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Chapter Six: Ethical and Legal Issues
Chapter Overview
After describing the licensure process in chapter five, chapter six focuses on the ethics
and legalities for professional counselors. Counselors must possess a working knowledge of
professional and legal issues in order to establish a professional identity and engage in effective
from breaking the law, the goal between the code of ethics and the law encourages harmonious
relationships between people, and they establish boundaries that promote professional behaviors
while protecting clients’ rights.
As chapter six progresses, it highlights the moral principles that serve as foundational
pieces for the code of ethics. These principles consist of autonomy, nonmaleficience,
of the various consequences.
A major part of chapter six involves specific ethical and legal issues. Students delve into
issues such as competence and scope of practice, informed consent, confidentiality and
privileged communication, protection of clients or others from harm, professional boundaries
and dual relationships, HIPAA, and application of technology in counseling. As students train to
Learning Objectives
By the end of this chapter, students should be able to:
• List and describe the four reasons for the significance of ethical codes and the law
• List and describe the four processes set up to legally protect clients
• Explain the relationship between code of ethics and the law
• List and describe the six foundational principles of the code of ethics
Key Words/Terms
• Autonomy- the client’s capacity and right to self-direct and be an informed consumer of
the service
• Beneficence- involves promoting good for others.
• Civil law- responses of courts to controversies between two or more people.
• Confidentiality- the ethical responsibility to safeguard client-related information gained
through the professional relationship and disclose only when fully informed clients give
• Fidelity- practice of honoring commitments and keeping promises.
• Informed consent- refers to the right of clients to be clearly informed regarding the nature
of their counseling and make autonomous decisions regarding it.
• Justice- fairness and equality of treatment.
• Legal codes- standards of behavior that are enforced by governmental agencies.
relationship.
• Professional disclosure statement and client bill of rights- document given to the client
by the counselor that summarize the professional qualifications of the counselor, the
nature of the treatment, the fees, and client’s rights and options of recourse.
Lecture Outline for Chapter Six
Ethical and Legal Issues
I. The Significance of Ethical Codes and the Law
A. Promotes professionalism and excellence
B. Provide principles on which appropriate courses of action can be identified
C. Set up parameters to protect clients from counselors who are impaired, make poor
decisions, misapply power and influence, and engage in overt misconduct
D. Mental health counselors find some protection from litigation by adhering to
ethical and legal codes
II. The Relationship Between the Law and Codes of Ethics
A. Various processes have been established by society and professions to protect
consumers from incompetent, unlawful, or unethical counselors
2.Civil Law Proceedings
4.Peer Control Mechanisms
B. Both harmony and conflict in relationship
C. Generally speaking, the ethical code upholds professional standards of conduct
that are higher than legal standards
III. Foundational Principles of Ethical Codes
A. Autonomy- facilitating increased independence and self-direction in clients
B. Nonmaleficience- refers to the avoidance of doing intentional or unintentional
harm
IV. Codes of Ethics
A. Numerous organizations have created codes to aid professionals
1. ACA and AMHCA most relevant for mental health counselors
3.Other codes developed by APA, NASW, AAMFT
B. Three primary objectives of code of ethics:
2. Identifies a set of standards to which professional counselors are
accountable
3. Act as catalysts for improving counseling services
C. ACA Code of Ethics consists of preamble, a purpose statement and eight sections:
1. The Counseling Relationship
3. Professional Responsibility
5. Evaluation, Assessment, and Interpretation
7. Research and Publication
9. Resolving Ethical Issues
D. AMHCA Code of Ethics consists of preamble and guidance in the following
sections:
1. Commitment to Clients
3. Commitment to Students, Supervisees and Employee Relationships
5. Commitment to the Public
6. Resolution of Ethical Problems
V. The Role of the ACA Ethics Committee and Investigation of Alleged Violations
A. Promotes sound ethical behavior within the counseling profession by monitoring
the professional conduct of ACA members
B. Responsibilities
C. Investigation Process and Consequences
2. Probation
4. Permanent Expulsion (unanimous vote required)
VI. Specific Ethical and Legal Issues
A. Competence and Scope of Practice
1. Establishing competence is essential to developing trust with a client
3. From a legal perspective, counselors practice within the areas of
competency as identified by the state law
B. Informed Consent
1. Informed Consent- refers to the right of clients to be clearly informed
regarding the nature of their counseling and make autonomous decisions
regarding it
2. Professional Disclosure Statement and Client Bill of Rights- document
3. For consent to be given:
a. Clients must understand the concepts, procedures, and implications
conveyed
C. Confidentiality and Privileged Communication
1. Confidentiality-the ethical responsibility to safeguard client-related
2. Privileged Communication- the legal obligation to protect clients against
3. HIPPA-federal law that directly affects health care providers, health
insurance providers, and persons who move health care information from
one place to another
a. Privacy Rules-requres that information be provided to clients about
b. Security Rules-ensures the safeguarding of protected health care
D. Protection of Clients or Others From Harm
1. Confidentiality must be breached when a risk of harm to clients or others
exists, but decision to do so requires compelling evidence
3.Protecting Clients Who Pose a Danger to Themselves (using lethality
assessment)
5. Clients with Communicable Diseases Whose Behavior Poses a Danger to
Others
a. Must confirm medical diagnosis with a medical provider before
taking action
a. Presence of conclusive medical evidence indicating that
client is HIV seropositive
E. Professional Boundaries and Dual Relationships
1. Dual Relationships- a specific type of boundary issue that occurs when a
2. Circumstantial multiple relationships, structure multiple professional
3. Electronic Communications and E-therapy
VII. Conclusion
A. Step-by-step model for making ethical decisions:
1. Develop ethical sensitivity
3. Define the central issues and the available options
5. Search out ethics scholarship
7. Consult with supervisor and respected colleagues
9. Inform supervisor, implement and document decision-making process and
actions
10. Reflect on the experience
B. Four components of moral behavior that must exist if moral action is to occur
1. Moral sensitivity- recognizing the situation as one that has implication for
the welfare of the client
3. Decide to carry out the moral alternative
4. Implement the moral action
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