Ky.gov
Effective: 6/11/26

G1.1 Ethical Practice

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​The Department for Community Based Services (DCBS) and its employees should recognize the vulnerability of their clients and the serious responsibilities associated with intervention. The behavior of social service professionals should reflect the emphasis placed by the social service field on professional trustworthiness and the values of respect for people, client self-determination, individualized intervention, competence, loyalty, diligence, honesty, and confidentiality.


Practice Guidance

  • DCBS's ethical guidelines were developed based on national ethical standards, similar standards in other states, the Panel on Governmental Ethics and Conflicts of Interest, Kentucky Revised Statutes, and the National Association of Social Workers (NASW) Code of Ethics. 
  • Client self-determination refers to the client’s right to make self-determined choices and to act on them freely, without undue influence or coercion. It also refers to the client’s right to receive the information necessary to make a self-determined choice. Social service professionals should evaluate each client's decision-making capacity and re-evaluate it as circumstances change. The mandated nature of many social service professional/client relationships limits clients' options but does not eliminate their right to self-determination.​
  • Informed consent originates from the principle of client self-determination. It promotes client decision-making after the professional and the client have fully discussed the nature of the intervention and its possible consequences. Social service professionals have the responsibility to engage in this process with mandated clients who have not chosen to become clients but who have options to consider and decisions to make within the framework of a mandated intervention. Social service professionals should seek agreement for intervention from clients who are not capable of giving informed consent, giving due consideration to the client’s preferences in pursuing their best interests.
  • Social service professionals are in characteristically unequal relationships with clients, creating the potential for abuse of power. In mandated relationships, there is a special potential for harm and exploitation of vulnerable clients by social service professionals. Social service workers who leave the field continue to have the responsibility of considering the potential for exploitation and harm in relationships with former clients.
  • Continuing education and professional development opportunities may help maintain a high level of competence.
  • Clients may be children, adults, or families receiving professional intervention and/or social services from the Cabinet for Health and Family Services (CHFS) or through an agency with which CHFS has purchased service contracts.  The first responsibility of the social service professional is to the client; however, the specific nature of that responsibility differs depending on whether the client is a child, an adult, or a family member.
  • Dual relationships, such as intimate, social, or other non-professional contacts and relationships with clients, family members, foster parents, colleagues, and supervisors, could negatively impact professional objective judgment and performance or pose a risk of harm or exploitation to the client.  

Procedure

​DCBS employees:

  1. Adhere to standards of ethics, confidentiality, and security agreements;
  2. Execute their responsibilities on behalf of the citizens of the Commonwealth. As such, they do not use their positions for personal gain or influence; 
  3. Strive to improve the quality and efficiency of services rendered by Kentucky state government;
  4. Are honest, objective, and diligent in the performance of their duties and responsibilities;
  5. Avoid participation in any activity they know to be illegal or improper; 
  6. Are continually aware of the public trust they hold and their obligation to maintain a high standard of competence and dignity in the performance of their duties;
  7. Do not enter into any activity that may conflict with the interests of the citizens of Kentucky; 
  8. Refrain from entering into any activity which may prejudice (or give the appearance of such) their ability to objectively perform their duties and responsibilities;
  9. Do not solicit or accept directly or indirectly, any gift, gratuity, favor, or other economic consideration from any person, group, private business, or public agency which may affect the impartial performance of the employee’s duties; nor do members of their immediate families;
  10. Are prudent in the disclosure or use of information acquired in the course of their duties; 
  11. Shall not disclose information that may infringe upon another’s right to privacy; 
  12. Shall not use confidential information for any personal gain nor in a manner that may be detrimental to the welfare of the citizens of the commonwealth;
  13. Do not use state resources, including time, facilities, equipment, supplies, or uniforms, for private benefit or advantage; 
  14. Shall secure prior approval of their Cabinet’s management before using state time, facilities, equipment, supplies, or uniforms for community projects; 
  15. Strive for improvement in the proficiency and effectiveness of the service and products they deliver;
  16. Take responsibility for being knowledgeable of the ethical standards and confidentiality associated with their professional positions, and apply those ethical principles in every practice decision;
  17. Utilize their supervisory chain of command for consultation and guidance when two (2)  or more ethical principles seem to be in conflict, or if there is uncertainty regarding the appropriate ethical decision; and
  18. Report any ethical violations by other staff to the supervisor upon becoming aware of such violations.​

Department of Protection and Permanency (DPP) professionals:

  1. Treat all parties to the case with respect, honesty, fairness, and cooperation;
  2. Thoroughly familiarize themselves with the background of the case involved;
  3. Carry out their professional responsibilities with integrity, treating those with whom they have professional relationships in a dignified, respectful, honest and fair manner;
  4. Provide services only within the boundaries of their competence based on their education, training, supervised experience, and professional experience;
  5. Act in the best interest of those toward whom they have professional responsibilities; 
  6. Promote the welfare of those toward whom they have professional responsibilities; 
  7. Avoid harming those toward whom they have professional responsibilities;
  8. Minimize harm when it is unavoidable;
  9. Act to prevent discriminatory behavior based on age, gender, race, ethnicity, national origin, religion, sexual orientation, disability, socioeconomic status, or any basis proscribed by law;
  10. Seek and obtain the supervision and training necessary to ensure that intervention is unbiased, competent, and culturally appropriate; particularly when personal or cultural differences could significantly affect the service provided to a particular individual or group;
  11. Act to prevent sexual harassment;
  12. Avoid any conduct that would lead a reasonable person to conclude that the social service professional might be biased or motivated by personal or private interest in the performance of duties;
  13. Avoid, whenever feasible, professional relationships when a pre-existing non-professional relationship is present;
  14. Discuss past, existing, and potential multiple relationships with their appropriate superiors and resolve them in a manner that avoids harming and/or exploiting affected persons;
  15. Refrain from allowing their private interests or official position, whether personal, financial, or of any other sort, to conflict or appear to conflict with their professional duties and responsibilities.  Any conduct that would lead a reasonable person to conclude that the social service professional might be biased or motivated by personal gain or private interest in the performance of duties should be avoided;
  16. Avoid professional matters where they have a private financial or personal interest.  If such a conflict may exist, social service professionals should consult with an appropriate superior and take steps to eliminate any potential or real conflict;
  17. Avoid all conduct that might in any way lead members of the general public to conclude that he is using his official position to further his professional or private interest;
  18. Avoid performing professional activities when they know or should know that personal problems, mental health problems, or substance abuse could impede professional judgment and performance.  When such problems could interfere with performance, social service professionals should consider obtaining appropriate professional help and determine, along with their appropriate superior, whether they should limit, suspend, or terminate their professional duties;
  19. Document, accurately and truthfully, their professional work according to agency policy and/or legal requirements to ensure accountability and continuity in the provision of services to clients;
  20. Ensure that all clients, whatever their age, have the opportunity to make self-determined choices according to their level of understanding and decision-making capacity; 
  21. Inform clients as soon as feasible and in language that is understandable about the nature of the professional relationship, the nature of the professional intervention, the professional’s delegated authority, and the limits of that authority, which decisions the client can make, and which decisions the social service professional will make;
  22. Inform clients of the role of the court, if any, and of their legal and procedural rights;
  23. Ensure that their clients have the opportunity to make self-determined choices from among the options available to them, free from external coercion;
  24. Ensure that their clients have available to them all the information necessary to make self-determined decisions; 
  25. Ensure that psychological constraints to self-determined decision-making are addressed and, if possible, eliminated or reduced so that self-determination is enhanced;
  26. Familiarize themselves with all relevant confidentiality requirements and limitations found in federal and state laws and agency rules that apply to the social service field;
  27. Do not engage in sexual activities with current clients, former clients, foster parents, relatives of these individuals, or with other individuals with whom clients maintain relationships; and they do not accept as clients individuals with whom they have had a prior sexual relationship; 
  28. Facilitate the transfer or termination of case services by providing prompt notice of the change, appropriate case counseling, or other necessary steps to minimize the interruption of service or abrupt termination of service to the client;
  29. Act with integrity in their relationships with their colleagues, treating them with respect, honesty, and fairness and accepting their right to hold values and beliefs that differ from their own;
  30. Cooperate with colleagues to serve the best interests of their clients effectively and efficiently;
  31. Accurately represent the views and qualifications of colleagues;
  32. Extend to colleagues of other agencies the same respect, honesty, fairness, and cooperation that is extended to colleagues in their agencies;
  33. Extend to members of other professions the same respect, honesty, fairness, and cooperation that is extended to social service professionals;
  34. Work collaboratively with other professionals serving mutual clients or to whom clients have or should be referred to ensure services are streamlined, efficient, and in the best interest of the client; 
  35. Testify honestly in court; 
  36. Apprise the court of all relevant facts in the case, both positive and negative, of which they are aware;
  37. Advise the court if they come to know of the falsehood of prior testimony given in a social service proceeding;
  38. Take appropriate action against any unethical conduct they observe in court;
  39. Treat foster parents with respect, fairness, honesty, and cooperation; and 
  40. Disclose any dual roles, such as serving as a foster/adoptive parent or respite provider, to their supervisor to ensure a plan is in place to avoid conflicts of interest or the appearance of impropriety in accordance with SOP C9.4 Foster and Respite Home Parent Applicants Employee​

Supervisors and leadership

  1. Establish procedures that promote ethical behavior and hold individuals and organizations accountable for their conduct;
  2. Provide a work environment that encourages ethical behavior;
  3. Treat each client, colleague, and employee with respect;
  4. Adhere to ethical standards in their interactions with clients, staff, and other members of leadership;
  5. Maintain truthfulness and honesty and not compromise them for advancement, recognition, or personal gain;
  6. Enhance organizational capacity for open communication, creativity, efficiency, and dedication;
  7. Create a work environment that promotes collaboration with key partners serving mutual clients to ensure services are streamlined, efficient, and in the best interest of clients, and that communication among professionals supports the delivery of high-quality services to families; 
  8. Accept responsibility for their own decisions and the consequences of those decisions.  They also have a high level of responsibility for decisions made by their staff and should accept appropriate responsibility for those decisions;
  9. Communicate, explain, and apply legislation, agency policies, and administrative decisions necessary for them and for their staff to perform their work competently;
  10. Act as advocates for their staff by apprising upper management of problems, which impede or prevent them from efficiently and effectively performing their duties.  They should also suggest appropriate changes in policy and procedure;
  11. Provide necessary training and guidance when staffs’ personal or cultural differences could result in biased or discriminatory professional intervention with a particular individual or group;
  12. Consult with staff and help with remedial action if they have knowledge of the supervisees’ impairment due to personal problems, mental health problems, or substance abuse;
  13. Evaluate staff fairly and objectively on clearly stated criteria, sharing opinions about the supervisees’ performance in an ongoing manner;
  14. Take appropriate steps to terminate the employment of staff who are not competent and are not likely to become competent;
  15. Respond to the public in ways that are complete, truthful, clear and easy to understand;
  16. Prevent all forms of mismanagement of public funds by establishing and maintaining strong fiscal and management controls, and by supporting audits and investigative activities;
  17. Conduct official acts without partisanship;
  18. Provide organization members with a working environment that permits frank discussion and criticism of agency operations and with an administrative means for dissent, assurance of due process, and safeguards against reprisal;
  19. Promote organizational accountability through appropriate controls and procedures;
  20. Maintain a high level of competence and provide support to upgrade competence throughout the organization.

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Documents

Revisions

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