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Area 2: Professional Conduct

General Considerations:




Purpose

Purpose: the rules of professional conduct constitute the standards against which the required professional conduct of a psychologist is measured
Area 2: Professional Conduct

General Considerations:




Scope


Scope: the rules of professional conduct shall apply to the conduct of all psychology and school psychology licensees, applicants, including the applicant’s conduct during the period of education, training and employment that is required for licensure.



The term “psychologist” as used within these rules of professional conduct, shall be interpreted accordingly, whenever psychological services are being provided in any context.

Area 2: Professional Conduct

General Considerations:




Violations

Violations: a violation of the rules of professional conduct constitutes unprofessional conduct and is sufficient reason for a reprimand, suspension or revocation of a license or denial of either original licensure or reinstatement of licensure.
Area 2: Professional Conduct

General Considerations:




Aids to interpretation

Aids to interpretation: ethics codes and standards for providers promulgated by the APA, the CPA and other relevant professional groups shall be used as aids in resolving ambiguities that may arise in the interpretation of the rules of professional conduct, except that those rules of professional conduct shall prevail whenever any conflict exists between these rules and any professional association standard.
Area 2: Professional Conduct

General Considerations:


Communication with the board

A psychologist or SP, or an applicant for licensure, shall provide a writtenresponse within a reasonable period of time not to exceed 60 days to any written inquiry, regarding compliance with law or rule, received from the board

Area 2: Professional Conduct

When might a psychologist be viewed as "Negligent"? (6)

1. Behavior below standards for "acceptable practice"
2. Misrepresentation of qualifications (e.g., education, training, experience, competence)
3. Misrepresentation of affiliations (including purposes and characterizations of affiliations)
4. Solicitation of business by clients
5. Misrepresentation of promotional activities (e.g., books, psychological devices, or products)
6. Inadequate maintenance and retention of records

(1) A psychologist or school psychologist shall be considered negligent if his/her behaviors toward his/her clients, supervisees, employees or students, in the judgment of the board, clearly fall below the standards for acceptable practice of psychology or school psychology.
(2) Misrepresentation of qualifications. The psychologist or school psychologist shall
not misrepresent directly or by implication his/her professional qualifications such as education, specialized training, experience, or area(s) of competence.
(3) Misrepresentation of affiliations. The psychologist or school psychologist shall not
misrepresent directly or by implication his/her affiliations or the purposes or characteristics of institutions and organizations with which the psychologist is
associated.
(a) A psychologist or school psychologist shall not claim either directly or by implication professional qualifications that differ from actual qualifications, including use of a degree or title that is not relevant to his/her psychological training or that is
issued by an educational institution not meeting accreditation standards, he/she shall not misrepresent affiliation with any institution,organization, or individual, nor lead others to assume he/she has affiliations that he/she does not have. A psychologist or school psychologist is responsible for correcting a client or public media who misrepresent his/her professional qualifications or affiliations, if he/she has
knowledge of this misrepresentation.
(b) A psychologist or school psychologist shall ensure that his/her name is included
as the responsible psychologist or school psychologist when his/her psychological services are listed, advertised, or otherwise announced to the public in any form, including, but not limited to, letterhead, brochures, internet websites, telephone listings, business cards, or newspaper or other media advertisements.
(c) A psychologist or school psychologist shall not include false or misleading information in public statements concerning psychological services offered.
(d) A psychologist or school psychologist shall not associate with or permit his/her name to be used in connection with any services or products in such a way as to misrepresent them, the degree of his/her responsibility for them, or the nature of his/her association with them.
(4) Solicitation of business by clients. A psychologist or school psychologist shall not request or authorize any client to solicit business on behalf of the psychologist or school psychologist.
(5) Promotional activities. A psychologist or school psychologist associated with the
development, promotion, or sale of psychological devices, books, or other products shall ensure that such devices, books, or products are not misrepresented as to qualities, performance or results to be obtained from their use.
(6) Maintenance and retention of records.
(a) A psychologist or school psychologist rendering professional individual services to a client, or services billed to a third-party payer, shall maintain a professional record that includes:
(i) The presenting problem(s),
(ii) The date(s) and purpose, if not self-evident, of each service contact,
(iii) The fee arrangement,
(iv) Any test or other evaluative results obtained,
(v) Test data,
(vi) A copy of any test or other evaluative reports prepared as part of the
professional relationship,
(vii) Notation and results of formal contacts with other providers, and
(viii) Authorizations, if any, by the client for release of records or information.
(b) To meet the requirements of these rules, but not necessarily for other legal purposes, the psychologist or school psychologist shall ensure that each data entry in the professional record is maintained for a period of not less than five years after the
last date of service rendered, or not less than the length of time required by other regulations if that is longer. The general record or a summary thereof shall be kept for a period of not less than twelve years after the last date of service rendered.
(c) A psychologist or school psychologist shall store and dispose of written, electronic, and other records of clients in such a manner as to ensure their confidentiality. Licensees shall make plans in advance to facilitate appropriate transfer and to protect the confidentiality of records in the event of the psychologist's or school psychologist's withdrawal from positions or practice. Each licensee shall report to the board on the biennial registration (renewal) form the name, address, and telephone number of a psychologist or school psychologist or other appropriate person knowledgeable about transfer and custody of records and responsibility for records in the event of the licensee's absence, emergency or death.
(d) In the event a complaint has been filed, a psychologist or school psychologist shall provide the original or a full copy of the client file or other client-identifiable documents to the board upon request, provided that the request is accompanied by a copy of a release signed by the client.

Area 2: Professional Conduct

misrepresenting affiliations shall NOT either directly or by implication? (4)

1. Quals that differ from actual, degree/title not relevant to actual training or issues by non-accredited institution, or lead others to assume non-existent affiliations
- Responsible for correcting client/media/other's misrepresentations (if aware)
2. MUST include your name when services are advertised (e.g., letterhead, brochure, website, business card, newspaper, etc...)
3. CAN NOT include false, misleading information in public statements re: services offered
4. SHALL NOT associate name, or permit name to be used w/ services/products in a way that is misrepresented (including degree of responsibility, nature of association)

(3) Misrepresentation of affiliations. The psychologist or school psychologist shall not
misrepresent directly or by implication his/her affiliations or the purposes or characteristics of institutions and organizations with which the psychologist is
associated.
(a) A psychologist or school psychologist shall not claim either directly or by implication professional qualifications that differ from actual qualifications, including use of a degree or title that is not relevant to his/her psychological training or that is
issued by an educational institution not meeting accreditation standards, he/she shall not misrepresent affiliation with any institution,organization, or individual, nor lead others to assume he/she has affiliations that he/she does not have. A psychologist or school psychologist is responsible for correcting a client or public media who misrepresent his/her professional qualifications or affiliations, if he/she has
knowledge of this misrepresentation.
(b) A psychologist or school psychologist shall ensure that his/her name is included as the responsible psychologist or school psychologist when his/her psychological services are listed, advertised, or otherwise announced to the public in any form, including, but not limited to, letterhead, brochures, internet websites, telephone
listings, business cards, or newspaper or other media advertisements.
(c) A psychologist or school psychologist shall not include false or misleading information in public statements concerning psychological services offered.
(d) A psychologist or school psychologist shall not associate with or permit his/her name to be used in connection with any services or products in such a way as to misrepresent them, the degree of his/her responsibility for them, or the nature of his/her association with them.

Area 2: Professional Conduct
Maintenance & Retention of Records:
1. Psychologists should maintain a professional record that includes...? (8)

A P or SP rendering professional individualservices to a client, or services billed to a third-party payer, shall maintaina professional record that includes:

a. The presenting problems


b. The dates and purpose, if not self-evident, ofeach service contact


c. The fee arrangement


d. Any test or other evaluative results obtained


e. Test data


f. A copy of any test or other evaluative reportsprepared as part of the professional relationship


g. Notation and results of formal contacts withother providers


h. Authorizations, if any, by the client forrelease of records or information.

(6) Maintenance and retention of records.
(a) A psychologist or school psychologist rendering professional individual services to a client, or services billed to a third-party payer, shall maintain a professional record that includes:
(i) The presenting problem(s),
(ii) The date(s) and purpose, if not self-evident, of each service contact,
(iii) The fee arrangement,
(iv) Any test or other evaluative results obtained,
(v) Test data,
(vi) A copy of any test or other evaluative reports prepared as part of the professional relationship,
(vii) Notation and results of formal contacts with other providers, and
(viii) Authorizations, if any, by the client for release of records or information.
(b) To meet the requirements of these rules, but not necessarily for other legal purposes, the psychologist or school psychologist shall ensure that each data entry in the professional record is maintained for a period of not less than five years after the
last date of service rendered, or not less than the length of time required by other regulations if that is longer. The general record or a summary thereof shall be kept for a period of not less than twelve years after the last date of service rendered.
(c) A psychologist or school psychologist shall store and dispose of written, electronic, and other records of clients in such a manner as to ensure their confidentiality. Licensees shall make plans in advance to facilitate appropriate transfer and to protect the confidentiality of records in the event of the psychologist's or school psychologist's withdrawal from positions or practice. Each licensee shall report to the board on the biennial registration (renewal) form the name, address, and telephone number of a psychologist or school psychologist or other appropriate person knowledgeable about transfer and custody of records and responsibility for records in the event of the licensee's absence, emergency or death.
(d) In the event a complaint has been filed, a psychologist or school psychologist shall provide the original or a full copy of the client file or other client-identifiable documents to the board upon request, provided that the request is accompanied by a copy of a release signed by the client.


2. How long should these records be maintained?

To meet the requirements of these rules, but not necessarily for other legal purposes, the P or SP shall ensure that each data entry in the professional record is maintained for a period of not less than 5 years after the last date of service rendered, or not less than the length of time required by other regulations if that is longer. The general record or a summary thereof shall be kept for a period of not less than 12 years after the last date of service rendered.



3. How should they be maintained?


What about cases of withdrawal from practice, absence, emergency, or death?

Shall store and dispose of written, electronic, and other records of clients in such a manner as to ensure their confidentiality.



Licensees shall make plans in advance to facilitate appropriate transfer and to protect the confidentiality of records in the event of the P or SP’s withdrawal from positions or practice.



Each licensee shall report to the board on the biennial registration (renewal) form the name, address, and telephone number of a psychologist or SP or other appropriate person knowledgeable about transfer and custody of records and responsibility for records in the event of the licensee’s absence, emergency or death

Area 2: Professional ConductMaintenance & Retention of Records:
4. If complaint is filed, should psychologist provide a copy of client file/documents to the Board upon request?
In the event a complaint has been filed, a P orSP shall provide the original or full copy of the client file or otherclient-identifiable documents to the board upon request, provided that therequest is accompanied by a copy of a release signed by the clientsTpv

Area 2: Professional Conduct
Client Welfare:
In what ways is a psychologist responsible for the welfare of the client? Or, how can he/she protect the welfare of the client?

1. Clarify any conflicts of interest (e.g., b/t client andemployer) - nature/direction of loyalties and responsibilities

2. Take "reasonable steps" to resolve unforeseenmultiple relationships (w/ regard for preserving the welfare of the person(s)w/ whom there is or was a professional psychological role.


3. Informed client - provide a truthful, understandable, andreasonably complete account of client's condition to the client or guardian/caretaker


4. Informed choice, confidentiality, and reasonable protectionfrom physical or mental harm/danger


5. Provide services (dx, tx, or personalized advice) ONLY incontext of professional rel. (NOT in public lectures/demos, mail, newspaper,articles, radio/TV, or other media)


6. Do NOT provide a professional recommendation or opinion w/o"substantial professional client information"


7. Do NOT exploit the trust/dependency of a client, supervisee,evaluee, or other


8. DON'T impose stereotypes - stay objective


9. NOT practice while impaired (e.g., judgment, competence, orobjectivity due to mental, emotional, physical, pharm, or substance)- if already in a rel, shall end roleappropriately and shall notify client/parties in WRITING, assist w/ obtainingother services


10. Provide continuity of care for foreseeable absences


11. Continuity of care for interruption of services (e.g.,illness, unavailability, relocation, death or client's relocation or financiallimitations, termination of employment w/ "Paramount consideration beinggiven to welfare of the client")- psychologist employing other psychologists isALSO obligated to make similar arrangements


12. Terminate when it is "reasonably" clear the clientis not benefiting & offer to help locate alternatives


13. Make a referral if client requests

(C) Welfare of the client:
(1) Conflict of interest. When there is a conflict of interest between the client and a
psychologist's or school psychologist's employing institution, the psychologist or
school psychologist shall clarify the nature and direction of his/her loyalties and
responsibilities and keep all parties concerned informed of his/her commitments.
(2) Sufficient professional information. A psychologist or school psychologist rendering a formal professional opinion or recommendation about a person shall not do so without substantial professional client information.
(3) Informed client. A psychologist or school psychologist shall give a truthful,
understandable, and reasonably complete account of a client's condition to the client or to those responsible for the care of the client. The psychologist or school
psychologist 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.
(4) Dependency. Due to inherently influential position, a psychologist or school psychologist shall not exploit the trust or dependency of any client, supervisee, evaluee, or other person with whom there is a professional psychological role, as that term is defined in rule 4732-3-01.
(5) Informed choice. A psychologist or school psychologist shall accord each client informed choice, confidentiality, and reasonable protection from physical or mental harm or danger.
(6) Media. Psychological services for the purpose of diagnosis, treatment, or personalized advice shall be provided only in the context of a professional
relationship, and shall not be given by means of public lectures or demonstrations,
mail, newspaper or magazine articles, radio or television programs, or similar media.

Area 2: Professional Conduct

Remuneration: What should a psychologist do in regards to financial arrangements? (5)

1. Make financial arrangements clear to client prior to billing (preferably w/in 1st session, BUT NO LATER than end of 2nd session) - UNLESS contraindicated, psychologist bears burden of demonstrating that client was NOT harmed due to non-disclosure
2. Do NOT mislead, or withhold info to client, prospective, client, 3rd party payor re: cost of services
3. Do NOT exploit a client or payor by charging an excessive fee, or exploitively bartering
4. NOT charge a fee if client entitled to services thru institution, agency, or school, UNLESS there are explicit provisions for doing so AND client is informed of all available services and policies
5. If "subscriber pool" (3rd party capitation) - provide written disclosure to each client re: nature of reimbursement arrangement, including 3rd party has set dollar amount that psychologist will be paid regardless of cost/frequency of services provided

(D) Remuneration:
(1) Financial arrangements:
(a) All financial arrangements shall be made clear to each client in advance of billing,
preferably within the initial session but no later than the end of the second session,
unless such disclosure is contraindicated in the professional judgment of the licensee. In the event that disclosure is not made by the end of the second session, the
psychologist or school psychologist bears the burden of demonstrating that the client
was not harmed as a result of non-disclosure.
(b) A psychologist or school psychologist shall not mislead or withhold from any client, prospective client, or third-party payer, information about the cost of his/her professional services.
(c) A psychologist or school psychologist shall not exploit a client or responsible payer by charging a fee that is excessive for the services performed or by entering into an exploitative bartering arrangement in lieu of a fee.
(d) The primary obligation of a psychologist or school psychologist employed by an
institution, agency, or school is to persons entitled to his/her services through the institution, agency, or school. A psychologist or school psychologist shall not accept a private fee or any other form of remuneration from such persons unless the policies
of a particular institution, agency or school make explicit provision for private work with its clients by members of its staff. In such instances the client or guardian shall be fully apprised of available services and all policies affecting him/her, prior to
entering into a private professional relationship with a psychologist or school psychologist.
(e) A psychologist or school psychologist when providing services to a pool of subscribers through a third-party payer capitation, or variation of capitation, reimbursement arrangement, who is thus being paid on other than a strictly fee-for-service basis, shall disclose that information in writing to each client member of the subscriber pool at the beginning of the professional relationship with the client member. The written disclosure shall describe the nature of the reimbursement arrangement including that the third-party payer has established a set dollar amount that the psychologist or school psychologist will be paid regardless of the cost or frequency of the services provided to the members of the subscriber pool.

Area 2: Professional Conduct

What should a psychologist NOT do in regards to financial arrangements (i.e., what would be "improper arrangements"? (4)
1. Do NOT derive or solicit any monetary profit or personal gain from clients or immediate ex-clients (beyond payment) - but unsolicited token gifts are ok
2. Do NOT use professional rel. w/ client or immediate ex-client for personal gain for self, others, or organizations from sale/promotion of a non-psychology related product
3. Do NOT give, or receive, any commission, rebate, or other renumeration for referral w/o FULL disclosure in advance to the client of such an agreement
4. Do NOT bill for services that were not provided. MAY bill for missed appt. not canceled in advance, IF part of original financial arrangements
(2) Improper arrangements:
(a) A psychologist or school psychologist shall neither derive nor solicit any form of monetary profit or personal gain as a result of his/her professional relationship with clients or immediate ex-clients, beyond the payment of fees for psychological services rendered. However, unsolicited token gifts from a client are permissible.
(b) A psychologist or school psychologist shall not use his/her professional relationship with clients or immediate ex-clients to derive personal gain, other than through fees for professional services, for himself/herself, or for any other person, or for any organization from the sale or promotion of a non psychology-related product
or service.
(c) A psychologist or school psychologist shall neither give nor receive any commission, rebate, or other form of remuneration for referral of a client for professional services, without full disclosure in advance to the client of the terms of such an agreement.
(d) A psychologist or school psychologist shall not bill for services that are not rendered. However, he/she may bill for missed appointments that the client did not cancel in advance, if this is part of the financial arrangements made in accordance with paragraph (D)(1)(a) of this rule.

Area 2: Professional Conduct
Multiple Relationships:

Exists when a P or SP is in a professional psychological role and is in another relationship with the same person or entity or with an individual closely associated with the person or entity.




Depending on the timing and nature of one’s interactions before or after the establishment of a professional psychological role multiple relationships can result in exploitation of others, impaired judgment by clients, supervisees and evaluees, and/or impaired judgment, competence and objectivity of the P or SP.




P and SP’s actively identify and manage interpersonal boundaries to ensure that there is no exploitation of others and that professional judgment, competence, and objectivity within one’s professional psychological roles are not compromised

(E) Multiple relationships. A multiple relationship exists when a psychologist or school psychologist is in a professional psychological role pursuant to paragraph (Q) of rule 4732-3-01 and is in another relationship with the same person or entity or with an individual closely associated with the person or entity. Depending on the timing and nature of one’s interactions before or after the establishment of a professional psychological role, multiple relationships can result in exploitation of others, impaired judgment by clients, supervisees and evaluees, and/or impaired
judgment, competence and objectivity of the psychologist or school psychologist.Psychologists and school psychologists actively identify and manage interpersonal boundaries to ensure that there is no exploitation of others and that professional judgment, competence, and objectivity within one’s professional psychological roles are not compromised.

Area 2: Professional Conduct

Unavoidable multiple relationships
In some communities and situations, unavoidable interpersonal contacts can occur due to cultural, linguistic, or geographical considerations.



For purposes of this rule, incidental contacts in the personal life of a P or SP with persons with whom there is or was a professional psychological role are not relationships.




Nothing in this rule shall be construed to mean that a P or SP is prohibited form undertaking a professional psychological role in an emergency situation, including effecting an appropriate referral when necessary to foster the welfare of others.

(1) In some communities and situations, unavoidable interpersonal contacts can
occur due to cultural, linguistic, or geographical considerations. For purposes of this rule, incidental contacts in the personal life of a psychologist or school psychologist with persons with whom there is or was a professional psychological role are not relationships. Nothing in this rule shall be construed to mean that a psychologist or
school psychologist is prohibited from undertaking a professional psychological role in an emergency situation, including effecting an appropriate referral when necessary to foster the welfare of others.
Area 2: Professional Conduct

What types of "multiple relationships" are prohibited? (1-2 of 6)
1. Anyone w/ whom one has engaged in sexual intercourse or other sexual intimacies
2. Anyone w/ whom one has had a familial, personal, social, supervisory, employment, or other relationship AND prof. psych. role results in exploitation, or impaired judgment, competence, or objectivity

(2) Prohibited multiple relationships. The board prescribes that certain multiple
relationships are expressly prohibited due to inherent risks of exploitation, impaired
judgment by clients, supervisees and evaluees, and/or impaired judgment, competence or objectivity of the psychologist or school psychologist.
(a) A psychologist or school psychologist shall not:
(i) Undertake a professional psychological role with persons with whom he/she has engaged in sexual intercourse or other sexual intimacies; or
(ii) Undertake a professional psychological role with persons with whom he/she has had a familial, personal, social, supervisory, employment, or
other relationship, and the professional psychological role results in: exploitation of the person; or, impaired judgment, competence, and/or objectivity in the performance of one’s functions as a psychologist or
school psychologist.

Area 2: Professional Conduct

What types of "multiple relationships" are prohibited? (3-4 of 6)
3. Engage in sex or sexual intimacies, or verbal/non-verbal conduct that is sexual in nature w/ any current client, supervisee, evaluee OR any person closely associated w/ such
4. Establish any personal, financial, employment, or other rel. w/ any current client, supervisee, or evaluee, OR any individual closely associated w/ such AND the role results in exploitation or impaired judgment, competence, or objectivity

A psychologist or school psychologist shall not: (i) Engage in sexual intercourse or other sexual intimacies; or, verbal or nonverbal conduct that is sexual in nature with any current client, supervisee, evaluee, or with any person closely associated with a current client, supervisee, or evaluee; or


(ii) Establish any personal, financial, employment, or other relationship with any current client, supervisee, or evaluee, or with any individual closely associated with a current client, supervisee, or evaluee and the non-professional role results in: exploitation of the person; or, impaired judgment, competence, and/or objectivity in the performance of one’s functions as a psychologist or school psychologist.

Area 2: Professional Conduct

What types of "multiple relationships" are prohibited? (5-6 of 6)
5. Have sex, sexual intimacies, or verbal/non-verbal conduct sexual in nature w/ ANY person w/ whom there has been a professional role w/ in the past 24 months
6. Establish any personal, financial, employment, or other rel. w/ any person w/ whom there has been a professional rel. in the past 24 months AND the role results in exploitation or impaired judgment, competence, or objectivity

(i) Engage in sexual intercourse or other sexual intimacies; or, verbal or nonverbal conduct that is sexual in nature with any person with whom there has been a professional psychological role at any time within the previous twenty-four months; or (ii) Enter into any personal, financial, employment or other relationship (other than reestablishing a professional psychological role) with any person with whom there has been a professional psychological role at any time within the previous twenty-four months and the non-professional role results in: exploitation of the person; or, impaired judgment, competence, and/or objectivity in the performance of one’s functions as a psychologist or school psychologist.

Area 2: Professional Conduct

Other considerations in regards to "multiple relationships" that are prohibited
- CAN'T terminate or interrupt a professional role w/ any person for the purpose (expressed or implied) of entering into a sexual, personal, or financial rel. w/ that person or someone closely associated w/ that person
- 24 months rules - are extended "indefinitely" if person remains vulnerable to exploitation (2ndary to emotional, mental, or cognitive impairment)
(d) A psychologist or school psychologist shall not terminate or interrupt a professional
role with any person for the purpose, expressed or implied, of entering into a sexual, personal, or financial relationship with that person or any individual closely associated with that person.
(e) The prohibitions established in paragraphs 2 (b) and (c) of this rule extend indefinitely beyond twenty-four months after termination of the professional role if the person, secondary to emotional, mental, or cognitive impairment, remains vulnerable to exploitative influence.

Area 2: Professional Conduct

Testing & Test Interpretation: Appropriate conduct in regards to assessment procedures...

1. Results and interpretations should be treated as confidential
2. Results should be communicated w/ adequate interpretive aids and understandable language
3. Include any reservations of possible inappropriateness of the test for the person assessed
4. If providing an assessment or automated interp. service to other professionals, SHOULD also include manual or printed material that fully describes dev't, rationale, evidence of validity and reliability and characteristics of normative population, ALSO state purpose, recommended application, qualifications to administer & interpret, ensure adverts are factual & descriptive (considered professional-to-professional consultation) AVOID misuse of reports


5. Do NOT prepare personnel reports and recs based on test date secured solely by mail (UNETHICAL) - unless these are an integral part of a continuing client rel. w/ a company AND consulting psychologist has intimate knowledge of personnel situ and assured that written appraisals will be adequate and properly interpreted by the client (do NOT embellish reports w/ comprehensive analyses of subject's personality traits)


6. Choose ONLY appropriate tests and give them only for a justifiable purpose to the benefit of the client

(F) Testing and test interpretation:
(1) Assessment procedures:
(a) A psychologist or school psychologist shall treat the results or interpretations of
assessment regarding an individual as confidential information.
(b) A psychologist or school psychologist shall accompany communication of results
of assessment procedures to a client, or the parents, legal guardians, or other agents
of the client with adequate interpretive aids or explanations in language these persons can understand.
(c) A psychologist or school psychologist shall include in his/her report of the results
of a test or assessment procedures any reservations regarding the possible
inappropriateness of the test for the person assessed.
(d) A psychologist or school psychologist offering an assessment procedure or
automated interpretation service to other professionals shall accompany this offering
with a manual or other printed material that fully describes the development of the assessment procedure or service, its rationale, evidence of validity and reliability, and characteristics of the normative population. A psychologist or school psychologist shall explicitly state the purpose and application for which the procedure is recommended and identify special qualifications required to administer and interpret it properly. A psychologist or school psychologist shall ensure that any advertisements for the assessment procedure or interpretive service are factual and descriptive. Such services are to be considered as a professional-to-professional
consultation. A psychologist or school psychologist shall make every effort to avoid misuse of such assessment reports.

Area 2: Professional Conduct

Appropriate conduct in regards to test security...
- Do NOT reproduce or describe psychological tests/assessment devices in popular publications in a way that might invalidate them
- Reasonable efforts to maintain integrity and security of test materials (i.e., manuals, instruments, protocols, and test questions/stimuli) & assessment techniques consistent w/ law and contractual obligations
- Does NOT include test data
- Made up sample items are ok
- Psychologist is responsible for security of psychological tests/devices/procedures used for instructional purposes

(2) Test security. Psychological tests and other assessment devices shall not be reproduced or described in popular publications in ways that might invalidate the techniques. Test materials means manuals, instruments, protocols, and test
questions or stimuli and does not include test data except as specified in paragraph (F)(3)(a) of rule 4732-17-01 of the Administrative Code. Psychologists and school
psychologists make reasonable efforts to maintain the integrity and security of test materials and other assessment techniques consistent with law and contractual obligations. Access to such devices is limited to persons with professional interests who will safeguard their use.
(a) Sample items made up to resemble those of tests being discussed may be reproduced in popular articles and elsewhere, but scorable tests and actual test items shall not be reproduced except in professional publications.
(b) A psychologist or school psychologist is responsible for the security of psychologist tests and other devices and procedures used for instructional purposes.

Area 2: Professional Conduct

Appropriate conduct in regards to test interpretation...
1. Test scores may be released to another person/organization ONLY in a manner that adheres to confidentiality
2. Test results/assessments are communicated in such a way to guard against miscommunication or misuse
- when interpreting, take the following into account: purpose of test, test-taking abilities, other characteristics of the person being assessed (situational, personal, linguistic, cultural dif) that might affect prof. judgment, reduce accuracy of interp. - indicate significant limitations of interpretations!
3. Respect client's or guardian's right to know the results, interpretations, conclusions, and bases for recommendations

(3) Test interpretation.
(a) Test scores, like test materials, may be released to another person or an
organization only in a manner that adheres to the client's rights to confidentiality as set forth in paragraph (G) of this rule.
(b) Test results or other assessment data used for evaluation or classification are
communicated to employers, relatives, or other appropriate persons in such a manner as to guard against misinterpretation or misuse. Psychologists and school psychologists when interpreting and communicating assessment results take into
account the purpose of the assessment as well as various test factors, test-taking
abilities, and other characteristics of the person being assessed, such as situational, personal, linguistic, and cultural differences, that might affect professional judgments or reduce the accuracy of interpretations, and significant limitations of interpretations are indicated.
(c) A psychologist or school psychologist always respects the client's or guardian's right to know the results, the interpretations made, his/her conclusions, and the bases for his/her recommendations.

Area 2: Professional Conduct

Confidentiality: What is "confidential information"?

Info revealed by an individual(s) or obtained by a psychologist/school w/ "reasonable expectation" that it was revealed/obtained as result of the professional rel. b/t individual(s) and psychologist

- NOT to be disclosed w/o informed consent of the individual(s)

(G) Confidentiality:
(1) Confidential information is information revealed by an individual or individuals or
otherwise obtained by a psychologist or school psychologist, where there is
reasonable expectation that it was revealed or obtained as a result of the professional relationship between the individual(s) and the psychologist or school
psychologist. Such information is not to be disclosed by the psychologist or school psychologist without the informed consent of the individual(s).

Area 2: Professional Conduct

How should psychologists handle confidential information when... (7 total)
a. Providing services as part of a team
b. In teaching, research, published reports
c. Client is observed, recorded
d. Others are working under psychologist

e. Professional relationship with client has ended

a. Take "reasonable steps" to ensure others are aware of the confidential nature of info and agree to abide by rules of confidentiality
b. "Reasonable care" to appropriately disguise material presented to prevent id of the client
c. First inform the client, & if sensitivity requires it - obtain written consent
d. Limit access to records and ensure that all persons working under one's authority comply with confidentiality

e. Continue to treat all information as confidential

(a) When rendering psychological services as part of a team or when interacting with
other appropriate professionals concerning the welfare of a client, a psychologist or school psychologist may share confidential information about the client provided that reasonable steps are taken to ensure that all persons receiving the information are informed about the confidential nature of the information being shared and agree to abide by the rules of confidentiality.
(b) When any case report or other confidential information is used as the basis of teaching, research, or other published reports, a psychologist or school psychologist shall exercise reasonable care to ensure that the reported material is appropriately disguised to prevent client or subject identification.
(c) A psychologist or school psychologist shall ensure that no diagnostic interview or
therapeutic sessions with a client are observed or electronically recorded without first informing the client or the client's guardian and, where the sensitivity of the material
requires it, obtaining written consent from same.
(d) A psychologist or school psychologist shall limit access to client records and shall ensure that all persons working under his/her authority comply with the requirements for confidentiality of client material.
Area 2: Professional Conduct

How should psychologists handle confidential information when... (7 total)

f. More than one party has an appropriate interest in the professional services rendered
i. Particularly important when..
ii. Imp. to clarify to client...
In a situation in which more than one party has an appropriate interest in the professional services rendered by a P or SP to a client, the P or SP shall, to the extent possible clarify to all parties the dimensions of confidentiality and professional responsibility that shall pertain in the rendering of services



i. Such clarification is specifically indicated, among other circumstances, when the client is an organization or when the client has been referred by a third party


ii. A P or SP shall clarify with the individual receiving services because of a 3rd party referral whether, and under what conditions – including costs, information or feedback will be provided to the individual receiving those psych services

(e) A psychologist or school psychologist shall continue to treat all information regarding a client as confidential after the professional relationship between the psychologist or school psychologist and the client has ceased.
(f) In a situation in which more than one party has an appropriate interest in the
professional services rendered by a psychologist or school psychologist to a client, the psychologist or school psychologist shall, to the extent possible, clarify to all parties the dimensions of confidentiality and professional responsibility that shall pertain in the rendering of services.
(i) Such clarification is specifically indicated, among other circumstances, when the
client is an organization or when the client has been referred by a third party.
(ii) In accord with paragraphs (C)(3) and (F)(3)(c) of this rule, a psychologist or school psychologist shall clarify with the individual receiving services because of a third-party referral whether, and under what conditions-including costs, information or feedback will be provided to the individual receiving those psychological services.
Area 2: Professional Conduct

Protecting confidentiality of clients

a. Why is confidentiality protected?
b. Who holds and may assert the physician-patient "privilege"?
c. Do court decisions on the scope of the physician-patient privilege apply to the psychologist-client relationship?

a. To protect the interest of the client by encouraging free disclosure to the psychologist and preventing free disclosure to others
b. The CLIENT
c. YES
(2) Protecting confidentiality of clients. In accordance with section 4732.19 of the Revised Code, the confidential relations and communications between a licensed psychologist or licensed school psychologist and clients are placed under the same
umbrella of a privilege as those between physician and patient under division (B) of section 2317.02 of the Revised Code. The privilege is intended to protect the interest of the client by encouraging free disclosure to the licensed psychologist or the
licensed school psychologist and by preventing such free disclosure to others. Thus,
the client rather than the licensed psychologist or the licensed school psychologist
holds and may assert the privilege.
(b) Court decisions construing the scope of the physician-patient privilege, pursuant
to section 2317.02 of the Revised Code, are applicable to this privilege between the licensed psychologist or licensed school psychologist and the client.
Area 2: Professional Conduct

When (& under what conditions) may a psychologist disclose confidential information? (5)
1. Testifying - IF informed consent by client, client voluntarily testifies, or if client/executor files claim against psychologist
2. W/OUT CONSENT, If disclosure necessary to protect against substantial risk of imminent serious harm inflicted by client on self or others (May ONLY disclose to appropriate authorities, potential victim, professional workers, or family of client)
3. If client provides informed WRITTEN consent
4. Court order
5. If laws require reporting of abuse of children and vulnerable adults
(a) A psychologist or school psychologist shall not testify concerning a communication made to him/her by a client. The psychologist or school psychologist may testify by express consent of the client or legal guardian or, if the client is
deceased, by the express consent of the surviving spouse or the executor or administrator of the estate of such deceased client. If the client voluntarily testifies, the psychologist or school psychologist may be compelled to testify on the same
subject; or if the client, the executor or administrator files a claim against the psychologist or school psychologist, such filing shall constitute a waiver of this
privilege with regard to the care and treatment of which complaint is made.
(b) Court decisions construing the scope of the physician-patient privilege, pursuant
to section 2317.02 of the Revised Code, are applicable to this privilege between the licensed psychologist or licensed school psychologist and the client.
(c) A psychologist or school psychologist may disclose confidential information
without the informed written consent of a client when the psychologist or school
psychologist judges that disclosure is necessary to protect against a clear and
substantial risk of imminent serious harm being inflicted by the client on himself/herself or on another person. In such case, the psychologist or school
psychologist may disclose the confidential information only to appropriate public authorities, the potential victim, professional workers, and/or the family of the client.
(d) A psychologist or school psychologist shall safeguard the confidential information obtained in the course of practice, teaching, research, or other professional duties.
With the exceptions as required or permitted by statute, a psychologist or school
psychologist shall disclose confidential information to others only with the informed
written consent of the client.
(e) At the beginning of a professional relationship a psychologist or school
psychologist shall inform his/her client of the legal limit of confidentiality. To the extent that the client can understand, the psychologist or school psychologist shall inform a client who is below the age of majority or who has a legal guardian of the limit the law imposes on the right of confidentiality. When services are provided to more than one patient or client during a joint session (for example to a family or couple, or parent and child, or group), a psychologist or school psychologist shall, at
the beginning of the professional relationship, clarify to all parties the limits of
confidentiality.
(f) A psychologist or school psychologist may release confidential information upon
court order or to conform with state or federal laws, rules, or regulations.
(g) A psychologist or school psychologist shall be familiar with any relevant law
concerning the reporting of abuse of children or vulnerable adults.
Area 2: Professional Conduct

When should a client be informed of confidentiality and legal limits of confidentiality?
- What are 2 special circumstances regarding confidentiality?
"At the beginning of a professional relationship."
- If a minor, or has legal guardian, MUST to "extent that client can understand"inform client re: limit of the law on confidentiality
- When services provided to more than one client during a joint session (e.g. couples, family, group) - clarify to all parties the limits of confidentiality
(e) At the beginning of a professional relationship a psychologist or school
psychologist shall inform his/her client of the legal limit of confidentiality. To the
extent that the client can understand, the psychologist or school psychologist shall
inform a client who is below the age of majority or who has a legal guardian of the
limit the law imposes on the right of confidentiality. When services are provided to
more than one patient or client during a joint session (for example to a family or
couple, or parent and child, or group), a psychologist or school psychologist shall, at
the beginning of the professional relationship, clarify to all parties the limits of
confidentiality

Area 2: Professional Conduct

Competence: 1. Limits on practice
- If client's problem outside of competence
2. If practicing in specialty of care
3. Maintaining competence
4. Adding new services and techniques

1. Limit practice to areas where competence is been gained thru educ., training, experience
- assist client in obtaining additional help
2. Exercise "sound judgment" in determining areas of competence - WILL be held to SAME standard of care w/in that specialty
3. Thru continuing educ., consultation, and/or other training (in conformance w/ other standards of scientific and professional knowledge)
4. Engage in ongoing consultation, seek continuing education, inform client of innovative nature of tx/service and known risks

(H) Competence:
(1) Limits on practice. A psychologist or school psychologist shall limit his/her
professional practice to those speciality areas in which competence has been gained
through education, training, and experience. If important aspects of the client's problem fall outside the boundaries of competence, then the psychologist or school
psychologist assists his/her client in obtaining additional professional help.
(2) Specialty standard of care. A psychologist or school psychologist shall exercise
sound judgment and care in determining what constitutes his/her area(s) of competence. A guiding principle is that one who undertakes practice in a given
specialty area will be held to the standard of care within that specialty while he/she is practicing in that area.
(3) Maintaining competency. A psychologist or school psychologist shall maintain
current competency in the areas in which he/she practices, through continuing education, consultation, and/or other training, in conformance with current standards of scientific and professional knowledge.
(4) Adding new services and techniques. A psychologist or school psychologist, when
developing competency in a new area or in a new service or technique, shall engage
in ongoing consultation with other psychologists, school psychologists, or appropriate
professionals and shall seek continuing education in the new area, service or technique. A psychologist or school psychologist shall inform any client whose treatment will involve a newly developing service or technique of its innovative nature and the known risks concerning those services.

Area 2: Professional Conduct

Competency
5. What if working under school psychologist license?
6. When to refer?
7. What if client is already receiving psychological assistance from another professional?
5. If he/she does not also hold a psychologist license - should NOT practice beyond scope of school psychologist license
6. When referral is in the best interests of the client
7. Do NOT establish or offer to establish a continuing tx relationship with him/her, EXCEPT with the knowledge of the other professional OR after termination of the client's relationship with that professional

(5) Limits on practice under school psychologist license. A school psychologist who
does not hold a psychologist license shall not practice beyond the scope of the school
psychologist license, as defined in division (E) of section 4732.01 of the Revised Code.
(6) Referrals. A psychologist or school psychologist shall make or recommend referral to other professional, technical, or administrative resources when such referral is in the best interests of the client.
(7) Interprofessional relations. A psychologist or school psychologist shall neither
establish nor offer to establish a continuing treatment relationship with a person
receiving psychological assistance from another professional, except with the
knowledge of the other professional or after the termination of the client's
relationship with the other professional.

Area 2: Professional Conduct

Violations of the Law: What should a psychologist NOT do? (e.g., violations of law)

1. Do NOT violate any application statute or administrative rule regulating the practice of psychology
2. Do NOT use fraud, misrepresentation, or deception in
i. obtaining a license or passing licensing exam,
ii. in assisting another to obtain a license or pass licensing exam,
iii. in billing clients or 3rd party payors
iv. in providing services
v. in reporting results of those services
vi. or in any other activity related to the practice of psychology

(J) Violations of law:
(1) Violation of applicable statutes. A psychologist or school psychologist shall not violate any applicable statute or administrative rule regulating the practice of psychology or school psychology.
(2) Use of fraud, misrepresentation, or deception. A psychologist or school
psychologist shall not use fraud, misrepresentation, or deception in obtaining a psychology or school psychology license, in taking a psychology or school psychology licensing examination, in assisting another to obtain a psychology or school
psychology license or to take a psychology or school psychology licensing examination, in billing clients or third-party payers, in providing psychological or
school psychological services, in reporting the results of those services, or in conducting any other activity related to the practice of psychology or school
psychology.

Area 2: Professional Conduct

What should a psychologist NOT do? (e.g., to avoid aiding illegal practice)
1. Do NOT aid another person in misrepresenting credentials or illegally engaging in psychology
2. Do NOT delegate to someone who is not qualified or appropriately credentialed
3. Do provide appropriate supervision of supervisees

(J) Aiding illegal practice:
(1) Aiding unauthorized practice. A psychologist or school psychologist shall not aid or abet another person in misrepresenting his/her professional credentials or in
illegally engaging in the practice of psychology or school psychology.
(2) Delegating professional responsibility. A psychologist or school psychologist shall
not delegate professional responsibilities to a person not qualified and/or not
appropriately credentialed to provide such services.
(3) Providing supervision. A psychologist or school psychologist shall exercise
appropriate supervision over supervisees, as set forth in the rules of the board.

Area 2: Professional Conduct
Reporting Violations to the Board:
When and how should a psychologist report violations to the board?

EXCEPTION(S)?
(Does NOT relieve psychologist from duty to file any report required by applicable statutes)

- When: "substantial reason" to believe another licensee or supervisee has 1. committed a violation of statutes or rules, 2. that has substantially harmed, or is likely to, a person or organization

How: In Writing

EXCEPT: if information obtained during professional rel., may ONLY report it with written permission of client - ALSO, advise client of the name, address, and # of state board and of client's right to file a complaint
"take reasonable efforts to guide and/or facilitate the client in the complaint process"

(4) Reporting of violations to board. A psychologist or school psychologist who has
substantial reason to believe that another licensee or psychological or school
psychological supervisee has committed an apparent violation of the statutes or rules of the board that has substantially harmed or is likely to substantially harm a person
or organization shall so inform the board in writing; however, when the information
regarding such violation is obtained in a professional relationship with a client, the
psychologist or school psychologist shall report it only with the written permission of
the client. Under such circumstances the psychologist or school psychologist shall
advise the client of the name, address, and telephone number of the state board of psychology and of the client's right to file a complaint. The psychologist or school psychologist shall make reasonable efforts to guide and/or facilitate the client in the
complaint process as needed or requested by the client. Nothing in this rule shall relieve a psychologist or school psychologist from the duty to file any report required by applicable statutes.

Area 2: Professional Conduct

Are the supervision rules of the Administrative Code considered part of professional conduct?
YES
(K) Supervision. Rules 4732-13-01, 4732-13-02, 4732-13-03, and 4732-13-04 of the Administrative Code, pertaining to supervision of persons performing psychological or school psychological work, shall be considered as a part of these rules of professional conduct.

THIS IS "I" under PROFESSIONAL CONDUCT


Define Telepsychology: (5)

1) Defined as preactice of psychology or sch psych including supervision, by distance communication (e.g., by telephone; email; internet; videoconferencing)


2) to practice must hold valid license by BOP or be registered supervisee of a licensee being delegated in telepsych


3) cannot provide services for clients that live outside of ohio; licensee bears responsibility for complying with laws, rules, policies for telepsych set by jurisdictional Boards


4) must compy w/ rules of professional conduct & state/federal statutes applying to the practice of psychology & sch psych


5) must estab. & maintain current competence in practice of telepsych thorough continuing education, consultation, etc.


6)Not appropriate for all psychological problems, clients, & decisions are made on a case by case basis. Must be aware that there are addional risks in the practice of telepsych and ensure client's welfare is paramount


(I) Telepsychology: (1) "Telepsychology," pursuant to paragraph (S) of rule 4732-3-01 of the Administrative Code, means the practice of psychology or school psychology including psychological and school psychological supervision, by distance communication technology such as but not necessarily limited to telephone, email, Internet-based communications, and videoconferencing. (2) In order to practice telepsychology in the state of Ohio one must hold a current, valid license issued by the state board of psychology or shall be a registered supervisee of a licensee being delegated telepsychology practices in compliance with paragraphs (B) and (C) of rule 4732-13-04 of the Administrative Code. (3) Licensees understand that this rule does not provide licensees with authority to practice telepsychology in service to clients domiciled in any jurisdiction other than Ohio, and licensees bear responsibility for complying with laws, rules, and/or policies for the practice of telepsychology set forth by other jurisdictional boards of psychology. (4) Licensees practicing telepsychology shall comply with all of these rules of professional conduct and with requirements incurred in state and federal statutes relevant to the practice of psychology and school psychology. (5) Licensees establish and maintain current competence in the professional practice of telepsychology through continuing education, consultation, or other procedures, in conformance with prevailing standards of scientific and professional knowledge. Licensees establish and maintain competence in the appropriate use of the information technologies utilized in the practice of telepsychology.

Licensees practicing telepsychology shall? (7)

1. Consider and document findings specific to:


a. Whether the client’s presenting problems andapparent condition are consistent with the use of telepsychology to theclient’s benefit


b. Whether the client has sufficient knowledge andskills in the use of the technology involved in rendering the service


2. Not provide telepsychology services to anyperson or persons when the outcome of the analysis is inconsistent with thedelivery of telepsychology services, whether related to clinical ortechnological issues


3. Upon initial and subsequent contacts with theclient, make reasonable efforts to verify the identity of the client


4. Obtain alternative means of contacting theclient


5. Provide to the client alternative means ofcontacting the licensee


6. Establish a written agreement relative to the client’saccess to face-to-face emergency services in the client’s geographical area, ininstances such as, but not limited to, the client experiencing a suicidal orhomicidal crisis


7. whenever feasible, use securecommunications with clients; such as encrypted text messages via email orsecure websites and obtain and document consent for the use of non-securecommunications


(1. Discover findings for appropriateness of caseand client’s level of tech savvy


2. Investigate if findings are inconsistent withtelepschology


3. Make reasonable efforts to verify id


4. Obtain alt contact


5. Provide alt contact


6. Written agreement re: face to face contact ifemergency


7. Secure communication, obtain release for nonsecure communication)

6) Licensees recognize that telepsychology is not appropriate for all psychological problems and clients, and decisions regarding the appropriate use of telepsychology are made on a case-by-case basis. Licensees practicing telepsychology are aware of additional risks incurred when practicing psychology or school psychology through the use of distance communication technologies and take special care to conduct their professional practice in a manner that protects the welfare of the client and ensures that the client's welfare is paramount. Licensees practicing telepsychology shall: (a) Consider and document findings specific to: (i) Whether the client's presenting problems and apparent condition are consistent with the use of telepsychology to the client's benefit; and (ii) Whether the client has sufficient knowledge and skills in the use of the technology involved in rendering the service. (b) Not provide telepsychology services to any person or persons when the outcome of the analysis required in paragraphs (I)(6)(a)(i) and (I)(6) (a)(ii) of this rule is inconsistent with the delivery of telepsychology services, whether related to clinical or technological issues. (c) Upon initial and subsequent contacts with the client, make reasonable efforts to verify the identity of the client; (d) Obtain alternative means of contacting the client; (e) Provide to the client alternative means of contacting the licensee; (f) Establish a written agreement relative to the client's access to face-to-face emergency services in the client's geographical area, in instances such as, but not necessarily limited to, the client experiencing a suicidal or homicidal crisis; (g) Licensees, whenever feasible, use secure communications with clients, such as encrypted text messages via email or secure websites and obtain and document consent for the use of non-secure communications.

(h) Prior to providing telepsychology services, obtain the written informed consent of the client, in language that is likely to be understood and consistent with accepted professional and legal requirements, relative to:

In client's native language relative to...


a. The limitations and innovative nature of usingdistance technology in the provision of P or SP services


b. Potential risks to confidentiality ofinformation due to the use of distance technology


c. Potential risks of sudden and unpredictabledisruption of telepsychology services and how an alternative means of re-establishingelectronic or other connection will be used under such circumstances


d. When and how the licensee will respond toroutine electronic messages


e. Under what circumstances the licensee andservice recipient will use alternative means of communications under emergencycircumstances


f. Who else may have access to communicationsbetween the client and the licensee


g. Specific methods for ensuring that a client’selectronic communications are directed only to the licensee or supervisee


h. How the licensee stores electroniccommunications exchanged with the client



(i) The limitations and innovative nature of using distance technology in the provision of psychological or school psychological services; (ii) Potential risks to confidentiality of information due to the use of distance technology; (iii) Potential risks of sudden and unpredictable disruption of telepsychology services and how an alternative means of re-establishing electronic or other connection will be used under such circumstances; (iv) When and how the licensee will respond to routine electronic messages; (v) Under what circumstances the licensee and service recipient will use alternative means of communications under emergency circumstances; (vi) Who else may have access to communications between the client and the licensee; (vii) Specific methods for ensuring that a client's electronic communications are directed only to the licensee or supervisee; (viii) How the licensee stores electronic communications exchanged with the client; (7) Ensure that confidential communications stored electronically cannot be recovered and/or accessed by unauthorized persons when the licensee disposes of electronic equipment and data; (8) When the primary treatment modality is face-to-face psychological services the following are exempt from this rule: (a) Electronic communication used exclusively for appointment scheduling, billing, and/or the establishment of benefits and eligibility for services; and, (b) Telephone or other electronic communications made for the purpose of ensuring client welfare in accord with reasonable professional judgment.

Whenthe primary treatment modality is face-to-face psychological services thefollowing are exempt from this rule:
1. Electronic communication used exclusively forappointment scheduling, billing, and/or the establishment of benefits and eligibilityfor services

2. Telephone or other electronic communicationsmade for the purpose of ensuring client welfare in accord with reasonableprofessional judgment