This website publishes administrative rules on their effective dates, as designated by the adopting state agencies, colleges, and
universities.
Rule |
Rule 4757-5-01 | Standards of ethical practice and professional conduct.
Effective:
October 18, 2009
(A) The code of ethical practice and professional conduct constitutes the standards by which the professional conduct of counselors, social workers, and marriage and family therapists shall be measured. Each subject area is in a separate rule within Chapter 4757-5 of the Administrative Code. (B) The rules of standards of ethical practice and conduct shall apply to the conduct of all counselor, social worker, and marriage and family therapist licensees and registrants. (C) A violation of these rules of standards of ethical practice and professional conduct constitutes unprofessional conduct and is sufficient reason for a reprimand, suspension, revocation, other disciplinary action, or for restrictions placed upon a license or for the denial of the initial license or renewal, or reinstatement of a license. (D) The board subscribes to codes of ethics and practice standards for counselors, social workers, and marriage and family therapists promulgated by the "American Counseling Association" and the "National Association of Social Workers" and the "American Association for Marriage and Family Therapy". These association standards shall be used as aids in resolving ambiguities which may arise in the interpretation of the rules of professional ethics and conduct, except that the board's rules of standards of ethical practice and professional conduct shall prevail whenever any conflict exists between these rules and the professional association standards.
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Rule 4757-5-02 | Standards of ethical practice and professional conduct: clients/consumers of services.
Effective:
December 26, 2023
(A) Responsibility to clients/consumers
of services as to competency: (1) Licensees and
registrants shall be able to present reliable and substantial evidence of
competency in the areas in which they practice. Licensees and registrants shall
not misrepresent directly, indirectly or by implication their professional
qualifications such as education, specialized training, experience, or area(s)
of competence. Licensees or registrants shall not use a doctorate designation
in their professional capacity unless it is related to the field of mental
health and is from a recognized accredited educational
institution. (2) Licensees and
registrants shall practice only within the competency areas for which they are
qualified by education and training. Licensees and registrants shall maintain
appropriate standards of care based on their individual professional license.
Standards of care shall be defined as what an ordinary, reasonable professional
with similar training would have done in a similar circumstance. (3) While developing new
skills in specialty areas, a licensee or registrant of the board shall take
steps to ensure the competence of their work and to protect the clients from
possible harm. A licensee or registrant shall claim skills in specialty areas
only after appropriate education, training, and while receiving appropriate
peer consultation. (4) Licensees and
registrants do not diagnose, treat, or advise on problems outside the
recognized boundaries of their competencies and scope of practice. Licensees
and registrants shall make appropriate referrals when the client's needs
exceed the licensee's or registrant's competence level or scope of
practice. The referrals shall be made in a timely manner. (5) All licensees or
registrants of the board, in accordance with their scope of practice and
competence level, shall use techniques/ procedures/ modalities in diagnosing
and treating mental and emotional disorders that are grounded in theory and/or
have an empirical or scientific foundation, otherwise, they shall define the
techniques/ procedures as "unproven" or "developing" and
explain to their clients the potential risks and ethical considerations of
using such techniques/ procedures and take steps to protect clients from
possible harm. Individuals licensed at the level of professional counselor,
social worker and marriage and family therapist shall diagnose and treat mental
and emotional disorders only under proper supervision. (B) Responsibility to clients/consumers
of services as to informed consent: (1) Licensees or
registrants of the board shall inform clients/consumers of services the extent
and nature of services available to them, as well as the limits, rights,
opportunities and obligations associated with the services to be provided which
might effect the clients/consumers of services decisions to enter into or
continue the relationship. (2) Licensees and
registrants shall provide services to clients only in the context of a
professional relationship based on valid informed consent. Licensees and
registrants shall use clear and understandable language to inform clients of
the purposes of services, limit to the services due to legal requirements,
relevant costs, reasonable alternatives, the clients' rights to refuse or
withdraw consent, and the timeframe covered by the consent. (3) In instances when
clients are unable to read or understand the consent document or have trouble
understanding the primary language contained in the informed consent document,
licensees shall take steps to ensure the client's comprehension including
providing a detailed verbal explanation or arranging for a qualified
interpreter or translator as needed. If a client because of age or mental
condition is not competent to provide informed consent, the licensee shall
obtain consent from the parent, guardian, or court appointed
representative. (4) Best professional
practice dictates that a licensee or registrant of the board shall adhere to
the court documents provided such documents do not conflict with Chapter 4757.
of the Revised Code or agency 4757 of the Administrative Code. If a counselor,
social worker, or marriage and family therapist does not understand the court
document, they shall attempt to gain clarification before proceeding with
treatment. (5) Licensees and
registrants, as part of the on-going informed consent process, shall obtain any
relevant court documents pertaining to custody, visitation, shared parenting,
guardianship, or other matters, before proceeding with treatment. (6) In situations when clients are
receiving services involuntarily, licensees and registrants shall provide
information about the nature and extent of the services and about the
client's right to refuse services and the consequences of that
refusal. (7) Licensees or registrants of the board
who provide services via electronic means shall inform the clients and
recipients of the limitations and risks associated with such
services. (8) When a licensee or registrant
provides services to two or more clients who have a relationship with each
other and who are aware of each other's participation in treatment (for
example couples, family members), a licensee or registrant shall clarify with
all parties the nature of the licensee's professional obligations to the
various clients receiving services, including limits of confidentiality. A
counselor, social worker, or marriage and family therapist who anticipates a
conflict of interest among the clients receiving services or anticipates having
to perform in potentially conflicting roles (for example a licensee who is
asked or ordered to testify in a child custody dispute or divorce proceeding
involving clients) shall clarify their role with the parties involved and take
appropriate action to minimize any conflict of interest. (9) When a licensee or registrant sees
clients for individual or group treatment, there may be reason for a third
party to join the session for a limited purpose. The licensee shall ask the
client or legal guardian to provide written authorization that describes the
purpose and need for the third party to join the session and describes the
circumstances and extent to which confidential information may be disclosed to
the third party. The counselor, social worker, or marriage and family therapist
shall make it clear that the third party is not a client and there is no
confidentiality between the licensee and the third party. The licensee or
registrant shall make it clear to the third party that the third party shall
not have rights to access any part of the client's file including any
session in which they participated unless the client signs a release. A
counselor, social worker, or marriage or family therapist shall not make
recommendations to courts, attorneys or other professional concerning
non-clients. (10) When a court or other judicial body
orders an evaluation, assessment or other official report, the licensee shall
inform the client of the parameters of the court order. The counselor, social
worker, or marriage and family therapist shall not go beyond the parameters of
the court order without obtaining written permission from the court or other
judicial body. (11) A counselor, social worker, or
marriage and family therapist shall only make recommendations to a court,
attorney or other professional concerning a client. (12) Licensees and registrants shall
communicate information in ways that are both developmentally and culturally
appropriate. Licensees and registrants shall use clear and understandable
language when discussing issues related to informed consent. When clients have
difficulty understanding the language used by the licensee or registrant, they
shall provide necessary services (e.g., arranging for a qualified interpreter
or translator) to ensure comprehension by clients. In collaboration with
clients, counselors, social workers, or marriage and family therapists shall
consider cultural implications of informed consent procedures and, where
possible, licensees and registrants shall adjust their practices
accordingly. (C) Responsibility to clients/consumers
of services as to delegation: Licensees and registrants shall delegate
professional responsibilities to another person only when the licensee
delegating the responsibilities knows that the task is within the person's
scope of practice and the person qualifies by training, experience and/or
licensure to perform them. (D) Responsibility to clients/consumers
of services as to confidentiality: (1) Licensees and
registrants shall have a primary obligation to protect the client's right
to confidentiality as established by law and the professional standards of
practice. Confidential information shall only be revealed to others when the
clients or other persons legally authorized to give consent on behalf of the
clients, have given their informed consent, except in those circumstances in
which failure to do so would violate other laws or result in clear and present
danger to the client or others. Unless specifically contraindicated by such
situations, clients shall be informed and written consent shall be obtained
before the confidential information is revealed. (2) Licensees and
registrants shall discuss with clients and the clients' legally authorized
representatives, the nature of confidentiality and the limitation of
clients' right to confidentiality. Licensees and registrants shall review
with clients circumstances where confidential information may be requested and
where disclosure of confidential information is legally required. This
discussion shall occur as soon as possible in the professional relationship and
as needed throughout the course of the relationship. (3) When licensees and
registrants, within their scope of practice, provide counseling services to
families, couples, or groups, licensees and registrants shall seek agreement
among the parties involved concerning each individual's right to
confidentiality and obligations to preserve the confidentiality of information
shared by others. Licensees and registrants shall inform participants in
family, group, or couples counseling that the licensee cannot guarantee that
all participants shall honor such agreements. (4) Licensees and
registrants shall take reasonable and appropriate steps to protect the
confidentiality of information transmitted to other parties when using
computers, electronic mail, facsimile machines, telephones and telephone
answering machines, and other electronic or computer technology. (5) Licensees and
registrants shall explain the required limitations of confidentiality imposed
by a mandating authority when working with clients who have been mandated for
counseling services. Licensees shall also explain what type of information and
with whom that information is shared prior to the beginning of counseling. The
mandated client has the right to refuse services and the licensee shall, to the
best of their ability, explain the consequences possibly imposed by the
mandating authority of refusing the counseling services. (E) Responsibility to clients/consumers
of services as to termination: (1) Licensees and
registrants shall terminate services only after giving careful consideration to
factors affecting the relationship and making effort to minimize possible
adverse effects. If an interruption or termination of services is anticipated,
reasonable notification and appropriate referral for continued services shall
be provided to the client/consumer of services. (2) Licensees and
registrants employed by or contracted with an agency or practice, when leaving
the agency or practice, shall offer referrals to the client. The referral shall
include multiple options for the client to choose from, and the agency where
the client is currently being seen shall be included as an option, the
licensee's new practice location or agency may be one of the multiple
options. A licensee or registrant shall not offer their new practice or agency
location as the sole referral for services upon termination. Licensees and
registrants are prohibited from soliciting former clients (3) In the event that a
licensee or registrant is terminated for cause from a position as a volunteer
or paid licensee, it is not the responsibility of the licensee or registrant to
provide continuation of services or appropriate referrals. Licensees and
registrants who are terminated for cause shall not contact their
ex-clients. (F) Responsibility to clients/consumers
of services as to sexual harassment: Licensees and registrants shall not
sexually harass clients/consumers of services family members of clients,
ex-clients or other persons encountered in professional settings. Licensees
shall not sexually harass supervisees, students, or colleagues. Sexual
harassment includes sexual advances, sexual solicitation, requests for sexual
favors, and other verbal, non-verbal or physical conduct of a sexual nature. A
client of the agency is considered a client of each licensee and registrant
employed or contracted by the agency for purposes of ethics under the sexual
harassment section of this chapter. The duty of the licensee or registrant is
based on that particular clinician's knowledge of a client's identity
prior to starting a relationship. (G) Responsibility to clients/consumers
of services as to discrimination: (1) Licensees and
registrants shall not practice, condone, facilitate or collaborate with any
form of discrimination on the basis of age, sex, gender identity and
expression, sexual orientation, race, ethnicity, national origin, immigration
status, disability, religion, language, culture, veteran status, marital
status, political belief, housing status, and socioeconomic status.
(2) Licensees and
registrants should obtain education about and seek to understand the nature of
diversity with respect to age, sex, gender identity and expression, sexual
orientation, race, ethnicity, national origin, immigration status, disability,
religion, language, culture, veteran status, marital status, political belief,
housing status, and socioeconomic status. (H) Responsibility to clients/consumers
of services as to conduct with clients and other individuals: (1) Licensees and
registrants shall not physically or verbally abuse or threaten clients family
members of clients, ex-clients or other persons encountered in professional
settings. Licensees shall be aware that any physical touching between the
professional and the client is subject to review for appropriate professional
boundaries. The professional shall have the burden of proof to explain why
physical touching was professionally necessary. (2) Licensees and
registrants shall not use derogatory language in their written or verbal
communications to or about clients, ex-clients or family members of clients or
ex-clients. Licensees and registrants shall use accurate and respectful
language in all communications to and about clients and other persons in
professional settings. (I) Licensed independent social workers,
professional clinical counselors, and independent marriage and family
therapists shall provide appropriate supervision to licensees who do not hold
an independent license. This shall include ensuring all supervision
documentation is provided to the board in a timely fashion and meeting with the
supervisee on a regular basis to discuss the specific issues in the dependent
licensee's practice. Supervisors shall be accurate with all supervision
reporting issues. Supervisors shall not sign as the training supervisor, if
they did not provide direct supervision.
Last updated December 27, 2023 at 8:16 AM
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Rule 4757-5-03 | Standards of ethical practice and professional conduct: multiple relationships.
Effective:
September 2, 2019
(A) Counselors, social workers, or
marriage and family therapists shall avoid multiple relationships and conflicts
of interest with any client/consumer-of-services, ex-clients, family members of
clients or ex-clients, or other persons encountered in professional or
non-professional setting, which are not in the best interest of the client and
might impair professional judgment or which increases the risk of
client/consumer-of-services exploitation. (1) When a multiple
relationship is first recognized or cannot be avoided, counselors, social
workers, and marriage and family therapists shall take the following
appropriate professional precautions: (a) All potential multiple relationship and/or conflicts of
interest shall be discussed with the client as soon as possible after being
first recognized and shall continue only with both parties
agreement; (b) All multiple relationships and/or conflicts of interest shall
be noted in the client record with reasoning as to why it is in the best
interest of the client and/or not harmful; (c) Such notation shall be continually reassessed and justified
in the record; (d) Issues such as informed consent, consultation, and
supervision shall be considered to ensure that judgment is not impaired and
that no exploitation occurs. (2) A client of the
agency is considered a client of each counselor, social worker, or marriage and
family therapist employed or contracted by the agency for purposes of ethics
under the multiple relationships rule of this chapter. (3) The licensed
professional shall not undertake or continue a professional relationship with a
client/consumer-of-services when the objectivity or competency of the
counselor, social worker, or marriage and family therapist is, or could
reasonably be expected to be, impaired or where the relationship with the
client/consumer-of-services is exploitative. (4) Examples of multiple
relationships that shall be avoided include but are not limited to those listed
below. (a) Familial relationships; (b) Social relationships; (c) Emotional relationships; (d) Financial relationships; (e) Supervisory relationships; (f) Political relationships; (g) Administrative relationships; and/or (h) Legal relationships. (i) Social media/personal virtual relationships, including online
communities. (5) The list of
relationships in paragraph (A)(4) of this rule as well as others require
careful consideration to insure that impaired judgment or exploitation is not
involved and that the best interest of the client is served at all
times. (B) Counselors, social workers, and
marriage and family therapists shall avoid potentially harmful effects of
non-client contacts on their practice that would reasonably impair the
professional's objectivity or otherwise interfere with the
professional's effectiveness as a counselor, social worker, or marriage
and family therapist or would reasonably harm or exploit the other party. The
standard to be used shall be what an ordinary, reasonable professional with
similar education and training would have considered in similar
circumstances. (C) Licensees should adhere to paragraph (B)(6) of rule
4757-5-13 of the Administrative Code regarding internet searches for
information about current or prospective clients. (D) When counselors, social workers, and marriage and
family therapists provide services to two or more people who have a
relationship with each other (for example couples, family members), licensees
shall clarify with all parties which individuals shall be considered clients
and the nature of the licensee's professional obligations to the various
individuals who are receiving services. Licensees, who anticipate a conflict of
interest among the individuals receiving services or who anticipate having to
perform in potentially conflicting roles (for example, a licensee who is asked
or ordered to testify in a child custody dispute or divorce proceeding
involving clients), shall clarify their role with the parties involved and take
appropriate action to minimize any conflict of interest. If a licensee is asked
to testify in a child custody case, they should review rule 4757-6-01 of the
Administrative Code prior to any court appearance for guidance as to their role
in these circumstances.
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Rule 4757-5-04 | Standards of ethical practice and professional conduct: sexual relationships.
Effective:
December 26, 2023
(A) Licensees and registrants of the
counselor, social worker, and marriage and family therapist board shall not
engage in sexual relations with current clients, whether such contact is
consensual or forced. A client of the agency is considered a client of each
licensee or registrant employed or contracted at the agency for purposes of
ethics under the sexual relationships section of this chapter. The duty of the
licensee is based on that particular licensee's knowledge of a
client's identity prior to starting a relationship. (B) Licensees and registrants shall not
have sexual relations with clients and shall not counsel persons with whom they
have had a sexual relationship. (C) Licensees and registrants shall not
engage in sexual relations with former clients within a minimum of five years
after terminating the therapeutic relationship. Licensees and registrants who
choose to engage in such a relationship after a minimum of five years following
termination have the responsibility to thoroughly examine and document in the
clients record that such a relationship does not have an exploitative nature,
based upon factors such as duration of therapy, amount of time since therapy,
termination circumstances, client's personal history and mental status,
adverse impact on the client, power differentials, and actions by the
professional suggesting a plan with the client after termination. (D) A client of the agency is considered
a client of each licensees or registrants employed or contracted by the agency
for purposes of ethics under the sexual harassment, multiple relationships and
sexual relationships sections of this rule. Licensees and registrants shall not
engage in sexual activities or sexual contact with clients' relatives or
other individuals with whom clients maintain a close personal relationship when
there is a risk of exploitation or potential harm to the client. Sexual
activity or sexual contact with clients' relatives or other individuals
with whom the client maintains a personal relationship has the potential to be
harmful to the client and may make it difficult for the counselor, social
worker or marriage and family therapist to maintain appropriate professional
boundaries. Licensees and registrants, not their clients, their clients'
relatives, or other individuals with whom the client maintains a personal
relationship assume the full burden for setting clear, appropriate, and
culturally sensitive boundaries. The duty of the licensee is based on that
particular licensee's knowledge of a client's identity prior to
starting a relationship.
Last updated December 27, 2023 at 8:16 AM
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Rule 4757-5-05 | Standards of ethical practice and professional conduct: impaired practice.
Effective:
November 8, 2007
In impaired practice situations: counselors, social workers and marriage and family therapists shall not undertake or continue professional relationships with a client, supervisee, or student when the objectivity or competency of the counselor, social worker, or marriage and family therapist is or could reasonably be expected to be, impaired due to mental, emotional, physiological, pharmacological, or substance abuse conditions. If such a condition develops after a professional relationship has been initiated, the counselor, social worker, or marriage and family therapist shall terminate the professional relationship in an appropriate manner, shall notify the client of termination in writing, and shall assist the client in obtaining services from another professional.
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Rule 4757-5-06 | Standards of ethical practice and professional conduct: assessment and testing instruments.
Effective:
September 3, 2018
(A) General use of assessment and testing
instruments: (1) Appraisal techniques:
the primary purpose of educational and psychological assessment is to provide
measures that are objective and interpretable in either comparative or absolute
terms. Counselors, social workers, and marriage and family therapists shall
interpret the statements in this rule as applying to the whole range of
appraisal techniques, including test and non-test data. (2) Client welfare:
counselors, social workers, and marriage and family therapists shall promote
the welfare and best interests of the client in the development, publication,
and utilization of educational and psychological assessment results and
interpretations and take reasonable steps to prevent others from misusing the
information these techniques provide. They shall respect the client's
rights to know the results, of the interpretations made, and the bases for
their conclusions and recommendations. (B) Competence to use and interpret
assessment and testing instruments: (1) Limits of competence:
Counselors, social workers, and marriage and family therapists shall recognize
the limits of their competence and perform only those testing and assessment
services for which they have training. They shall be familiar with reliability,
validity, related standardization, error of measurement, and proper application
of any technique utilized. Counselors, social workers, and marriage and family
therapists using computer-based test interpretations shall be trained in the
construct being measured and the specific instrument being used prior to using
this type of computer application. Counselors, social workers, and marriage and
family therapists shall take reasonable measures to ensure the proper use of
psychological assessment techniques by persons under their
supervision. (2) Appropriate use:
Counselors, social workers, and marriage and family therapists are responsible
for the appropriate selection, application, scoring, interpretation, and use of
assessment instruments, whether they score and interpret such tests themselves
or use computerized or other services. (3) Decisions based on
results: Counselors, social workers, and marriage and family therapists
responsible for decisions involving individuals or policies that are based on
assessment results shall have a thorough understanding of educational and
psychological measurement, including validation criteria, test research, and
guidelines for test development and use. (4) Accurate information:
Counselors, social workers, and marriage and family therapists shall provide
accurate information and shall not make false claims when making statements
about assessment instruments or techniques. Counselors, social workers, and
marriage and family therapists shall seek to identify and correct client
misconceptions about assessment instruments or techniques and about the meaning
of scores, charts, or graphs given to them as assessment product. Special
efforts shall be made to avoid unwarranted connotations of such terms as
"IQ" and grade equivalent scores. (C) Informed consent in the use of
assessment and testing instruments: (1) Explanation to
clients: Prior to assessment, counselors, social workers, and marriage and
family therapists shall explain the nature and purposes of assessment and the
specific use of results in language the client (or other legally authorized
person on behalf of the client) can understand, unless an explicit exception to
this right has been agreed upon in advance. Regardless of whether scoring and
interpretation are completed by counselors, social workers, marriage and family
therapists, by assistants, or by computer or other outside services,
counselors, social workers, and marriage and family therapists shall take
reasonable steps to ensure that appropriate explanations are given to the
client. (2) Recipients of
results: The examinee's welfare, explicit understanding, and prior
agreement shall determine the recipients of test results. Counselors, social
workers, and marriage and family therapists shall include accurate and
appropriate interpretations with any release of individual or group test
results. (D) Release of information to competent
professionals of assessment and testing instrument results: (1) Misuse of results:
Counselors, social workers, and marriage and family therapists shall not misuse
assessment results, including test results, and interpretations, and take
reasonable steps to prevent the misuse of such by others. (2) Release of raw data:
Counselors, social workers, and marriage and family therapists shall ordinarily
release data (e.g. protocols, counseling or interview notes, or questionnaires)
in which the client is identified only with the consent of the client or the
client's legal representative. Such data shall usually be released only to
persons recognized by counselors, social workers, and marriage and family
therapists as competent to interpret the data. (E) Proper diagnosis of mental disorders
with the use of assessment and testing instruments: (1) Proper diagnosis:
Counselors, social workers, and marriage and family therapists, shall take
special care to provide accurate diagnosis of mental disorders. Assessment
techniques (including personal interview) used to determine client care (e.g.,
locus of treatment, type of treatment or recommended follow-up) shall be
carefully selected and appropriately used. (2) Cultural sensitivity:
Counselors, social workers, and marriage and family therapists, shall recognize
that culture affects the manner in which client's problems are defined.
Clients' socioeconomic and cultural experience shall be considered when
diagnosing mental disorders. (F) Test selection in the use and
interpretation of assessment and testing instruments: (1) Appropriateness of
instruments: Counselors, social workers, and marriage and family therapists
shall carefully consider the validity, reliability, psychometric limitations
and appropriateness of instruments when selecting tests for use in a given
situation or with a particular client. (2) Culturally diverse
populations: Counselors, social workers, and marriage and family therapists
recognize that the psychometric characteristics of a test (e.g., reliability,
validity) are a function of the cultural composition of the population in which
they were evaluated, validated, or normed. Licensees shall exercise due
diligence in selecting tests to be used within a culturally diverse population
in order to minimize the risk of inappropriate interpretation of test
scores. (G) Conditions of test administration
when using assessment and testing instruments: (1) Administration
conditions: Counselors, social workers, and marriage and family therapists
shall administer tests under the same conditions that were established in their
standardization. When tests are not administered under standard conditions or
when unusual behavior or irregularities occur during the testing session, those
conditions shall be noted in interpretation, and the results may be designated
as invalid or of questionable validity. (2) Computer
administration: Counselors, social workers, and marriage and family therapists
shall be responsible for ensuring that assessment administration programs
function properly to provide clients with accurate results when a computer or
other electronic methods are used for test administration. (3) Unsupervised
test-taking: Counselors, social workers, and marriage and family therapists
shall not permit unsupervised or inadequately supervised use of tests or
assessments unless the tests or assessments are designed, intended, and
validated for self administration and/or scoring. (4) Disclosure of
favorable conditions: prior to test administration, conditions that produce
most favorable test results shall be made known to the examinee. (H) Diversity when using assessment and
testing instruments: Counselors, social workers, and marriage and family
therapists shall be cautious in using assessment techniques, making
evaluations, and interpreting the performance of populations not represented in
the norm group on which an instrument was standardized. They shall recognize
the effects of age, culture, disability, ethnic group, gender, race, religion,
sexual orientation and socioeconomic status on test administration and
interpretation and place test results in proper perspective with these and
other relevant factors. (I) Test scoring and interpretation when
using assessment and testing instruments: (1) Reporting
reservations: In reporting assessment results, counselors, social workers, and
marriage and family therapists, shall indicate any reservations that exist
regarding validity or reliability because of the circumstances of the
assessment or the inappropriateness of the norms for the person
tested. (2) Research instruments:
counselors, social workers, and marriage and family therapists shall exercise
caution when interpreting the results of research instruments possessing
insufficient technical data to support respondent results. The specific
purposes for the use of such instruments shall be stated explicitly to the
examinee. (3) Testing services:
counselors, social workers, and marriage and family therapists who provide test
scoring and test interpretation services to support the assessment process
shall confirm the validity of such interpretations. They shall accurately
describe the purpose, norms, validity, reliability, and applications of the
procedures and any special qualifications applicable to their use. The public
offering of an automated test interpretations service is considered a
professional-to-professional consultation. The formal responsibility of the
consultant is to the consultee, but the ultimate and overriding responsibility
of the counselor, marriage and family therapist, or social worker is to the
client. (J) Test security when using assessment
and testing instruments: Counselors, social workers, and marriage and family
therapists shall maintain the integrity and security of tests and other
assessment techniques consistent with legal and contractual obligations.
Counselors, social workers, and marriage and family therapists shall not
appropriate, reproduce, or modify published tests or parts thereof without
acknowledgment and permission from the publisher. (K) Obsolete tests and outdated test
results when using assessment and testing instruments: Counselors, social
workers, and marriage and family therapists shall not use data or test results
that are obsolete or outdated for the current purpose. Counselors, social
workers, and marriage and family therapists shall make every effort to prevent
the misuse of obsolete measures and test data by others. (L) Test construction for assessment and
testing instruments: Counselors, social workers, and marriage and family
therapists shall use established scientific procedures, relevant standards, and
current professional knowledge for test design in the development, publication,
and utilization of educational and psychological assessment
techniques.
Last updated September 27, 2023 at 3:22 PM
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Rule 4757-5-07 | Standards of ethical practice and professional conduct: research and publication.
Effective:
September 3, 2018
(A) Responsibilities in conducting
research: (1) Use of human
subjects: Counselors, social workers, and marriage and family therapists shall
plan, design, conduct, and report research in a manner consistent with
pertinent ethical principles, federal and state laws, host institutional
regulations, and scientific standards governing research with human subjects.
Counselors, social workers, and marriage and family therapists shall design and
conduct research that reflects cultural sensitivity
appropriateness. (2) Deviation from
standard practices: Counselors, social workers, and marriage and family
therapists shall seek consultation and observe stringent safeguards to protect
the rights of research participants when a research problem suggests a
deviation from standard acceptable practices. (3) Precautions to avoid
injury: Counselors, social workers, and marriage and family therapists who
conduct research with human subjects are responsible for the subjects'
welfare throughout the experiment and shall take reasonable precautions to
avoid causing injurious psychological, physical, or social effects to their
subjects. Counselors, social workers, and marriage and family therapists shall
warn clients of any possible harm that might come from being involved in a
research project. (4) Principal researcher
responsibility: The ultimate responsibility for ethical research practice lies
with the principal researcher. All others involved in the research activities
share ethical obligations and full responsibility for their own
actions. (5) Minimal interference:
Counselors, social workers, and marriage and family therapists shall take
reasonable precautions to avoid causing disruptions in subjects' lives due
to participation in research. (6) Diversity:
Counselors, social workers, and marriage and family therapists shall be
sensitive to diversity and research issues. (B) Informed consent in conducting
research and publishing: (1) Topics disclosed: In
obtaining informed consent for research, counselors, social workers, and
marriage and family therapists shall use language that is understandable to
research participants and that: (a) Accurately explain the purpose and procedures to be
followed; (b) Identify any procedures that are experimental or relatively
untried; (c) Describe the attendant discomforts and risks; (d) Describe the benefits or changes in individuals or
organizations that might be reasonably expected; (e) Disclose appropriate alternative procedures that would be
advantageous for subject: (f) Offer to answer any inquiries concerning the
procedures; (g) Ascribe any limitations on confidentiality, and; (h) Instruct that subjects are free to withdraw their consent and
discontinue participation in the project at any time. (2) Deception:
Counselors, social workers, and marriage and family therapists shall not
conduct research involving deception unless alternative procedures are not
feasible and the prospective value of the research justifies the deception.
When the methodological requirements of a study necessitate concealment or
deception, the investigator shall explain clearly the reasons for this action
as soon as possible. (3) Voluntary
participation: Counselors, social workers, and marriage and family therapists
shall ensure that participation in research is voluntary and without any
penalty for refusal to participate. Involuntary participation shall be
appropriate only when investigators can demonstrate that participation shall
have no harmful effects on subjects and is essential to the
investigation. (4) Confidentiality of
information: Counselors, social workers, and marriage and family therapists
shall be responsible for ensuring information obtained about research
participants during the course of an investigation is confidential. When the
possibility exists that others may obtain access to such information, ethical
research practice requires that the possibility, together with the plans for
protecting confidentiality, shall be explained to participants as a part of the
procedure for obtaining informed consent. (5) Persons incapable of
giving informed consent: When a person is not capable of giving informed
consent, counselors, social workers and marriage and family therapists shall
provide an appropriate explanation, obtain agreement for participation and
obtain appropriate consent from a legally authorized person. (6) Commitments to
participants: Counselors, social workers, and marriage and family therapists
shall take reasonable measures to honor all commitments to research
participants. (7) Explanations after
data collections: After data is collected, counselors, social workers, and
marriage and family therapists shall provide participants with full
clarifications of the nature of the study to remove any misconceptions. Where
scientific or human values justify delaying or withholding information,
counselors, social workers and marriage and family therapists shall take
reasonable measures to avoid causing harm. (8) Agreements to
cooperate: Counselors, social workers, and marriage and family therapists who
agree to cooperate with another individual in research or publication incur an
obligation to cooperate as promised in terms of punctuality of performance and
with regard to the completeness and accuracy of the information
required. (9) Informed consent for
sponsors: In the pursuit of research, counselors, social workers, and marriage
and family therapists shall give sponsors, institutions, and publication
channels the same respect and opportunity for giving informed consent that they
accord to individual research participants. Counselors, social workers, and
marriage and family therapists shall be aware of their obligation to future
research workers and ensure that host institutions are given feedback
information and proper acknowledgment. (C) Reporting results of research and
publishing: (1) Information affecting
outcome: When reporting research results, counselors, social workers, and
marriage and family therapists shall explicitly mention all variables and
conditions known to the investigator that may have affected the outcome of a
study or the interpretation of this data. (2) Accurate results:
Counselors, social workers, and marriage and family therapists shall plan,
conduct and report research accurately and in a manner that minimizes the
possibility that results will be misleading. They shall provide thorough
discussions of the limitations of their data and alternative hypotheses.
Counselors, social workers, and marriage and family therapists shall not engage
in fraudulent research, distort data, misrepresent data, or deliberately bias
their results. (3) Obligation to report
unfavorable results: Counselors, social workers, and marriage and family
therapists shall communicate to other counselors, social workers, and marriage
and family therapists the results of any research judged to be of professional
value. Results that reflect unfavorably on institutions, programs, services,
prevailing opinions, or vested interests shall not be withheld. (4) Identity of subjects:
Counselors, social workers, and marriage and family therapists who supply data,
aid in the research of another person, report research results, or make
original data available shall take due care to disguise the identity of
respective subjects in the absence of specific authorization from the subjects
to do otherwise. (5) Replication studies:
Counselors, social workers, and marriage and family therapists shall make
available sufficient original research data to qualified professionals who may
wish to replicate the study. (D) Publication of research
results: (1) Recognition of
others: When conducting and reporting research, counselors, social workers, and
marriage and family therapists shall be familiar with, and give recognition to,
previous work on the topic, observe copyright laws, and give full credit to
those to whom credit is due. (2) Contributors:
Counselors, social workers, and marriage and family therapists shall give
credit through joint authorship, acknowledgment, footnote statements, or other
appropriate means to those who have contributed significantly to research or
concept development in accordance with such contributions. The principal
contributor shall be listed first and minor technical or professional
contributions shall be acknowledged in notes or introductory
statements. (3) Student research: For
an article that is substantially based on a student's dissertation or
thesis, the student shall be listed as the principal author. (4) Duplicate submission:
Counselors, social workers, and marriage and family therapists shall submit
manuscripts for consideration to only one journal at a time. Manuscripts that
are published in whole or in substantial part in another journal or published
work shall not be submitted for publication without acknowledgment and
permission from the previous publication. (5) Professional review:
Counselors, social workers, and marriage and family therapists who review
material submitted for publication, research, or other scholarly purposes shall
respect the confidentiality and proprietary rights of those who submitted
it.
Last updated September 27, 2023 at 3:22 PM
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Rule 4757-5-08 | Standards of ethical practice and professional conduct: payment for services.
(A) Payment for services: When setting fees, counselors, social workers, and marriage and family therapists shall ensure that the fees are fair, reasonable, and commensurate with the services performed. (B) Counselors, social workers, and marriage and family therapists shall not accept goods or services as payment for professional services. Bartering is prohibited. (C) Counselors, social workers, and marriage and family therapists shall not solicit a private fee or other remuneration for providing services to clients who are entitled to such available services through the counselor's, social worker's, or marriage and family therapist's employer or agency.
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Rule 4757-5-09 | Standards of ethical practice and professional conduct: record keeping.
Effective:
December 26, 2023
(A) Record keeping requirements: For each
client/consumer of services, a licensee or registrant shall keep records and
case notes of the dates of counseling, social work, marriage and family therapy
services, art therapy, and music therapy services; types of counseling, social
work, marriage and family therapy, art therapy, or music therapy services; a
brief summary of the session; termination, and billing information. Records
held by the licensee shall be kept for seven years. Records held or owned by
government agencies or educational institutions are not subject to this
requirement. Licensees shall keep all records in a secure location and shall
allow only authorized persons access to records. (B) Licensees and registrants shall take
reasonable steps to ensure that documentation in records is accurate and
reflects the services provided. Dates reflected in case notes shall be accurate
with respect to dates of service and dates the case notes were recorded.
Clinical records shall include but not be limited to appropriate diagnosis, if
any; treatment plan, revisions to the treatment plan, correspondence ,
individual service plans, in-take assessments, informed consent documents, and
releases of information documents. All notes regarding a client(s) must be
developed and approved by the licensee or registrant and shall not be the sole
work product of any other person or software/information technology system.
(C) Licensees and registrants shall
include sufficient and timely documentation in records to facilitate the
delivery of services and to ensure continuity of services provided to clients
in the future. (D) Licensee or registrant documentation
shall protect clients' privacy to the extent that it is possible and
appropriate and shall include only information that is directly relevant to the
delivery of services. (E) Licensees and registrants shall store
records following termination of services to ensure reasonable future access.
Records should be maintained as required by this rule unless a longer retention
period is required by statute or relevant contracts (F) Requirements regarding client access
to records are established in section 3701.74 of the Revised Code. Licensees
and registrants shall provide clients with reasonable access to records
concerning the client. Licensees and registrants who are concerned that a
client's access to their records could cause serious misunderstanding or
harm to the client shall provide assistance in interpreting the records and
consultation with the client regarding the records. If a licensee or registrant
who has treated the client determines for clearly stated treatment reasons that
disclosure of the requested record is likely to have an adverse effect on the
client, the licensee shall provide the record to a physician, psychologist,
licensed professional clinical counselor, licensed professional counselor,
independent social worker, social worker, independent marriage and family
therapist, marriage and family therapist, or chiropractor designated by the
client. The licensee shall take reasonable steps to establish the identity of
the person making the request to examine or obtain a copy of the client's
record. (G) A licensee or registrant shall not
condone, partake, or assist in billing irregularities with respect to insurance
companies or direct billing. (H) Licensees and registrants shall be
aware of and adhere to divisions (H)(1) and (H)(2) of section 3109.051 of the
Revised Code. That section in part states: "a parent of a child who is not
the residential parent of the child is entitled to access, under the same terms
and conditions under which access is provided to the residential parent, to any
record that is related to the child and to which the residential parent of the
child legally is provided access...unless the court determines that it would
not be in the best interest of the child for the parent who is not the
residential parent to have access to the records under those same terms and
conditions...any keeper of a record who knowingly fails to comply with the
order or division (H) of this section is in contempt of court." A complete
reading and understanding of this section is mandatory for any counselor,
social worker or marriage and family therapist providing services for
children. (I) When licensees and registrants leave
a practice, they shall follow a prepared plan for transfer of clients and
files. Licensees and registrants, with the exception of registered social work
assistants and registered trainees, shall prepare and disseminate to an
identified colleague or "records custodian" a plan for the transfer
of clients and files in the case of their incapacitation, death, or termination
of practice. Licensees at agencies that close can reference division (A)(14) of
section 5122.31 of the Revised Code for proper transfer of
records.
Last updated December 27, 2023 at 8:16 AM
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Rule 4757-5-10 | Standards of ethical practice and professional conduct: reporting unethical actions.
Effective:
December 26, 2023
(A) Mandatory reporting: All licensees,
registrants, supervisors and trainees have a responsibility to report any
alleged violations of this act or rules adopted under it to the counselor,
social worker, and marriage and family therapist board. Also, if a licensee or
registrant has knowledge or reason to suspect that a licensed colleague or
registrant, or other licensee or registrant, who is not a client, is acting in
an unethical way or is incompetent or impaired they shall report that
practitioner to the board. All mandatory reporting shall be in writing and bear
the name and license number or registration of the reporter. When client
confidentiality limits the licensee's ability to provide details the
licensee is still mandated to report the allegations against another licensee
without breaching client confidentiality. (B) Counselors, social workers, and
marriage and family therapists are required to comply with all mandatory
reporting requirements set forth in the Revised Code to include, but not
limited to: (1) Section 2305.51 of
the Revised Code - immunity of mental health professional for reporting violent
behavior by a client or patient; (2) Section 2151.421 of
the Revised Code - duty to report child abuse or neglect; (3) Section 5101.61 of
the Revised Code - duty to report abuse, neglect or exploitation of an
adult; (4) Section 2317.02 of
the Revised Code - privileged communications; and (5) Section 5123.61 of
the Revised Code - mandatory duty to report any abuse, neglect, other major
unusual incident (MUI) for a child or adult with an intellectual disability or
other developmental disability. (6) Section 959.07 of the
Revised Code - animal abuse reporting requirements.
Last updated December 27, 2023 at 8:17 AM
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Rule 4757-5-11 | Standards of ethical practice and professional conduct: change of name and/or address.
(A) All licensees or registrants are
required within ninety days to notify the board of any changes of name or
mailing address. Failure to do so may result in disciplinary action by the
board. (B) All applicants, licensees, or
registrants must furnish to the board, and maintain, an electronic mail
(e-mail) address for the purposes of licensure system access.
Last updated January 3, 2024 at 11:38 AM
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Rule 4757-5-13 | Standards of practice and professional conduct: teletherapy.
(A) Teletherapy means the use of real-time audio or audiovisual communications that permit accurate and meaningful interaction between at least two persons, one of whom is a licensee or registrant ("licensee") as defined in Ohio Revised Code Chapter 4757. For the purposes of this rule, modalities, including but not limited to phone, video, text, email, instant messaging/chat, are considered teletherapy. (1) All licensees providing counseling, social work or marriage and family therapy via teletherapy to persons physically present in Ohio shall be licensed in Ohio. (2) All licensees of this board providing services to client(s)s outside the state of Ohio shall comply with the laws and rules of the jurisdiction where the client is located at the time services are rendered. (B) Licensees shall consider their education, training, and experience before providing teletherapy services and provide only services for which they are competent. Licensees shall assume responsibility to continually assess both their professional and technical competence when providing teletherapy. (C) No initial in person or face to face audiovisual visit is necessary to initiate services using teletherapy modalities. (D) Licensees shall screen client(s) for appropriateness to receive services via teletherapy throughout the course of treatment, which includes considering their current mental and emotional status, conducive treatment modalities, and ongoing effectiveness of the service. The licensee shall screen the client(s)'s technological capabilities as part of the intake process and document any assistance provided to facilitate access. (1) Licensee shall regularly review whether use of teletherapy is meeting the clinical needs of the client(s). (E) A licensee is under no obligation to provide services via teletherapy if their clinical judgement indicates teletherapy is not an appropriate modality for delivering services to the client(s). (F) No licensee shall engage in teletherapy while operating a motor vehicle or similar equipment, nor shall any licensee engage in activities during teletherapy that do not allow the licensee to focus on the client(s) or prepare to document session. The licensee should terminate a session if it is determined while in a session the client is engaged in activities that could endanger themselves or others. (G) A licensee shall not provide teletherapy when either the client or licensee is in a setting where the confidentiality of the session could reasonably be expected to be compromised. (H) Licensees shall be aware of cultural and developmental differences and how they can affect non-verbal cues. Licensees shall also be aware of audio, visual, and cognitive impairment and the impact of these on the use of teletherapy services. Teletherapy methods should be appropriate to the client and their environment. (I) Licensees must maintain records in accordance with rule 4757-5-09 of the Administrative Code. Such records must clearly indicate when services are provided through teletherapy. (J) Licensees shall document all therapeutically relevant communication with client(s)s, to include emails, texts, instant messages, and chat history. (K) The licensee should ensure that practice or agency staff who are assisting a client(s)s with teletherapy services or providing teletherapy services are adequately trained in the usage of relevant software or equipment. (L) Licensees are not responsible for client(s) misuse of teletherapy devices during the provision of services. (M) ) During the initial session, licensees must establish informed consent in accordance with 4757-5-02(B) of the Administrative Code. Informed consent shall include information defining teletherapy delivery as practiced by the licensee, as well as potential risks, security issues, and confidentiality issue when receiving teletherapy. In the case of a minor client, the licensee must address any potential issues specifically associated with treating minors. (1) Client(s) shall be given sufficient opportunity to ask questions and receive answers about teletherapy. These discussions should be documented in the client(s) record. (2) Informed consent should include a discussion of how teletherapy may affect billing and access to insurance benefits. (3) Licensees shall document permission prior to recording any part of the teletherapy session. If licensees are storing audiovisual records from sessions, these cannot be released to client(s) unless authorization from the client(s) is obtained specifically stating the records are to be released. (4) Licensees shall not provide services without client(s) informed consent which can be documented through verbal acknowledgement, online signature, or by signing a hard copy form. Licensees must make available to the client a copy of the consent documents regardless of the form of consent by the client. (5) Licensees shall make available to clients links to websites for all certification bodies and licensure boards to facilitate consumer protection. Licensees shall provide a link to the board online license verification site on their web page. (6) Licensees shall obtain client(s) consent when conducting web searches to gather information about the client(s), except when searches are of public criminal records/public safety databases prior to an initial session with a client or when such searches may provide information to help protect the licensee, client(s) or other parties who may be at risk. (7) The licensee shall provide the client(s) information on how to access assistance in a crisis and outside of established business hours. (N) Licensees shall have a contingency plan for providing services to client(s)s when technical problems occur during a teletherapy session, or when technical problems prevent a session from occurring. This plan may include information on other qualified therapists who can provide services if needed. (O) Licensees shall confirm the client(s) location at the time services are rendered. (P) Licensees shall comply with all requirements under state and federal law regarding the protection of client confidentiality while providing services. Each provider shall ensure that any username or password information and any electronic communications between the provider, client, or third parties are securely transmitted and stored.
Last updated June 27, 2022 at 10:06 AM
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