TITLE 16 OCCUPATIONAL
AND PROFESSIONAL LICENSING
CHAPTER 27 COUNSELORS
AND THERAPISTS
PART
18 CODE OF ETHICS
16.27.18.1 ISSUING AGENCY: Regulation and Licensing Department
Counseling and Therapy Practice Board
[16.27.18.1 NMAC- Rp, 16.27.18.1
NMAC, 11/30/2021]
16.27.18.2 SCOPE: All professional clinical mental health
counselors, marriage and family therapists, professional art therapists,
professional mental health counselors, registered independent mental health
counselors, registered mental health counselors, licensed mental health
counselors, alcohol and drug abuse counselors, alcohol abuse counselors, drug
abuse counselors, and substance abuse trainees.
[16.27.18.2 NMAC- Rp 16.27.18.2
NMAC, 11/30/2021]
16.27.18.3 STATUTORY AUTHORITY: These parts are promulgated pursuant to the
Counselor and Therapist Practice Act, Section 61-9A-1 through 61-9A-30 NMSA
1978.
[16.27.18.3 NMAC- Rp 16.27.18.3
NMAC, 11/30/2021]
16.27.18.4 DURATION: Permanent
[16.27.18.4 NMAC- Rp 16.27.18.4
NMAC, 11/30/2021]
16.27.18.5 EFFECTIVE DATE: November 30, 2021,unless a later date is
cited at the end of a section.
[16.27.18.5 NMAC- Rp 16 27.18.5
NMAC, 11/30/2021]
16.27.18.6 OBJECTIVE: The objective of Part 18 is to outline the
code of ethics all applicants and licensed professional clinical mental health
counselors, marriage and family therapists, professional art therapists,
professional mental health counselors, registered independent mental health
counselors, registered mental health counselors, licensed mental health counselors,
alcohol and drug abuse counselors, alcohol abuse counselors, drug abuse
counselors, and substance abuse trainees shall adhere to as licensed
professionals. Failure to adhere to the
code of ethics may result in disciplinary action by the board.
[16.27.18.6 NMAC- Rp 16.27.18.6
NMAC, 11/30/2021]
16.27.18.7 DEFINITIONS: [RESERVED]
16.27.18.8 WHO MUST ADHERE TO THE CODE OF ETHICS: The counseling &
therapy practice board code of ethics is intended for the professional mental
health counselor, professional clinical mental health counselor, marriage and
family therapist, professional art therapist, registered mental health
counselor, registered independent mental health counselor, licensed mental
health counselor, alcohol and drug abuse counselor, alcohol abuse counselor,
drug abuse counselor, and substance abuse associate trainee. Licensure and registration is binding to all
individuals holding a license or registration to practice professional mental
health counseling, professional clinical mental health counseling, marriage and
family therapy, professional art therapy, registered and licensed mental health
counseling, registered independent mental health counseling, alcohol and drug
abuse counseling, alcohol abuse counseling, drug abuse counseling, and
substance abuse associate in the state of New Mexico, and approved supervisors.
[16.27.18.8 NMAC- Rp 16.27.18.8
NMAC, 11/30/2021]
16.27.18.9 SCOPE: This code of ethics regulates the ethical and
professional conduct of:
A. all
licensed and registered individuals;
B. all
applicants for licensure or registration;
C. registered
and licensed mental health counselors, substance abuse trainees and supervisors
during their education, practicum and post-graduate training; and
D. expert
witnesses: it applies to all licensed or registered individuals, in direct
contact with clients, as well as during education, training, testifying as an
expert witness and research endeavors.
[16.27.18.9 NMAC- Rp 16.27.18.9
NMAC, 11/30/2021]
16.27.18.10 PURPOSE: The purpose of this code of ethics is to
provide clear guidelines for the New Mexico counseling and therapy practice
board to assess the professional conduct of licensed or registered
individuals. Standardization eliminates
confusion and misinterpretation of ethical behavior within the profession and
by the public.
[16.27.18.10 NMAC- Rp 16.27.18.10
NMAC, 11/30/2021]
16.27.18.11 VIOLATIONS:
A. A violation
of a code of ethics is referred to as "unprofessional" or
"unethical" conduct. It
constitutes sufficient grounds for disciplinary action by the board.
B. Costs of disciplinary
proceedings: Licensees, registrants or
applicants shall bear all costs of disciplinary proceedings unless they are
excused by the board from paying all or part of the fees, or if the licensee, registrant
or applicant prevails at the hearing conducted pursuant to Section 61-1-3 NMSA
1978 of the Uniform Licensing Act (“ULA”), or after investigation, the board
does not pursue a ULA action against the licensee, registrant or applicant.
[16.27.18.11 NMAC- Rp 16.27.18.11
NMAC, 11/30/2021]
16.27.18.12 INTEGRITY: A licensed or registered individual is
expected to behave according to the standards of professional integrity and
competence as defined by rule or law. A
licensed or registered individual must not condone, associate with, or participate
in dishonest, fraudulent, or deceitful behavior and shall treat all clients,
supervisees, students and research participants with respect and dignity at all
times. A licensed or registered
individual shall not misrepresent themselves, their training, or their
services. It is the responsibility of
licensees and registered mental health counselors to be completely informed
about this code of ethics by which they are governed.
[16.27.18.12 NMAC- Rp 16.27.18.12
NMAC, 11/30/2021]
16.27.18.13 INTERPRETATION: When construing the Code of ethics and
standards for providers, the interpretation of the code shall be guided by
rules promulgated by the American mental health counselors association (AMHCA),
the American counseling association (ACA), the American association for
marriage and family therapy (AAMFT), the American art therapy association
(AATA), national association of alcoholism and drug abuse counselors (NAADAC)
and other relevant professional groups to reconcile ambiguities which may arise
in the interpretation of this code of ethics, except that this code of ethics
shall supersede any conflict existing between this code and any professional
association standard.
[16.27.18.13 NMAC- Rp 16.27.18.13
NMAC, 11/30/2021]
16.27.18.14 CLIENT: Means;
A. a
recipient of counseling or therapy services.
B. a
corporate entity or other organization can be a client when the professional
contract is to provide services that primarily benefit the organization rather
than individuals;
C. a
legal guardians shall be the client for decision-making purposes for
individuals receiving services who are under age of consent or legally
incompetent adults except underage individuals and legally incompetent adults
shall be the client when making decisions:
(1) directly
affecting the physical or emotional safety of the individual, such a sexual or
other exploitive dual relationships, and
(2) specifically
reserved to the individual, and agreed to by the guardian prior to the
rendering of services, such as confidential communication in a therapy
relationship.
[16.27.18.14 NMAC- Rp 16.27.18.14
NMAC, 11/30/2021]
16.27.18.15 CONFIDENTIAL INFORMATION: Means information revealed by a client(s) or
otherwise obtained by a counselor or therapist, within the therapeutic
context. The information shall not be
disclosed by the counselor or therapist without the informed written consent of
the client(s). Confidential information
may be disclosed without written consent when the client is considered a harm
to self or others, when there is evidence of physical or emotional abuse of
minors or frail elderly or by court order, see Subsection B of 16.27.18.17
NMAC. When the client is a corporation
or organization, the confidential relationship is between the counselor or
therapist and the corporation or organization and not between the counselor or
therapist and the employee or individual.
Information obtained from the employee by the counselor or therapist
shall be available to the organization unless such information was obtained in
a separate therapeutic context which is subject to confidentiality
requirements.
[16.27.18.15 NMAC- Rp 16.27.18.15
NMAC, 11/30/2021]
16.27.18.16 PROFESSIONAL COMPETENCE, CONDUCT & INTEGRITY:
A. Licensees
or registrants shall not misrepresent his credentials, degrees, or competencies
either through spoken word, written, or electronically transmitted material.
B. Licensees
or registrants who has provided professional services to a client or former
client within the previous 60 months shall not:
(1) engage
in sexual intercourse, contact or other physical intimacies with the client;
(2) enter
into a financial or other potentially exploitive relationship with the client;
or
(3) seek
to obtain client access to counselor or therapist personal information in
social networking sites.
C. The
prohibitions set out in Paragraphs (1), (2) and (3) of Subsection B of this
section shall not be limited to the 60 month period but shall extend
indefinitely if the client is proven to be clearly vulnerable, by reason of
emotional or cognitive disorder, to exploitive influence by the counselor or
therapist. The counselor or therapist
who engages in such activity after the 60 month period following cessation or termination of treatment bears the burden
of providing proof that there has been no exploitation, in light of all
relevant factors, including:
(1) the
amount of time that has passed since therapy terminated;
(2) the
nature and duration of the therapy;
(3) the
circumstances of termination;
(4) the
patient's or client's personal history;
(5) the
patient's or client's mental status;
(6) the
likelihood of adverse impact on the patient or client and others; and
(7) any
statements or actions made by the counselor or therapist during the course of
therapy suggesting or inviting the possibility of a post termination
relationship with the patient or client.
D. Licensees
or registrants shall not undertake or continue a professional relationship with
a client when the counselor or therapist is impaired due to mental, emotional,
physiological, or substance abuse conditions.
E. Licensees
or registrants violate the code and are subject to loss of licensure or other
disciplinary action if:
(1) convicted
of a felony or misdemeanor related to their qualifications or functions;
(2) disciplined
by other state licensing boards for acts which would be a violation under this
code of ethics, statutes or regulations;
(3) no
longer competent to practice, or;
(4) they
fail to cooperate with an investigation or disciplinary action taken by the
state .
F. Licensees
or registrants shall only perform counseling or therapy services within the
scope of practice for their license.
Licensees or registrants shall only perform testing and assessment
services for which they are authorized under the act.
G. Licensees
or registrants shall not use advertising, which is misleading, deceptive or
false. All and any announcements of
services shall include state designation and license number.
H. Licensees
or registrants individual shall inform the client of the innovative nature and
the known risks associated with the services, so that the client can exercise
freedom of choice concerning the services when developing competency in a
service or technique that is either new to the counselor or therapist, or new
to the profession, shall engage in ongoing consultation with other relevant
professionals and shall seek appropriate education and training in the new
area.
I. Licensees
or registrants shall make every effort to offer the client or former client the
names of at least three referral sources, or refer the client to an
organization that can provide referrals, upon request by a client or former
client (e.g. physician, attorney, therapist, financial planner, etc.),.
J. Licensees
or registrants shall not offer or accept kickbacks, rebates, bonuses or other
remuneration of referrals; fee-for-service arrangements are not prohibited.
K. Bartering
for professional services may be conducted only if:
(1) the
supervisee or client requests it;
(2) the
relationship is not exploitive; or
(3) the
professional relationship is not distorted; and
(4) a
clear written contract is agreed upon and signed by both parties.
[16.27.18.16 NMAC- Rp 16.27.18.16
NMAC, 11/30/2021]
16.27.18.17 CONFIDENTIALITY AND DATA PRIVACY:
A. The
counselor or therapist shall safeguard confidential information obtained in the
course of practice, teaching, research or other professional services. This includes a counselor or therapist's
employees and professional associates as defined by law. The counselor or therapist shall disclose
confidential information to others only with the informed written consent of
the client or as outlined in Subsection B of this section.
B. Licensees
or registrants shall inform a client of limitations of confidentiality. These limitations include, but are not
limited to:
(1) Limitations
mandated by the law.
(2) Disclosure
when necessary to protect against a clear and substantial risk of imminent
serious harm being inflicted by the client on the client or another person(s).
(3) Court
orders in civil, criminal, or disciplinary actions arising from the therapy.
(4) Written
waiver. Disclosure is limited to the
terms of the waiver. If there is more
than one party involved in the therapy, the waiver must be signed by all
members legally competent to execute such a waiver (e.g. couples, marital
couples, family, or group). When release
of information pertaining to a client under the age of consent is requested, it
must be signed by a parent or legal guardian.
The counselor or therapist, to the extent the client can understand,
shall inform the minor client of the limit the law imposes on his right of
confidentiality.
(6) Reporting
abuse of children and vulnerable adults, the counselor or therapist shall be
familiar with any relevant law..
(7) Restrictions
mandated by employing agencies.
C. Licensees
or registrants shall ensure that all reasonable security measures are taken to
ensure records and written data are protected from access by unauthorized
persons.
D. Licensees
or registrants shall ensure that the content and disposition of all records is
in compliance with relevant state laws.
E. Licensees
or registrants shall treat client information as confidential after the
professional relationship between the counselor or therapist and the client has
ceased.
F. Licensees
or registrants shall exercise reasonable care to ensure that confidential
information is appropriately disguised to prevent client identification when
used as a case study, basis of supervision, teaching, research or other
published reports.
G. Licensees
or registrants shall explain to the client the limitations and foreseeable uses
of confidential information.
H. Record
retention
(1) Licensees
or registrants rendering professional services to a client or billed to a third
party, shall maintain professional records that include:
(a) the
presenting problem(s) or purpose or diagnosis;
(b) the
fee arrangement;
(c) the
date and substance of each billed service;
(d) any
test results or other evaluative results obtained and any basis test data from
which they were derived;
(e) notation
and results of formal consultations with other providers; and
(f) a
copy of all tests or other evaluative reports prepared as part of the
professional relationship.
(2) Licensees,
registrants or agencies that employ licensed or registered counselors or
therapists shall assure that all client records are maintained and secured for
a period of not less than six years after the last date that professional
services was rendered.
(3) Licensees
or registrants shall store and dispose of written or electronic data and other
recorded information in such a manner as to ensure client confidentiality.
(4) Licensees
or registrants shall not withhold records under their control that are
requested for a client's treatment solely because payment has not been received
or otherwise provided by law.
(5) Subsequent
to the licensee or registrant moving from the area, closing the practice, or
upon the death of the counselor or therapist, a licensee or registrant shall
arrange for the storage, transfer, or disposal of client records that ensure
confidentiality and safeguards the welfare of clients.
(6) In
the event of the death of a licensee or registrant, the counselor or
therapist’s personal representative shall assure that the deceased’s clinical
records are maintained and secured for a period of not less than six years
after the last date that professional services were rendered. The decedent’s personal representative shall
store and eventually dispose of written or electronic data and other recorded
information is such a manner as to ensure confidentiality and safeguards the
welfare of the clients.
(7) Licensees
or registrants shall provide clients with that client’s summary of their
clinical record upon receipt of a written request.
[16.27.18.17 NMAC- Rp 16.27.18.17
NMAC, 11/30/2021]
16.27.18.18 RESPONSIBILITY TO CLIENTS:
Licensees
or registrants shall:
A. inform
clients before or at the time of the initial counseling session with the
licensee of the following:
(1) professional
education, training and experience of the licensee;
(2) fees
and arrangements for payment;
(3) counseling
purposes, goals, and techniques;
(4) any
restrictions placed on the license by the board;
(5) the
limits on confidentiality;
(6) any
intent of the licensee to use another individual to provide counseling services
to the client;
(7) supervision
of the licensee by another licensed health care professional, including the
name and qualifications of the supervisor; and
(8) a
licensee or registrant shall inform the client of any changes to the items
above prior to initiating the change;
B. shall
not discriminate against or refuse professional services to anyone on the basis
of race, color, gender, religion, national origin, ancestry, disability,
socioeconomic status, sexual orientation, or any basis proscribed by law;
C. shall
not impose on the client any stereotypes of behavior, values, or roles related
to age, gender, religion, race, disability, nationality, sexual orientation, or
diagnosis which would interfere with the objective provision of counseling or
therapy services;
D. shall
not enter into a sexual or other dual relationship with a client, as specified
in Subsection D of 16.27.18.16 NMAC of this code of ethics;
E. shall
continue therapeutic relationships only so long as it is reasonably clear that
a therapeutic context exists;
F. shall give
a truthful, understandable, and appropriate account of the nature of the
client's condition to the client or to those responsible for the care of the
client;
G. shall
not mislead or withhold information about the cost of his professional
services;
H. shall
keep the client fully informed as to the purpose and nature of any evaluation,
treatment, or other procedures, and of the client's right to freedom of choice
regarding services provided;
I. shall
make an appropriate referral of the client to another professional when
requested to do so by the client or in the best interest of the client;
J. shall
not abandon or neglect clients in treatment without making reasonable
arrangements for the continuation of such treatment; counselors or therapists
shall assist persons in obtaining other therapeutic services if the counselor
or therapist is unable or unwilling, for appropriate reasons, to provide
professional help;
K. shall
not induce clients to solicit business on behalf of the counselor or therapist;
L. when
consulting with colleagues:
(1) refrain
from sharing confidential information that reasonably could lead to the
identification of a patient, client, research participant, or other person or
organization with whom they have a confidential relationship unless they have
obtained the prior consent of the person or organization or the disclosure
cannot be avoided; and
(2) share
information only to the extent necessary to achieve the purposes of the
consultation;
M. shall
obtain written informed consent from clients before videotaping, audio
recording, or permitting third party observation;
N. shall
disclose to clients the area of education when using the designation of
“doctor” in their title.
O. shall
not knowingly offer or provide counseling or therapy to an individual
concurrently receiving counseling from another mental health services provider
except with that provider's knowledge; if a licensee or registrant learns of
such concurrent therapy, the licensee or registrant shall take immediate and
reasonable action to resolve the situation;
P. shall
not enter into a professional counseling or therapeutic relationship with
immediate family members, personal friends, or business associates;
Q. shall
bill clients or third parties for only those services actually rendered or as
agreed to by mutual understanding at the beginning of services or as later
modified by mutual agreement. The
agreement shall include that:
(1) the
actual provider of services be reflected on billing documents;
(2) upon
written request of a client, or a client's legal guardian, a licensee or
registrant shall provide, in plain language, a written explanation of the
charges for counseling services previously made on a bill or statement for the
client; this requirement applies even if the charges are to be paid by a third
party;
(3) the
licensee or registrant may not overcharge a client;
(4) the
licensee or registrant may not submit to a client or third payer a bill for
counseling or therapy that the licensee or registrant knows were not provided
or knows were improper, unreasonable, or medically or clinically unnecessary;
R. refrain
from giving to or receiving from clients:
(1) gifts
of substantial value; or
(2) gifts
that impair the integrity or efficacy of the counseling or therapeutic
relationship; and
S. be
permitted to treat minors or adults involved in custody or visitation actions
but may not concurrently perform forensic evaluations of custody, residence, or
visitation of the minor; the licensee or registrant who treats the minor may
provide the court or mental health professional performing the evaluation with
information about the minor from the licensee or registrant’s perspective as a
treating licensed or registered professional, so long as the licensee or
registrant does not violate confidentiality.
[16.27.18.18 NMAC- Rp 16.27.18.18
NMAC, 11/30/2021]
16.27.18.19 RESPONSIBILITY TO SUPERVISEES: Licensees or registrants shall:
A. be cognizant of their influence upon students and
supervisees and shall avoid exploiting the trust and dependency of such
persons; therefore, licensees or registrants shall try to avoid conditions and
dual relationships that may impair professional objectivity or increase the
risk of exploitation; when the risk of impairment or exploitation exists due to
conditions or dual roles, individuals shall take appropriate precautions (TO DO
WHAT?);
B. refrain from providing therapy to current students or
supervisees.
C. refrain from engaging in sexual intimacy with students or
supervisees during the evaluation or training relationship between the licensee
or registrant and student/supervisee.
D. prohibit students or supervisees from performing or
holding themselves out as competent to perform professional services beyond
their training, level of experience, and competence.
E. shall take reasonable precautions to ensure that services
provided by trainees are professional.
F. shall not disclose supervisee confidences except by
written authorization or waiver, or when mandated or permitted by law; in
educational or training settings where there are multiple supervisors,
disclosures are permitted only to other professional colleagues or administrators.
G. shall be required to sign for supervision and client
contact hours provided to their supervisees on the appropriate Attachment B
form prior to the termination of the supervisory relationship. If, in the
supervisor’s professional opinion, believes the supervisee is not yet ready for
independent licensure, or has other concerns about the supervisee’s
professionalism, they may include an explanatory letter with the Attachment B
form.
[16.27.18.19 NMAC- Rp 16.27.18.19
NMAC, 11/30/2021]
16.27.18.20 RESPONSIBILITY TO COLLEAGUES:
Licensees or registrants should:
A. treat
colleagues with respect and should accurately represent the qualifications,
views, and obligations of colleagues;
B. avoid
unwarranted negative criticism of colleagues in communications with clients or
with other professionals;
C. cooperate
with colleagues and with colleagues of other professions when their cooperation
serves the wellbeing of clients;
D. respect
confidential information shared by colleagues in the course of their
professional relationships and transactions; licensees or registrants should
ensure that their colleagues understand licensees or registrants’ obligations
to respect confidentiality and any exceptions related to it;
E. participate
in and contribute to decisions that affect the wellbeing of clients by drawing
on the perspectives, values, and experiences of the individual’s profession
with members of an interdisciplinary team; professional and ethical obligations
of the interdisciplinary team as a whole and of its individual members should
be clearly established;
F. attempt
to resolve disagreements through appropriate channels for whom a team decision
raises ethical concerns for the licensee or registrant; if the disagreement
cannot be resolved, pursue other avenues to address license or registrant’s
concerns consistent with client wellbeing;
G. should
not take advantage of a dispute between a colleague and an employer to obtain a
position or otherwise advance the licensed or registered individual’s own
interests; and
H. should
not exploit clients in disputes with colleagues or engage clients in any
inappropriate discussion with colleagues.
[16.27.18.20 NMAC- Rp 16.27.18.20
NMAC, 11/30/2021]
16.27.18.21 RESPONSIBILITY TO THE PROFESSION:
Licensees or registrants shall:
A. refraining
from aiding or abetting another person in misrepresenting his/her professional
credentials or illegally engaging in the practice of counseling or therapy;
B. refrain
from delegating professional responsibilities to a person not appropriately
qualified to provide such services;
C. exercise
appropriate supervision over supervisees, as set forth in the Parts and
regulations of the board;
D. inform
the board in writing when the licensee or registrant has substantial reason to
believe that there has been a violation of the statutes or parts of the rule
which presents eminent danger to the licensee, registrant or client; or if this
information is obtained in a professional relationship with a client, obtain
prior written permission from the client before reporting it; counselors or
therapists shall not file or encourage the filing of ethical complaints that
are frivolous or are intended to harm the licensee rather than protect the
public;
E. be
familiar with this code of ethics, and its application to counselors or
therapists' work. Lack of awareness or
misunderstanding of the conduct standards is not a defense to a charge of
unethical conduct;
F. consult
with the board's ethics committee when uncertain whether a particular situation
or course of action would violate this code of ethics; and
G. cooperate
in ethics investigations, proceedings, and resulting requirements of this code.
Release of confidential information in an investigation by the board does not
constitute a violation of confidentiality.
Failure to cooperate in an investigation is an ethics violation.
[16.27.18.21 NMAC- N, 11/30/2021]
16.27.18.22 INVESTIGATIONS: If a licensee or registrant voluntarily
surrenders their license or registration in anticipation of or during the
course of an investigation, the complaint committee will proceed with its
investigation and take any appropriate action.
Any publication of action taken by the committee and the counseling and
therapy practice board will include the fact that the licensee or registrant
voluntarily surrendered their license or registration during the investigation.
[16.27.18.20 NMAC- N, 11/30/2021]
16.27.18.23 ELECTRONIC THERAPY:
A. Any
licensee or registrant offering services online, or by any other electronic
virtual means, shall adhere to the
entire code of ethics as it appears in this Part. In addition, the licensee or registrant
providing services shall inform the client, in the process of securing informed
consent for services that:
(1) professional
services are considered to be rendered in the state of New Mexico;
(2) complaints
about professional services and should be directed to the New Mexico counseling
and therapy practice board; and
(3) encryption
and other technologies shall be used to insure confidentiality of the therapy
session.
B. Licensees
or registrants who provide professional services via electronic media (such as
computer, telephone, radio, and television) should inform clients of the
limitations and risks associated with such services.
C. Electronic
and telephonic supervision, counseling and psychotherapy services provided
under supervision are considered contact hours and subject to face-to-face
supervision requirements.
[16.27.18.23 NMAC – N, 11/30/2021]
HISTORY OF 16.27.18 NMAC:
Pre-NMAC History: The material in this
part was derived from that previously filed with the State Records Center and
Archives under:
Rule 14, Code of Ethics, 3/20/1995
History
of Repealed Material:
16 NMAC 27.14, Code of Ethics -
Repealed 6/15/2001.
Other
History:
16.27.18 NMAC – Code of Ethics,
filed 6/15/2001, was repealed and replaced by 16.27.18 NMAC – Code of Ethics,
effective 11/30/2021.