DMH Principles of Ethical and Professional Conduct

DMH Principles of Ethical and Professional Conduct All applicants and individuals holding a DMH professional credential shall read and adhere to ethical standards/principles as established by the PLACE Review Board and the Mississippi Department of Mental Health. A. Introduction 1. The State Legislature granted Statutory Authority for Mississippi Department of Mental Health (DMH) professional credentialing programs in 1996. As a result, the Division of Professional Licensure and Certification (PLACE) was a DMH division created to develop and implement the programs. Having been amended by the State Legislature in 1997, Section 41-4-7 of the Mississippi Code of 1972, Annotated currently includes a provision authorizing the Mississippi State Board of Mental Health to certify/license case managers [i.e., community support specialists], mental health therapists, intellectual and developmental disabilities therapists, mental health/intellectual and developmental disabilities program administrators, addiction counselors [i.e., addictions therapists, substance use therapists] and others as deemed appropriate by the Mississippi State Board of Mental Health. 2. The Mississippi Department of Mental Health (DMH) Division of Professional Licensure and Certification (PLACE) Review Board serves as the governing body for the everyday professional conduct of DMH-credentialed individuals. Individuals credentialed through DMH may identify with different professional associations and are often certified or licensed by other groups with promulgated codes of ethics. 3. The safety, health, welfare and best interest of the individuals and families receiving services, and the public at large, are the primary guiding principles for appropriate professional conduct of all individuals holding a DMH professional credential. 4. Applicants and individuals holding a DMH professional credential are required to read and adhere to all parts of the DMH Principles of Ethical and Professional Conduct listed below, with the exception of any parts superseded by federal or state law, policy, or rules and regulations adopted by the Mississippi State Board of Mental Health, Mississippi Department of Mental Health and/or the Mississippi Department of Mental Health Professional Licensure and Certification (PLACE) Review Board. 5. Applicants and individuals holding a DMH professional credential are also required to read and maintain familiarity with the corresponding “Grounds for Disciplinary Action” in the following chapter. Lack of knowledge or unfamiliarity with these ethical principles and the corresponding “Grounds for Disciplinary Action” is not a defense against an allegation of unethical conduct. 6. Applicable federal and state laws, these principles, the Mississippi Department of Mental Health Operational Standards for Mental Health, Intellectual/Developmental Disabilities, and Substance Use Community Service Providers (as applicable), agency/program policies and any other pertinent rules and regulations must be observed when conducting business as a DMH-credentialed professional. Alleged violations of the principles may be subject to disciplinary action if the PLACE Review Board finds that a person is guilty of any violation of the principles and/or corresponding “Grounds for Disciplinary Action.” Information on disciplinary action is covered in Chapter Twenty-One. 7. The DMH Principles of Ethical and Professional Conduct herein referred to as “the principles,” provide a minimal ethical standard for the professional behavior of individuals credentialed through DMH. The principles provide a level of expectation for ethical practice from all who hold a DMH credential. In addition, the principles provide an enforceable standard for all DMH- credentialed individuals and, in conjunction with the corresponding “Grounds for Disciplinary Action,” facilitate an avenue of recourse in the case of an ethical violation. The absence of an exact reference to a specific behavior or situation among these principles and corresponding “Grounds for Disciplinary Action” does not mean that the behavior or situation is either ethical or unethical. Rather, these ethical principles and corresponding “Grounds for Disciplinary Action” are not exhaustive in nature. Individuals uncertain about whether or not a certain course of action is ethical should seek guidance and assistance from supervisors, colleagues, legal counsel, appropriate regulatory bodies, or other appropriate authorities prior to the onset of such action. Both laws and ethics govern the actions of DMH-credentialed individuals. When making decisions regarding professional behavior, DMH-credentialed individuals must consider all applicable laws and regulations. 8. While the principles cannot guarantee ethical practice by all DMH-credentialed individuals or resolve all issues, the intent of the principles is to provide guidelines for individuals who, in good faith, seek to make reliable ethical judgments. Seven general principles of ethical and professional conduct follow. B. Principle I: Professional Responsibilities 1. Individuals holding a current credential from the Mississippi Department of Mental Health (DMH) must be employed by a program which receives funding from or is certified or operated/administered by the DMH. 2. Individuals who hold a DMH professional credential must notify the appropriate DMH division (i.e., the Division of Professional Licensure and Certification or the Division of Peer Recovery and Support) upon any change affecting credential status, especially a change in employment or change in name. 3. Individuals holding a DMH professional credential must represent themselves as competent only within the boundaries of their education, training, license(s)/ certification(s), supervised experience and other relevant professional experience. 4. Individuals holding a DMH professional credential must provide services only within the boundaries of their education, training, license(s)/certification(s), supervised experience and other relevant professional experience. Services provided must be based on the most current information and knowledge available within the scope of services of DMH. 5. DMH-credentialed individuals do not diagnose, treat or otherwise provide services which are outside the recognized boundaries of their competencies. 6. Individuals who hold another professional credential shall abide by all principles contained herein. 7. The principles do not alleviate the individual’s responsibility to other ethical, programmatic or professional guidelines. Rather, the principles must be adhered to in addition to other applicable ethical, programmatic and professional criteria. 8. Individuals holding a DMH professional credential strive to become and remain proficient in professional practice and the performance of professional functions. 9. DMH-credentialed individuals must, at a minimum, complete the required continuing education component respective to their DMH professional credential. DMH- credentialed individuals monitor continually their effectiveness as professionals and take measures to improve when necessary. 10. DMH-credentialed individuals monitor themselves for signs of impairment from their own physical, mental/behavioral, substance use or emotional problems and refrain from offering or providing services when impaired. 11. DMH-credentialed individuals identify their professional credentials in an accurate manner which is not false, misleading, deceptive or otherwise fraudulent. DMH credentialed-individuals only attest to certifications/licensures which are valid and in good standing. 12. DMH-credentialed individuals maintain accurate and adequate service provision records and other related records in accordance with applicable laws and regulations. DMH-credentialed individuals are honest, accurate and objective in reporting their professional activities and assessments to appropriate third parties, including but not limited to, courts, health insurance companies and other third-party payment sources. 13. When providing services, DMH-credentialed individuals strive to use techniques, processes and modalities which are evidenced-based and/or which are otherwise scientifically-grounded. 14. DMH-credentialed individuals who verify an applicant’s submitted work experience for DMH professional credentialing must meet the definition of “Qualified Supervisor” for the respective DMH professional credentialing program and must have engaged in “active supervision” (as defined in the “Glossary” section of this document) of the submitted work experience. 15. DMH-credentialed individuals who verify an applicant’s submitted work experience for DMH professional credentialing should only endorse/recommend the applicant for certification/licensure when they believe that the applicant is qualified for the endorsement/recommendation. 16. When applicable, DMH-credentialed individuals plan, design, conduct and/or report research in a manner consistent with applicable ethical principles, federal and state laws, institutional/programmatic rules and regulations and scientific standards governing research. 17. Individuals holding a DMH professional credential must comply with all applicable sections of the Mississippi Department of Mental Health Operational Standards for Mental Health, Intellectual/Developmental Disabilities, and Substance Use Community Service Providers, as appropriate (including, but not limited to, the Operational Standards’ sections pertaining to confidentiality, ethical conduct and the rights of individuals receiving services). C. Principle II: Confidentiality 1. Individuals holding a credential from DMH have an obligation to respect the confidentiality rights of the individuals with whom they work and must take reasonable precautions to preserve confidentiality. 2. The individual receiving services (or person(s) legally authorized to consent on his/her behalf) and other interested parties should be informed at the outset of service provision of the nature of confidentiality and the possible limits to confidentiality. 3. Members of a treatment team or those collaborating on the care of an individual shall maintain confidentiality within the parameters of the treatment setting. 4. The confidentiality rights of individuals must be maintained at all times across situations and locations, such as in waiting areas to which the public has access, while speaking on the telephone or in conversing with colleagues. 5. Confidential information may only be disclosed with appropriate valid consent from the individual receiving services or a person legally authorized to consent on behalf of the individual. 6. All information collected for the purpose of service delivery must be kept confidential and released only when authorized by redisclosure consent or state (or federal) law. 7. DMH-credentialed individuals take precautions to ensure the confidentiality of all information transmitted through the use of any medium. 8. Individuals involved in family, couples, marital or group counseling must be informed of their individual right to confidentiality. 9. DMH-credentialed individuals must preserve the confidentiality of information shared by others, as well as agency policy concerning the disclosure of confidential information and must explain such policy to the individual receiving services. 10. When consulting with colleagues, DMH-credentialed individuals do not share confidential information which could lead to the identification of an individual who is receiving services with whom they have a confidential relationship unless they have obtained the prior consent of the person. Information may only be shared to the extent necessary to achieve the purposes of consultation. 11. When DMH-credentialed individuals are required by law, institutional/programmatic policy, or extraordinary circumstances to serve in more than one role in judicial or administrative proceedings or in the service provision environment, they clarify role expectations and the parameters of confidentiality with the individuals they serve and with their professional colleagues. 12. Permission for the use of electronic recording of interviews must be secured, prior to the interview, from the individual receiving services or a person legally authorized to consent on behalf of the individual receiving services. 13. Confidentiality may be waived if disclosure is necessary to prevent serious, foreseeable, and imminent harm to oneself or other identifiable person or when laws or regulations require disclosure without an individual’s consent. 14. The confidentiality privilege for the individual receiving services is waived if the individual brings charges against a DMH-credentialed individual. 15. Confidentiality may be waived in compliance with appropriate statutes. 16. DMH-credentialed individuals must respect the confidentiality of individuals’ case records and related documentation. Compilation, storage and dissemination of individual case records, including related documentation, must be in accordance with all applicable federal and state laws and the Mississippi Department of Mental Health Operational Standards for Mental Health, Intellectual/Developmental Disabilities, and Substance Use Community Service Providers, as applicable. This provision includes both paper case records and electronic health records or electronic filing. 17. In all instances, individuals who hold a credential from DMH should disclose the least amount of confidential information necessary to achieve the desired purpose. D. Principle III: Respect for Individuals’ Rights and Dignity 1. Individuals who hold a credential from DMH have a primary responsibility to the individual to whom they provide services. The respect of the fundamental rights, dignity and worth of all people is of the utmost importance. 2. DMH-credentialed individuals must be aware of and accept the cultural, individual and role differences which occur in the service delivery environment. 3. DMH-credentialed individuals do not discriminate against any individual because of race, color, creed, gender, religion, national origin, age, disability or political affiliation. 4. DMH-credentialed individuals actively work to eliminate the effect of bias on service provision, and they do not knowingly participate in or condone discriminatory practices. 5. DMH-credentialed individuals must be respectful of and responsive to individuals with cultural needs. 6. DMH-credentialed individuals must practice appropriate, relevant and sensitive interventions which enable effective work in cross-cultural situations. 7. DMH-credentialed individuals must maintain a fundamental respect for the beliefs, customs, institutions and ethnic heritages of all individuals served. E. Principle IV: The Service Provision Relationship 1. DMH-credentialed individuals obtain appropriate, valid informed consent to service provision and related procedures and use language which is clear and understandable to the individual. When persons are legally incapable of giving informed consent, DMH-credentialed individuals obtain informed permission from a legally-authorized person, if such substitute is legally permissible. 2. The specific content of the informed consent may vary depending upon the individual and the plan of care; however, informed consent generally requires that the individual receiving services: a) has the capacity to consent; b) has been adequately informed of significant information concerning service provision processes/procedures, including the purpose of the services; c) has been adequately informed of potential risks and benefits of service provision; d) has been informed of the requirements of a third-party payer and relevant costs; e) has been informed of reasonable alternatives; f) has been informed of the individual’s right to refuse or withdraw consent and the time frame covered by the consent; g) has been informed of the limits of confidentiality; h) has freely and without undue influence expressed consent; i) has provided consent which is appropriately documented; and, j) has been provided with an opportunity to ask questions. 3. DMH-credentialed individuals are aware of their influential positions with respect to the individuals and family members they serve and avoid exploiting the trust and dependency of such persons. DMH-credentialed individuals should not take unfair advantage of any professional relationship or exploit an individual to further their own interests. 4. DMH-credentialed individuals should avoid conflicts of interest which interfere with the exercise of professional and impartial judgement. DMH-credentialed individuals should inform individuals receiving services when a real or potential conflict of interest arises and should take reasonable steps and precautions to resolve the issue in a manner which, first and foremost, protects the individual receiving services and the individual’s interests. 5. DMH-credentialed individuals should make every effort to avoid dual or multiple relationships with individuals receiving services and/or their immediate family members which could impair professional judgment or increase the risk of exploitation or potential harm to the individual receiving services and/or his/her immediate family members. Dual or multiple relationships occur when DMH-credentialed individuals relate to the individuals they serve in more than one relationship, whether professional, social or business. Such relationships include (but are not limited to) business or close personal relationships with an individual receiving services and/or the individual’s immediate family members. Dual or multiple relationships can occur simultaneously or consecutively. 6. DMH-credentialed individuals who anticipate a potential conflict of interest with an individual who is receiving services should clarify their role with the individual; take appropriate action to minimize any conflict of interest/potential for professional judgement impairment and/or risk of exploitation; and should document appropriate precautions taken. 7. DMH-credentialed individuals avoid entering into nonprofessional relationships with current/former individuals receiving services, their significant others, and/or their immediate family members when the interaction is potentially harmful to the individual receiving services. This interaction applies both to in-person and electronic interactions or relationships. F. Principle V: Technology-Assisted Service Provision and Social Media 1. DMH-credentialed individuals recognize that service delivery takes place through an increasing number of technological formats. DMH-credentialed individuals strive to understand the growing and changing nature of technology and the provision of services via electronic means. DMH-credentialed individuals seek to understand the evolving benefits and concerns related to the use of electronic/digital service delivery techniques and the use of technology in service provision. In accordance with applicable laws, rules/regulations and policies, DMH-credentialed individuals make every effort to ensure confidentiality and to meet ethical, legal, and institutional/programmatic requirements for the use of technological resources. DMH-credentialed individuals who use technology-driven resources in the course of service provision develop the necessary skills and technical proficiency for the use of such resources. 2. DMH-credentialed individuals who maintain a personal social media presence should strive to maintain professional boundaries with regards to their personal social media use. Thus, DMH-credentialed individuals should take care to avoid any purposeful overlap between personal social media activities and professional activities. 3. DMH-credentialed individuals take precautions to avoid disclosing confidential information through public social media. G. Principle VI: Reporting Abuse and Ethical Misconduct 1. DMH-credentialed individuals must meet reporting requirements as outlined by the Vulnerable Persons Act and the Child Abuse/Neglect Reporting statutes. 2. Individuals holding a DMH credential who witness or have knowledge of unethical or discriminatory practices of other individuals who hold a DMH credential are obligated to report such practices to the appropriate DMH division (i.e., the Division of Professional Licensure and Certification or the Division of Peer Recovery and Support) 3. DMH-credentialed individuals do not harass or seek retaliation against a colleague or employee who has acted in a responsible and ethical manner to expose inappropriate, unethical or discriminatory practices. 4. DMH-credentialed individuals, as needed and as requested, willingly cooperate with the PLACE Review Board’s complaints evaluation and investigation process, along with any resultant disciplinary hearings. H. Principle VII: Sexual Harassment/Misconduct/Drug-Free Workplace 1. Sexual harassment/misconduct is considered to be any unwelcome solicitation, physical advance or verbal or nonverbal conduct which is sexual in nature. 2. Sexual harassment/misconduct can consist of a single onerous act or multiple persistent or pervasive acts. 3. Individuals who hold a credential from DMH will not knowingly engage in behavior which is sexually harassing or demeaning to persons with whom they interact within the service delivery environment. 4. Any behavior that could be construed as sexual harassment during the DMH- credentialed individual’s function of providing services for a program which is certified, funded, and/or operated/administered by the Mississippi Department of Mental Health shall be subject to disciplinary action. 5. The Department of Mental Health adopted written policy in Section 71-7-1 through 71-7-31 of the Mississippi Code of 1972, Annotated which outlines state policy regarding a Drug-Free Workplace. Programs funded/certified/administered and individuals who hold a DMH credential are expected to abide by this provision. 6. Individuals shall refrain from the use of alcohol/illegal substances in the work environment (including any and all such locations/venues where service provision takes place). 7. DMH-credentialed individuals should not engage in any behavior in the service delivery environment which is considered to be harassing, demeaning, bullying, or otherwise disrespectful or derogatory in nature; this tenet extends to all individuals with whom the DMH-credentialed individual interacts within the service delivery environment, both individuals receiving services/family members as well as colleagues/co-workers.