PREAMBLE

The New York Counseling Association (NYCA), a Branch of the American Counseling Association, is an association whose members are dedicated to enhancing the worth, dignity, potential and uniqueness of each individual within the educational, agency, and other settings.  NYCA members are committed to contributing to the comprehensive education and development of the individual, protecting human rights, and advancing knowledge of human growth and development and promoting the effectiveness of institutional programs, services, and organizational units.  As a means of supporting these commitments, members pf NYCA subscribe to the following principles and standards of ethical conduct.  Acceptance of membership in NYCA signifies that the member agrees to adhere to the provisions of this statement.  This statement is designed to complement the ACA Ethical Standards and not replace them.  The Association recognizes that the role definitions and work settings of its members include a wide variety of academic disciplines and settings.  Persons charged with duties in various functional areas are encouraged to consult ethical standards specific to their professional responsibilities.

PURPOSE OF STATEMENT OF ETHICAL PRINCIPLES AND STANDARDS

The principle purpose of the Statement of Ethical Principles and Standards is to assist professionals in regulating their own behavior by sensitizing them to potential ethical problems, and by providing standards useful in daily practice.  Observance of ethical behavior also benefits fellow professionals, clients, and students due to the efforts of modeling.  Self-regulation is the most effective and preferred means of assuring ethical behavior.  If, however, a professional observes conduct by a fellow professional that seems contrary to the provisions of this document, several courses of action are available.  They are as follows:                                                                                      

1.    Initiate a Private Conference   Because unethical conduct often is due to a lack of awareness or understanding of ethical standards, a private conference with the professional(s) about the conduct in question is an important initial line of action.  This conference, if pursued in a spirit of collegiality and sincerity, often may resolve the ethical concern and promote future ethical conduct.

2.    Pursue Institutional Remedies   If private consultation does not produce the desired results, professional channels for resolving alleged ethical improprieties may be pursued.  All Divisions and Chapters should have a widely-publicized process for addressing allegations of ethical misconduct.

3.    Contact NYCA Ethics Committee   If the NYCA member is unsure about whether a particular activity or practice falls under the provisions of this statement, the Ethics Committee may be contacted in writing.  The member should describe in reasonable detail (omitting data that would identify the person(s) as much as possible) the alleged unethical conduct or practice(s) and the circumstances surrounding the situation.  Members of the Ethics Committee, or others in the Association, will provide the member with a summary of opinions regarding the ethical appropriateness of the conduct or practice in question.  Because these opinions are based on limited information, no specific situation or action will be judged "unethical".  The responses rendered by the Committee are only advisory and are not an official statement on behalf of NYCA. 

4.    Request Consultation From NYCA Ethics Committee    If the individual institution or agency wants further assistance in resolving the controversy, a request may be made for personal consultation.  Provided all parties to the controversy agree, a team of consultants selected by the Ethics Committee will visit the person at the institution's expense to hear the allegations and review the facts and circumstances.  The team will advise institutional leadership on possible actions consistent with both the content and spirit of the NYCA Statement of Ethical Principles and Standards.  Compliance with recommendations is mandatory.  No sanctions will be imposed by NYCA.  Institutional leaders remain responsible for assuring ethical conduct and practice.  To the extent possible, the consultation team will maintain confidentiality surrounding the process.

5.    Submit Complaint to ACA Ethics Committee   If the alleged misconduct may be a violation of the ACA Ethical Standards, the person charged is a member of the ACA, and the institutional process is unavailable or produces unsatisfactory results, then proceedings against the individual(s) may be brought to the ACA Ethics Committee for review. 

ETHICAL PRINCIPLES

No statement of ethical standards can anticipate all situations that have ethical implications.  When counseling professionals are presented with dilemmas that are not explicitly addressed herein, five ethical principles may be used in conjunction with the four encumbered standards (Professional Responsibility and Competence, Student/Client or Individual Learning and Development,  Responsibility to the Institution, and Responsibility to Society) to assist in making decisions and in determining appropriate courses of action.

Ethical principles should guide the behaviors of professionals in everyday practice.  Principles, however, are not just guidelines for reaction when something goes wrong or when a complaint is raised.  Adhering to ethical principles also calls for action.  These principles include the following:

1.    Act To Benefit Others   Service to humanity is the basic tenet underlying our professional practice.  Hence, counseling professionals exist to:

(a)    promote healthy social, physical, academic, oral, cognitive, career, and personality development   of students                                                                                                                                  

(b)    bring a developmental perspective to the institution's total educational process and learning environment                                                                                                                                 

(c)    contribute to the effective functioning of the institution; and                                                         

(d)    provide programs and services consistent with this principle in a variety of work settings

2.    Promote Justice   Counseling professionals are committed to assuring fundamental fairness for all individuals within the academic community, as well as other work settings.  In pursuit of this goal, the principles of impartiality, equity, and reciprocity (treating others as one desires to be treated) are basic.  When there are greater needs then resources available, or when the interests of constituencies conflict, justice requires honest consideration of all claims and requests and equitable (not necessarily equal) distribution of goods and services.  A crucial aspect of promoting justice is demonstrating an appreciation for human differences and opposing intolerance and bigotry concerning these differences.  Important human differences include, but are not limited to, characteristics such as age, culture, ethnicity, gender, disabling condition, race, religion, sexual/affectional orientation.

3.    Respect Autonomy   Counseling professionals respect and promote individual autonomy and privacy.  Individuals' freedom of choice and action are not restricted unless their actions significantly interfere with the welfare of others, or the accomplishment of the institution's mission.

4.    Be Faithful   Counseling professionals are truthful, honor agreements, and are trustworthy in the performance of their duties.

5.    Do No Harm   Counseling professionals do not engage in activities that can cause physical or psychological damage to others.  In addition to their personal actions, counseling professionals are especially vigilant to assure that the institutional policies do not:

(a) hinder students'/clients' opportunities to benefit from the learning experiences available in the environment                                                                                                                                  

(b) threaten individuals' self-worth, dignity, or safety; or                                                                    

(c) discriminate unjustly or illegally.

ETHICAL STANDARDS

Four ethical standards related to primary constituencies with whom counseling professionals work - fellow professionals, students, clients, educational or other institutions, and society - are specified.

1.    Professional Responsibility and Competence   Counseling professionals are responsible for promoting students'/clients' and individuals' learning and development, enhancing the understanding of self, and advancing the profession and its ideals.  They possess the knowledge, skills, emotional stability, and maturity to discharge responsibilities as administrators, advisors, consultants, counselors, programmers, researchers, and teachers.  High levels of professional competence are expected in the performance of their duties and responsibilities.  They ultimately are responsible for the consequences of their actions or inaction.

As NYCA members, counseling professionals will:

   1.1    Adopt a professional lifestyle characterized by use of sound theoretical principles and a personal value system congruent with the basic tenets of the profession.

   1.2    Contribute to the development of the profession (e.g. recruiting individuals to the profession, serving professional organizations, educating new professionals, improving professional practices, and conducting and reporting research).

   1.3    Maintain and enhance professional effectiveness by improving skills and acquiring new knowledge.

   1.4    Monitor their personal and professional functioning and effectiveness and seek assistance from appropriate professionals as necessary.

   1.5    Represent their professional credentials, competencies, and limitations accurately and correct any misrepresentations of these qualifications by others.

   1.6    Establish fees, when in private practice, for professional services after consideration of the recipient to pay.  They will provide some services, including professional development activities for colleagues, for little or no remuneration.

   1.7    Refrain from attitudes or actions that impinge on colleagues' dignity, moral code, privacy, worth, professional functioning, and/or personal growth.

   1.8    Abstain from sexual harassment.

   1.9    Abstain from sexual intimacies with colleagues or with staff for whom they have supervisory, evaluative, or instructional responsibility.

   1.10    Refrain from using their positions to seek unjustified personal gains, sexual favors, unfair advantages, or unearned goods and services not normally accorded those in such positions.

   1.11    Inform students/clients or individuals of the nature and/or limits of confidentiality.  They will share information about the students/clients or individuals only in accordance with institutional policies and applicable laws, when given permission, or when required to prevent personal harm to themselves or others.

   1.12    Use records and electronically stored information only to accomplish legitimate, institutional purposes and to benefit students/clients or individuals.

   1.13    Define job responsibilities, decision-making procedures, mutual expectations, supervisory procedures, and evaluation criteria with subordinates and supervisors.

   1.14    Acknowledge contributions by others to program development, program implementation, evaluations, and reports.

   1.15    Adhere to policies that clearly distinguish between supervision and evaluation.

   1.16    Assure that participation by staff in planned activities that emphasize self-disclosure or other relatively intimate or personal involvement, is voluntary and that the leader(s) of such activity does (do) not have administrative, supervisory, or evaluative authority over participants.

   1.7    Adhere to professional practices in securing positions:

        (a)    Represent education and experiences accurately;                                                              

        (b)    Respond to offers promptly;

        (c)    Accept only those positions they intend to assume;

        (d)    Advise current employer and all institutions at which applications are pending immediately when a contract is signed; and

        (e)    Inform their employer at least thirty days before leaving a position.

   1.8    Gain approval of research plans involving human subjects from the institutional committee with oversight responsibility prior to initiation of the study.  In the absence of such a committee, they will seek to create procedures to protect the rights and ensure the safety of research participants.

   1.9    Consult and report research studies accurately.  They will not engage in fraudulent research or distort or misrepresent data or deliberately bias results.

   1.20    Cite previous works on a topic when writing or when speaking to professional audiences.

   1.21    Acknowledge major contributions to research projects and professional writings through joint authorships with the principal contributor listed first.  Acknowledge minor technical or professional contributions in notes or introductory statements.

   1.22    Not demand co-authorship of publications when their involvement was ancillary, or unduly pressure others for joint authorship.

   1.23    Share original research data with qualified others upon request.

   1.24    Communicate the results if any research judged to be of value to other professionals, and not withhold results reflecting unfavorably on specific institutions, programs, services, or prevailing opinion.

   1.25    Submit manuscripts for consideration to only one journal at a time.  They will not seek to publish previously or accepted-for-publication materials in other media and publications without first informing all editors and/or publishers concerned.  Make appropriate references in the text and receive permission to use materials if copyright are involved.

   1.26    Support professional preparation program efforts by providing assistantships, practical field placement, and consultation to students and faculty.

2.    Student/Client or Individual Learning and Development    An individual's growth and development is an essential purpose of education, and the pursuit of this aim is a major responsibility of counseling professionals.  Development is complex and includes cognitive, physical, moral, social, career, spiritual, personality, and educational dimensions.  Professionals must be sensitive to the variety of backgrounds, cultures, and personal characteristics evident in the student population and use appropriate theoretical perspectives to identify learning opportunities and to reduce barriers that inhibit development.

   2.1    Treat students/clients as individuals who possess dignity, worth and the ability to be self-directed.

   2.2    Avoid dual relationships with students/clients or individuals (e.g., counselor/employer, supervisor/best friend, or faculty/sexual partner) that may involve incompatible roles and conflicting responsibilities.

   2.3    Abstain from sexual harassment.

   2.4    Abstain from sexual intimacies with students/clients or individuals for whom they have supervisory, evaluative, or instructional responsibility.

   2.5    Inform students/clients or individuals of the conditions under which they may receive assistance and the limits of confidentiality when the counseling relationship is initiated.

   2.6    Avoid entering or continuing helping relationships if benefits to students/clients or individuals are unlikely.  They will refer students/clients or individuals to appropriate specialists and recognize that if the referral is declined, they are obligated to continue the relationship.

   2.7    Inform students/clients or individuals about the purpose of assessment and make explicit the planned use of results prior to assessment.

   2.8    Provide appropriate information to students/clients or individuals prior to and following the use of any assessment procedure to place results in proper perspective with other relevant factors (e.g., socio-economic, ethnic, cultural, and gender-related experiences).

   2.9    Confront students/clients or individuals regarding issues, attitudes, and behaviors that have ethical implications.

3.    Responsibility to the Institution   Educational institutions provide the context for student affairs practice.  Institutional mission, policies, organizational structure, and culture, combined with individual judgment and professional standards, define and delimit the nature and extent of practice.  Counseling professionals share the responsibility with other members of the academic community for fulfilling the institutional mission.  Responsibility to promote the development of students/clients or individuals and to support the institution's policies and interests require that professionals balance competing demands.

As NYCA members, counseling professionals will:

    3.1    Contribute to their institution by supporting its mission, goals, and policies.

   3.2    Seek resolution when they and their institution encounter substantial disagreements concerning professional or personal values.  Resolution may require sustained efforts to modify institutional policies and practices or result in voluntary termination of employment.

   3.3    Recognize that conflicts among students/clients or individuals, colleagues, or the institution should be resolved without diminishing appropriate obligations to any party involved.

   3.4    Assure that information provided about the institution is factual and accurate.

   3.5    Inform appropriate officials of conditions that may be disruptive or damaging to their institution.

   3.6    Inform supervisors of conditions or practices that may restrict institutional or professional effectiveness.

   3.7    Recognize their fiduciary responsibility to the institution.  They will assure that funds for which they have oversight are expected following established procedures and in ways that optimize value, are accounted for properly, and contribute to the accomplishment of the institution's mission.  They also will assure that equipment, facilities, personnel, and other resources are used to promote the welfare of the institution and students.

   3.8    Restrict their private interests, obligations, and transactions in ways to minimize conflicts of interests or the appearance of conflicts of interest.  They will identify their personal views and actions as private citizens from those expressed or undertaken as institutional representatives.

   3.9    Collaborate and share professional expertise with members of the academic community.

    3.10    Evaluate programs, services, and organizational structures regularly and systematically to assure conformity to published standards and guidelines.  Evaluations should be conducted using rigorous evaluation methods and principles, and the results should be made available to appropriate institutional personnel.

    3.11    Evaluate job performance of subordinates regularly and recommend appropriate actions to enhance professional development and improve performance.

    3.12    Provide fair and honest assessments of colleagues' job performance.

    3.13    Seek evaluations of their job performance and/or services they provide.

    3.14    Disseminate information that accurately describes the responsibilities of position vacancies, required qualifications, and the institution.

4.    Responsibility to Society    Counseling professionals, both as citizens and practitioners, have a responsibility to contribute to the improvement of the communities in which they live and work.  They respect individuality and recognize that worth is not diminished by characteristics such as age, culture, ethnicity, gender, disabling condition, race, religion, or sexual/affectional orientation.  Counseling professionals work to protect human rights and promote an appreciation of human diversity in higher education.

AS NYCA members, counseling professionals will:

    4.1    Assist students/clients or individuals in becoming productive and responsible citizens.

    4.2    Demonstrate concern for the welfare of all students/clients or individuals and work for constructive change on behalf of all concerned.

    4.3    Not discriminate on the basis of age, culture, ethnicity, gender, disabling condition, race, religion, or sexual/affectional orientation.  They will work to modify discriminatory practices.

    4.4    Demonstrate regard for social codes and moral expectations of the communities in which they live and work.  They will recognize that violations of accepted moral and legal standards may involve their clients, students, or colleagues in damaging personal conflicts and may impugn the integrity of the profession, their own reputations, and that of the employing institution.

    4.5    Report to the appropriate authority any condition that is likely to harm their clients and/or others.

5.    Ethical Principles and Standards of the New York Counseling Association    This statement of Ethical Principles and Standards of the New York Counseling Association does not replace the "ACA Ethical Standards". 

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