PURPOSE: This rule is promulgated pursuant to section 337.630.2(15), RSMo 2000 and sets forth the ethical standards/disciplinary rules for client relationships. FINANCIAL INSTITUTIONS AND PROFESSIONAL REGISTRATION

1. (1) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall not enter into or continue a dual or multiple relationship, including social relationship, business relationship or sexual relationship, as defined by the committee, with a current client or with a person to whom the licensed social worker, provisional licensed social worker, temporary permit holder or registrant has at anytime rendered psychotherapy (clinical social work) or other professional social work services for the treatment or amelioration of mental and emotional conditions. Business relationships do not include purchases made by the licensed social worker, provisional licensed social worker, temporary permit holder or registrant from the client when the client is providing necessary goods or services to the general public, and the licensed social worker, provisional licensed social worker, temporary permit holder or registrant determines that it is not possible or reasonable to obtain the necessary goods or services from another provider.
2. (2) Licensed social workers, provisional licensed social workers, temporary permit holders and registrants shall be alert to and avoid conflicts of interest that interfere with the exercise of professional discretion and impartial judgment.
3. (3) Licensed social workers, provisional licensed social workers, temporary permit holders and registrants should make clear to clients the purposes, goals, techniques, rules of procedure and limitations that may affect the professional relationship at or before the time that it is begun. Licensed social workers, provisional licensed social workers, temporary permit holders and registrants shall not provide professional services to clients without being able to justify the basis upon which those services are rendered.
4. (4) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant should be aware of his/her own mental health and emotional stability and the effect those have on his/her ability to provide appropriate services to clients. A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall not undertake or continue a professional relationship with a client when the competency of the licensed social worker, provisional licensed social worker, temporary permit holder and registrant is or reasonably could be expected to be impaired due to mental, emotional, physiologic, pharmacologic or substance abuse conditions. If that condition develops after a professional relationship has been initiated, the licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall notify the client in writing of the termination of services and shall assist the client in obtaining services from another professional.
5. (5) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall not undertake and/or continue a professional relationship with a client when the objectivity or competency of the licensed social worker, provisional licensed social worker, temporary permit holder or registrant is, or reasonably could be expected to be, impaired because of present or previous familial, social, sexual, emotional, financial, supervisory, political, administrative or legal relationship with the client. If that dual relationship develops or is discovered after the professional relationship has been initiated, the licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall terminate the professional relationship in an appropriate manner, shall notify the client in writing of this termination and shall assist the client in obtaining services from another professional.
6. (6) Licensed social workers, provisional licensed social workers, temporary permit holders and registrants should be knowledgeable about the services available in the community and make appropriate referrals for their clients. When a licensed social worker, provisional licensed social worker, temporary permit holder or registrant has a relationship, particularly of an administrative, supervisory and/or evaluative nature, with an individual seeking counseling services, the licensed social worker, provisional licensed social worker, temporary permit holder or registrant shall not serve as the practitioner for such individual but shall refer the individual to another professional.
7. (7) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant must inform clients about electronic recording of sessions, how such sessions will be used and provide specific information about any specialized or experimental activities in which they may be expected to participate as a condition of service.
8. (8) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall terminate a professional relationship when it is reasonably clear that the client is not benefiting from the relationship or when the service has been satisfactorily rendered.
9. (9) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall protect clients against physical threats, intimidation and coercion in the provision of social services insofar as is reasonably possible.
10. (10) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall not attempt any intervention unless thoroughly trained in its use or under the supervision of an expert.

11. (11) A licensed social worker, provisional licensed social worker, temporary permit holder and registrant rendering services to a client shall maintain professional records that include:

    1. (A) The presenting problem(s), assessment, plan of action and progress notes;
    2. (B) The fee arrangement;
    3. (C) The date and substance of each contact with the client;
    4. (D) Notation and results of formal consults with other providers;
    5. (E) A copy of all evaluative reports prepared or received as a part of the professional relationship; and
    6. (F) A copy of a written communication with the client identifying the date and reason for termination of professional service if the licensed social worker is in private practice.
12. (12) For the purpose of these rules, the licensed social worker and temporary permit holder shall assure that professional records are maintained for at least five (5) years after the date of service is terminated.
13. (13) The licensed social worker, provisional licensed social worker, temporary permit holder and registrant shall not falsify or permit the unauthorized destruction of client records.

AUTHORITY: sections 337.600 and 337.615, RSMo Supp. 2003 and 337.627 and 337.630, RSMo 2000.* This rule originally filed as 4 CSR 263-3.040. Original rule filed Sept. 18, 1990, effective Feb. 14, 1991. Rescinded and readopted: Filed Dec. 30, 1998, effective July 30, 1999. Amended: Filed March 15, 2004, effective Sept. 30, 2004. Moved to 20 CSR 2263-3.040, effective Aug. 28, 2006.

*Original authority: 337.600, RSMo 1989, amended 1995, 2003; 337.615, RSMo 1989, amended 1995, 1997, 2001; 337.627, RSMo 1989, amended 1993, 1995, 1997; and 337.630, RSMo 1989, amended 1997.