1. Ethical and Legal Aspects
Chapter 16
Ethical and Legal Aspects
of Counseling

2. Ethical and Legal Aspects
Counseling is an active profession based on values which are “orienting beliefs about what is good…and 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 Morality 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 one’s career

6. Common Unethical Behaviors
Violation of confidentiality
Exceeding one’s level of professional competence
Negligent practice
Claiming expertise one does not possess
Imposing one’s 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.

8. 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Codes are historical documents.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.

9. 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.

10. Types of Ethical Dilemmas
Confidentiality Role Conflict **
Role Conflict
Counselor Competence **
Conflicts with Employer/Institution
Degree of Dangerousness
**most difficult to resolve

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

12. 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 primary…ethical decisions are based on internalized ethical standards not external considerations.

13. Ethics in Specific Counseling Situations
Ethical behavior is greatly influenced by:
The prevalent attitudes in the setting in which one works.
One’s colleagues.
The task the counselor is performing (e.g., diagnosing).

14. 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.”

16. 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.

18. 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

19. 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.
Client’s condition poses a danger to self/others.

20. Exceptions Cases of child abuse or neglect.
Knowledge that the client is contemplating commission of a crime.
During court-ordered psychological evaluations.
For purposes of involuntary hospitalization.
Counselor has knowledge that the client is a victim of a crime.
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.”

24. Categories of Records Documents
Identifying or Intake Information
Assessment Information
Treatment Plan
Case Notes
Termination Summary
Other Data

25. 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.