4)
Appendix E Counseling Disclosure and Agreement Forms	393	(8)
Appendix F Client Request Form to Transfer Records	401	(1)
Appendix G Clinical Supervision Model Agreement	402	(1)
Appendix H APA Record Keeping Guidelines	403	(3)
Appendix I Examples of Mandatory Child Abuse Reporting Statutes	406	(1)
Appendix J-1 ACA Standards for the Internet	407	(3)
Appendix J-2 National Board for Certified Counselors Standards for the Ethical Practice of Web Counseling	410	(2)
Appendix J-3 APA Statement on Services by Telephone, Teleconferencing, and Internet	412	(1)
Appendix J-4 NCDA Guidelines for the Use of the Internet for Provision of Career Information and Planning Services	413	(3)
Appendix J-5 ACES Guidelines for Online Instruction in Counselor Education	416	(4)
Appendix K Clinical Supervision Model Agreement	420	(2)
Appendix L Ethical Guidelines for Counseling Supervisors	422	(4)
References	426	(22)
Author Index	448	(6)
Subject Index	454

Excerpts

We think you will find it useful to know something about us, the coauthors of this text, and how we came to write this book. Currently, we are both professors in the counseling graduate program at the University of New Orleans. Ted Remley is an attorney with several years of legal experience and also has been a school and community college counselor. Barbara Herlihy has worked as a school counselor and a Licensed Professional Counselor in private practice, and is presently a counselor educator with a special interest in counselor ethics.Although we have been colleagues at the same institution only since 1997, we worked together over a period of many years, coauthoring articles and presenting numerous workshops on law and ethics in counseling. It was through these workshops that the idea for this book was born. The counselors who attended our workshops had much in common, although they practiced in a variety of settings with diverse clientele. They shared a deep and abiding commitment to the welfare of their clients, a desire to stay current with the ethical standards of their profession, and a need to feel competent in dealing with legal issues that arose in their work. At the same time, they sometimes felt overwhelmed by the complex and conflicting demands of situations they encountered. They frequently had difficulty distinguishing between legal and ethical issues. As we worked together in our presentations to these counselors, we found that we very rarely disagreed with each other, but we did bring differing perspectives. Barbara's ethics orientation led her to focus on client welfare and to emphasize protecting the client. Ted, with his legal orientation, helped us to consider another dimension, that of protecting the counselor. We believebothperspectives are important.Because both of us regularly teach graduate courses in professional orientation and ethics, we found ourselves discussing the need for a textbook written specifically forcounselorsthat would address ethical, legal, and professional issues. Thus, out of our backgrounds and shared interests was conceived a textbook that is unique in that it approaches each professional issue in counseling from both an ethical perspective and a legal viewpoint. We believe you will find this integrated approach particularly helpful as you grapple with the complexities inherent in the work of the counselor.We also believe that the best learning is active rather than passive and personalized rather than abstract. We hope that you will actively discuss and even argue the issues that are raised throughout the book and that you will work to develop your own personal stance on these issues. Typical situations and dilemmas that counseling practitioners encounter are presented in each chapter and are depicted in the CD of videotaped vignettes, available separately. We ask you to imagine that you are the counselor in each vignette and attend to what you would think, how you would feel, and what you might do in the situation. In these vignettes, as in real life, there is rarely a single right answer to the counselor's dilemma, so we hope that the vignettes will spark lively discussion.