Therapist's Professional Will

Getting Started, Tips, and Updates

The best way to create your own Professional Will, as I describe in detail in the Therapists's Professional Will™: Managing Planned and Unplanned Absence, is to put together a trusted group of colleagues who want to be on each other's Emergency Response Team, or ERT. These handpicked therapists will help you and your clients when you are unavailable. It is best if your group orders copies of the e-book, and agree to meet regularly to cheer each other on in the process. (Please see Order Products page for information re group discounts.)

If you already are part of a consultation group you might want to schedule time during your meetings to work on your professional will with them. Or pick colleagues to simply get started thinking about taking the first steps to form a small group.

The 6-hour Online law and ethics courses I offer, The Therapist's Professional Will: If Not Now, When? Honoring Your Ethical Responsibility and the e-book, each include suggestions for how to do this. You can start now by finding a few colleagues you trust and respect to begin talking with about doing your own professional wills.

For therapists who don't have a group of colleagues whose treatment values are compatible, The Therapist's Professional Will™: Guidelines for Managing Absence includes suggestions for how to select your Emergency Response Team, ERT. It also outlines essential qualities for selecting your Bridge Therapist, the person who will serve as the main contact person and coordinator of your ERT when you are unavailable. For now, start thinking of colleagues you would be comfortable inviting to work with you on your professional will.

CHECK BACK for information about my forthcoming E-Book,The Psychotherapist’s Professional Will: Handbook for Managing Planned and Unplanned Absences from Practice!

TIPS

This page will be updated with tips, new information and recommendations for how to keep your Professional Will current. Please check back for updates and suggestions. If you would like to be notified of major updates, please join my mailing list. While I am updating the downloadable Therapist's Professional Will™: Guidelines for Managing Planned and Unplanned Absence, here are the most important issues that are being added to the next revision:

Tip #1: Ways to notify clients that you will be unavailable temporarily:

If you are out of the office temporarily or for an uncertain amount of time change your cell phone or answering machine's outgoing message to include information about who to contact in the event of an emergency or for information about your expected date of return. Until you set up your Emergency Response Team you can use the same person who covers your practice while you are on vacation.

Tip #2: Another way to notify clients that you will be unavailable temporarily:

Use your computer's "Out of office auto reply" message for emails. For example:

"Hello, I will be out of the office until (date). During my absence, my colleague, (name) is covering for me. You may contact (name) at (area code and phone number).

Kind regards,
(your name)

Tip #3: Make it easier for your Emergency Response Team, ERT:

1. Keep a folder in your password-protected Word documents called "My Professional Will Documents." Include your professional will and copies of other essential documents, letters and other relevant information. This is the information your ERT may need in a hurry.

2. In your locked file drawers, segregate your open and closed cases. If you haven't started to keep current patient summaries, it will help if you note the date first seen and date the case was closed.

3. Separate out or have a system for identifying clients who are high profile or might be known by members of your ERT so that those patients can be followed up by someone who does not have a dual relationship.

4. Consider writing essential information on the outside of the hanging file for each patient.

5. Add a line at the top of each patient summary and in each patient chart, indicating when to destroy/ shred the chart. For example: Date to destroy/ shred this chart (Date)__________

Tip #4 Have a plan for updating your social media in your absence:

Many therapists have websites and blogs, Twitter, Linked In and Face Book accounts, etc. Remember to write out directions for your Emergency Response Team about how to update this information. If you know that you will be out of the office for a specific period of time consider posting contact information on your website that includes the name and phone number of the colleague who has agreed to cover for you.

NOTE: If you have already created your own Professional Will, remind your ERT to let you know of any changes in their availablility.

Tip #5 Make sure your ERT has information about your online video/ telehealth provider. In the section that includes the template for patient summaries, add this information:
Name of teletherapy company/provider:________________________
Contact information for teletherapy company/provider: ________________________
Password(s): ________________________ (Page 48, Section VI. My Professional Premises of the Therapist’s Professional Will: Guidelines for Managing Planned and Unplanned Absence.)

Tip #6 In the section that includes patient diagnoses, update DSM diagnoses using the most recent ICD-10 diagnoses. (Page 28 of Therapist's Professional Will: Guidelines for Managing Planned and Unplanned Absence.)

Tip #7 In the Memo to my Emergency Response Team, or in an addendum:
Name of teletherapy company/provider:________________________
Contact information for teletherapy company/provider: ________________________
Password(s): ________________________ (Page 54, in the Memo to ERT of the Therapist’s Professional Will: Guidelines for Managing Planned and Unplanned Absence.)

Tip #8 In the section about listing therapists to refer to, the language is being updated to acknowledge the importance of intersectionality. To be more comprehensive, I recommend that along with your summary statement about your theoretical orientation, you include whether you share your sexual orientation and socio-cultural location. I also encourage you to think about and add, where appropriate, recommended sexual orientation and socio-cultural location for each patient and to your list of preferred therapists to replace you either temporarily or permanently.

Top 5 ID Theft Blocking Tips from AARP
AARP, the American Association of Retired Persons, recommends that obituaries not include the deceased’s birth date, place of birth, last address or job. IF you want a public memorial, the Bridge Therapist with input from the family representative may decide to include where you last worked.

The following suggestions are not specifically for your ERT, but are good reminders for your trustee and family members.

AARP advises that after death the trustee for your estate or a close family member should immediately:

Send death certificate copies by certified mail to the 3 main credit reporting bureaus. Request that a “deceased alert” be placed on the credit report.
Mail copies as soon as possible to banks, insurers and other financial firms requesting account closure or change of joint ownership.
In the US, report the death to the Social Security Administration at 800 772-1213 and the IRS at 800 829 1040. Also remind the trustee to notify the DMV, Department of Motor Vehicles.
Starting a month after the death, check the departed’s credit report at annualcreditreport.com for suspicious activity.

(From AARP Bulletin: Real Possibilities Your Money Scam Alert June 2015 Sid Kirchheimer author of Scam-Proof Your Life published by AARP Books/ Sterling)

Reminder: Check back! I will continue to update this page.

Why Should a Therapist Have a Professional Will?

Continuity of care is an ethical mandate for all mental health disciplines. Most professional wills address key legal and some practical requirements, but do not address essential clinical issues. Since most clinicians do not complete their professional will, it often falls to colleagues to do a salvage job of contacting patients and closing the practice without knowing the therapist’s wishes.

The short answer is that the ethics of all U.S. and most other countries’ professional mental health organizations require continuity of care, ideally by having a backup team I refer to as an Emergency Response Team, (ERT) and a simple way to organize practice information your ERT will need. Plus, it is essential for the ethical and clinical care of your patients, colleagues, family, and community.

Since the Ethics Codes and guidelines vary, it is important to check with your professional organizations, as well as state or local laws for current guidelines.

In addition, as mentioned in my book, it is important to check with your state, county and country’s laws about Patient Records Retention. A sample from Florida Law Chapter 456 is included following the Ethics Codes.

The following list is not intended to be comprehensive.

Users outside of the United States are encouraged to review ethical guidelines specific to your country and professional discipline.

Here are highlights of the Ethics Codes and Ethical Frameworks of the major mental health organizations in the US and a sample of international organizations:

(Author’s note: I have highlighted, in bold, phrases most relevant to the professional will.)

The American Psychological Association’s Ethical Principles of Psychologists and Code of Conduct https://www.apa.org/ethics/code

American Psychological Association, (2017). Ethical principles of psychologists and code of conduct (2002, amended effective June 1, 2010, and January 1, 2017).

Section 3.12 Interruption of Psychological Services

Unless otherwise covered by contract, psychologists make reasonable efforts to plan for facilitating services in the event that psychological services are interrupted by factors such as the psychologist's illness, death, unavailability, relocation, or retirement or by the client's/patient's relocation or financial limitations.

Section 6.02c Maintenance, Dissemination, and Disposal of Confidential Records of Professional and Scientific Work

Psychologists make plans in advance to facilitate the appropriate transfer and to protect the confidentiality of records and data in the event of psychologists’ withdrawal from positions or practice.

Section 10.09 Interruption of Therapy
When entering into employment or contractual relationships, psychologists make reasonable efforts to provide for orderly and appropriate resolution of responsibility for client/patient care in the event that the employment or contractual relationship ends, with paramount consideration given to the welfare of the client/patient.

“Impairment, while heightening the risk for ethical violations, does not infer such violations. Nonetheless, psychologists are also responsible to ensure that they are competent to provide the services they offer. Impairment, as defined here, compromises the functioning of the psychologist, and should therefore imply a need for close scrutiny of job-related performance in order to preempt ethical violations.”(https://www.apaservices.org/practice/ce/self-care/intervening)

Regarding Responsibilities of the Distressed or Impaired Psychologist:

2.06 Personal Problems and Conflicts

(a) Psychologists refrain from initiating an activity when they know or should know that there is a substantial likelihood that their personal problems will prevent them from performing their work-related activities in a competent manner.
b) "When psychologists become aware of personal problems that may interfere with their performing work-related activities adequately, they take appropriate measures, such as obtaining professional consultation or assistance, and determine whether they should limit, suspend or terminate their work-related duties."

Regarding Responsibilities of the Concerned Colleague:
Section 1.04 "Informal Resolution of Ethical Violations"
When psychologists believe that there may have been an ethical violation by another psychologist, they attempt to resolve the issue by bringing it to the attention of that individual, if an informal resolution appears appropriate and the intervention does not violate any confidentiality rights that may be involved.
Section 1.05 "Reporting Ethical Violations"
"If the apparent ethical violation has substantially harmed or is likely to harm a person or organization and is not appropriate to informal resolution under Standard 1.04 or is not resolved properly in that fashion, psychologists take further action appropriate to the situation. Such action might include referral to state or national committees on professional ethics, to state licensing boards, or to the appropriate institutional authorities. This standard does not apply when an intervention would violate confidentiality rights or when psychologists have been retained to review the work of another psychologist whose professional conduct is in question. "
https://www.apaservices.org/practice/ce/self-care/intervening?utm_source=apa.org&utm_medium=referral&utm_content=/search

2.06 Personal Problems and Conflicts
(a) Psychologists refrain from initiating an activity when they know or should know that there is a substantial likelihood that their personal problems will prevent them from performing their work-related activities in a competent manner.
(b) When psychologists become aware of personal problems that may interfere with their performing work-related duties adequately, they take appropriate measures, such as obtaining professional consultation or assistance, and determine whether they should limit, suspend, or terminate their work-related duties. (See also Standard 10.10, Terminating Therapy .)

The American Psychiatric Association Principles and Guidelines:
https://www.psychiatry.org/getmedia/3fe5eae9-3df9-4561-a070-84a009c6c4a6/2013-APA-Principles-of-Medical-Ethics.pdf (Retrieved May 26, 2025.)
Section 2 A physician shall uphold the standards of professionalism, be honest in all professional interactions and strive to report physicians deficient in character or competence, or engaging in fraud or deception to appropriate entities.

4. Special consideration should be given to those psychiatrists who, because of mental illness, jeopardize the welfare of their patients and their own reputations and practices. It is ethical, even encouraged, for another psychiatrist to intercede in such situations.

https://www.ama-assn.org/delivering-care/ethics

National Association of Social Workers Code of Ethics (NASW). (2021). (Sections in bold are the words recently updated) https://www.socialworkers.org/About/Ethics/Code-of-Ethics/Code-of-Ethics-English

Interruption of Services – Revised Version Section 1.15
“Social workers should make reasonable efforts to ensure continuity of services in the event that services are interrupted by factors such as unavailability, disruptions in electronic communication, relocation, illness, mental or physical ability, or death.”

Section 1.16.2 Termination of Services
Social workers should take reasonable steps to avoid abandoning clients who are still in need of services. Social workers should withdraw services precipitously only under unusual circumstances, giving careful consideration to all factors in the situation and taking care to minimize possible adverse effects. Social workers should assist in making appropriate arrangements for continuation of services when necessary. (Authors emphasis)

Social workers who anticipate the termination or interruption of services to clients should notify clients promptly and seek the transfer, referral, or continuation of services in relation to the clients’ needs and preferences.

Social workers who are leaving an employment setting should inform clients of appropriate options for the continuation of services and of the benefits and risks of the options.

Section 2.06 Referral for Services
(a) Social workers should refer clients to other professionals when the other professionals’ specialized knowledge or expertise is needed to serve clients fully or when social workers believe that they are not being effective or making reasonable progress with clients and that additional service is required.
(b) Social workers who refer clients to other professionals should take appropriate steps to facilitate an orderly transfer of responsibility. Social workers who refer clients to other professionals should disclose, with clients’ consent, all pertinent information to the new service providers.
Section 2.09 Impairment of Colleagues
(a) Social workers who have direct knowledge of a social work colleague’s impairment that is due to personal problems, psychosocial distress, substance abuse, or mental health difficulties and that interferes
with practice effectiveness should consult with that colleague when feasible and assist the colleague in taking remedial action.
(b) Social workers who believe that a social work colleague’s impairment interferes with practice effectiveness and that the colleague has not taken adequate steps to address the impairment should take action through appropriate channels established by employers, agencies, NASW
, licensing and regulatory bodies, and other professional organizations.
Section 2.10 Incompetence of Colleagues
(a) Social workers who have direct knowledge of a social work colleague’s incompetence should consult with that colleague when feasible and assist the colleague in taking remedial action.
(b) Social workers who believe that a social work colleague is incompetent and has not taken adequate steps to address the incompetence should take action through appropriate channels established by employers, agencies, NASW, licensing and regulatory bodies, and other professional organizations.
Section 2.11 Unethical Conduct of Colleagues
(a) Social workers should take adequate measures to discourage, prevent, expose, and correct the unethical conduct of colleagues.
(b) Social workers should be knowledgeable about established policies and procedures for handling concerns about colleagues’ unethical behavior. Social workers should be familiar with national, state, and local procedures for handling ethics complaints. These include policies and procedures created by NASW, licensing and regulatory bodies, employers, agencies, and other professional organizations.
(c) Social workers who believe that a colleague has acted unethically should seek resolution by discussing their concerns with the colleague when feasible and when such discussion is likely to be productive.
(d) When necessary, social workers who believe that a colleague has acted unethically should take action through appropriate formal channels (such as contacting a state licensing board or regulatory body, an NASW committee on inquiry, or other professional ethics committees).
(e) Social workers should defend and assist colleagues who are unjustly charged with unethical conduct.
Section 3.04 Client Records
(a) Social workers should take reasonable steps to ensure that documentation in records is accurate and reflects the services provided.
(b) Social workers should include sufficient and timely documentation in records to facilitate the delivery of services and to ensure continuity of services provided to clients in the future.
(c) Social workers’ documentation should protect clients’ privacy to the extent that is possible and appropriate and should include only information that is directly relevant to the delivery of services.
(d) Social workers should store records following the termination of services to ensure reasonable future access. Records should be maintained for the number of years required by state statutes or relevant contracts.
Section 3.06 Client Transfer
(a) When an individual who is receiving services from another agency or colleague contacts a social worker for services, the social worker should carefully consider the client’s needs before agreeing to provide services. To minimize possible confusion and conflict, social workers should discuss with potential clients the nature of the clients’ current relationship with other service providers and the implications, including possible benefits or risks, of entering into a relationship with a new service provider.
(b) If a new client has been served by another agency or colleague, social workers should discuss with the client whether consultation with the previous service provider is in the client’s best interest.
Section 4.05 Impairment
(a) Social workers should not allow their own personal problems, psychosocial distress, legal problems, substance abuse, or mental health difficulties to interfere with their professional judgment and performance or to jeopardize the best interests of people for whom they have a professional responsibility.
(b) Social workers whose personal problems, psychosocial distress, legal problems, substance abuse, or mental health difficulties interfere with their professional judgment and performance should immediately seek consultation and take appropriate remedial action by seeking professional help, making adjustments in workload, terminating practice, or taking any other steps necessary to protect clients and others.

Code of Ethics from the American Association for Marriage and Family Therapy (AAMFT): (2015). AAMFT code of ethics.
https://www.aamft.org/AAMFT/Legal_Ethics/code_of_ethics.aspx

1.11 Non-Abandonment.
Marriage and family therapists do not abandon or neglect clients in treatment without making reasonable arrangements for the continuation of treatment.

1.3 Multiple Relationships.

Marriage and family therapists are aware of their influential positions with respect to clients, and they avoid exploiting the trust and dependency of such persons. Therapists, therefore, make every effort to avoid conditions and multiple relationships with clients that could impair professional judgment or increase the risk of exploitation. Such relationships include, but are not limited to, business or close personal relationships with a client or the client’s immediate family. When the risk of impairment or exploitation exists due to conditions or multiple roles, therapists document the appropriate precautions taken.
2.3 Client Access to Records.
Marriage and family therapists provide clients with reasonable access to records concerning the clients. When providing couple, family, or group treatment, the therapist does not provide access to records without a written authorization from each individual competent to execute a waiver. Marriage and family therapists limit client’s access to their records only in exceptional circumstances when they are concerned, based on compelling evidence, that such access could cause serious harm to the client. The client’s request and the rationale for withholding some or all of the record should be documented in the client’s file. Marriage and family therapists take steps to protect the confidentiality of other individuals identified in client records.
2.6 Preparation for Practice Changes.
In preparation for moving a practice, closing a practice, or death, marriage and family therapists arrange for the storage, transfer, or disposal of client records in conformance with applicable laws and in ways that maintain confidentiality and safeguard the welfare of clients.
3.3 Seek Assistance.
Marriage and family therapists seek appropriate professional assistance for issues that may impair work performance or clinical judgment.
https://www.aamft.org/AAMFT/Legal_Ethics/code_of_ethics.aspx

8.6 Withholding Records for Non-Payment.

Marriage and family therapists may not withhold records under their immediate control that are requested and needed for a client’s treatment solely because payment has not been received for past services, except as otherwise provided by law.

California Association of Marriage and Family Therapists, CAMFT Ethics Code
https://www.camft.org/ethicscode

Sec. 1.3 TREATMENT DISRUPTION:
Marriage and family therapists are aware of their professional and clinical responsibilities to provide consistent care to patients and do not abandon or neglect patients. Marriage and family therapists, therefore, maintain practices and procedures that assure undisrupted care. Such practices and procedures may include, but are not limited to, providing contact information and specified procedures in case of emergency, or therapist absence, conducting appropriate terminations, and providing for a professional will. (Sec. 1.3)

Sec. 1.7 ABANDONMENT:
Marriage and family therapists do not abandon or neglect patients in treatment. If a therapist is unable to continue to provide care, the therapist will assist the patient in making reasonable arrangements for continuation of treatment.

Sec. 5.5 PRACTICING WHILE IMPAIRED: Marriage and family therapists do not practice when their competence is impaired due to physical or psychological causes or to the use of alcohol or other substances.

8. RESPONSIBILITY TO COLLEAGUES
8.2 IMPAIRED COLLEAGUES: Marriage and family therapists are encouraged to provide consultation or assistance to colleagues who are impaired due to substance use or mental disorders.

8.3 ETHICAL COMPLAINTS AGAINST COLLEAGUES: Marriage and family therapists are encouraged to take reasonable actions to resolve disputes with colleagues before filing an ethics complaint against a colleague. Reasonable measures may include, addressing the matter with the colleague, consultation, and/or mediation. Marriage and family therapists do not file or encourage the filing of ethics or other complaints that they know, or reasonably should know, are frivolous.
8.4 SOLICITING OTHER CLIENTS/PATIENTS: Marriage and family therapists do not solicit or encourage clients/patients to leave other therapists, where the client/patient, because of their circumstances, may be vulnerable due to undue influence.
https://www.camft.org/Membership/About-Us/Association-Documents/Code-of-Ethics

The American Counseling Association (ACA) Code of Ethics: https://www.counseling.org/resources/ethics (Retrieved May 25, 2025)
A.12. Abandonment and Client Neglect
Counselors do not abandon or neglect clients in counseling.
Counselors assist in making appropriate arrangements for the continuation of treatment, when necessary, during interruptions such as vacations, illness, and following termination.

A.11.c. Appropriate Termination
Counselors terminate a counseling relationship when it becomes reasonably apparent that the client no longer needs assistance, is not likely to benefit, or is being harmed by continued counseling. Counselors may terminate counseling when in jeopardy of harm by the client
or by another person with whom the client has a relationship, or when clients do not pay fees as agreed upon. Counselors provide pretermination counseling and recommend other service providers when necessary.

B.2. Exceptions
B.2.a. Danger and Legal Requirements The general requirement that counselors keep information confidential does not apply when disclosure is required to protect clients or identified others from serious and foreseeable harm or when legal requirements demand that confidential information must be revealed. Counselors consult with other professionals when in doubt as to the validity of an exception. Additional considerations apply when addressing end-of-life issues. (See A.9.c.)

B.3.f. Deceased Clients
Counselors protect the confidentiality of deceased clients, consistent with legal requirements and the documented preferences of the client.
B.6.e. Client Access
Counselors provide reasonable access to records and copies of records when requested by competent clients. Counselors limit the access of clients to their records, or portions of their records, only when there is compelling evidence that such access would cause harm to the client.
Counselors document the request of clients and the rationale for withholding some or all of the records in the files of clients.
In situations involving multiple clients, counselors provide individual clients with only those parts of records that relate directly to them and do not include confidential information related to any other client.

B.6.h. Storage and Disposal After Termination
Counselors store records following termination of services to ensure reasonable future access, maintain records in accordance with federal and state laws and statutes such as licensure laws and policies governing records, and dispose of client records and other sensitive materials in a manner that protects client confidentiality. Counselors apply careful discretion and deliberation before destroying records that may be needed by a court of law, such as notes on child abuse, suicide, sexual harassment, or violence.

B.6.i. Reasonable Precautions Counselors take reasonable precautions to protect client confidentiality in the event of the counselor’s termination of practice, incapacity, or death and appoint a records custodian when identified as appropriate.

C.2.e. Consultations on Ethical Obligations
Counselors take reasonable steps to consult with other counselors, the ACA Ethics and Professional Standards Department, or related professionals when they have questions regarding their ethical obligations or professional practice.

C.2.g. Impairment. Counselors monitor themselves for signs of impairment from their own physical, mental, or emotional problems and refrain from offering or providing professional services when impaired. They seek assistance for problems that reach the level of professional impairment, and, if necessary, they limit, suspend, or terminate their professional responsibilities until it is determined that they may safely resume their work. Counselors assist colleagues or supervisors in recognizing their own professional impairment and provide consultation and assistance when warranted with colleagues or supervisors showing signs of impairment and intervene as appropriate to prevent imminent harm to clients.

C.2.h. Counselor Incapacitation, Death, Retirement, or Termination of Practice: Counselors prepare a plan for the transfer of clients and the dissemination of records to an identified colleague or records custodian in the case of the counselor’s incapacitation, death, retirement, or termination of practice.”

F.5.b. Impairment
Students and supervisees monitor themselves for signs of impairment from their own physical, mental, or emotional problems and refrain from offering or providing professional services when such impairment is likely to harm a client or others. They notify their faculty and/or supervisors and seek assistance for problems that reach the level of professional impairment, and, if necessary, they limit, suspend, or terminate their professional responsibilities until it is determined that they may safely resume their work.

The National Association for Addiction Professionals
https://www.naadac.org/assets/2416/naadac_code_of_ethics_06012025.pdf
(Retrieved May 26, 2025.)

Article about the latest ethics code revisions:https://www.naadac.org/ethics-column/posts/naadacncc-ap-code-of-ethics-a-living-document

I-24 Termination
Addiction professionals terminate services with the client when services are no longer required.

I-25 Coverage
Addiction professionals make necessary arrangements for coverage and crisis management, to accommodate interruptions in services due to events including but not limited to vacations, illnesses, or unexpected situations.

I-26 Abandonment
Addiction professionals do not abandon any client. Providers who anticipate termination or interruption of services to clients notify each client promptly, and seek transfer, referral, or continuation of services in accordance with each client’s needs and prefer

I-37 Suspension
Addiction professionals give timely written notice to clients of impending suspension of services or service interruption of service interruption for nonpayment.

II-14 Deceased
Addiction professionals protect the confidentiality of deceased clients by upholding legal mandates.

II-20 Transfer Records
Unless exceptions to confidentiality exist, addiction professionals obtain written permission from clients to disclose or transfer records to legitimate third parties. Providers ensure that receivers of counseling records are made aware of their confidential nature. Addiction professionals ensure that all information released meets the requirements of 42 CFR Part 2, HIPAA, and any other applicable rules or laws. All information released is appropriately marked as confidential. Addiction professionals do not transfer, or release records obtained from another provider or entity.

II-24 Temporary Coverage
Addiction professionals, when serving clients of another agency or colleague during a temporary absence or emergency, serve those clients with the same professional consideration and confidentiality as that afforded the professional’s own clients.

II-25 Planned Succession For Records
Addiction professionals in private practice protect client confidentiality in the event of the counselor’s unplanned absence, planned absence, termination of practice, incapacity, or death. Providers appoint a records custodian in their private practice policies, professional Will, or other document.
111-18 Self-Monitoring
Addiction professionals continuously self-monitor in order to meet their professional obligations. Providers engage in self-care activities that promote and maintain their physical, psychological, emotional, and spiritual well-being.

III-38 Addressing Impairment
Addiction professionals recognize the effect of impairment on professional performance and seek appropriate professional assistance for any personal problems or conflicts that may impair work performance or clinical judgment. Providers continuously monitor them selves for signs of physical, psychological, social, and emotional impairment, including burnout. Providers, with the guidance of supervision or consultation, obtain appropriate assistance in the event they are professionally impaired and unable to safely practice. Providers abide by statutory mandates specific to professional impairment when addressing one’s own impairment.

III-39 Assistance for Impairment
Addiction professionals offer and provide assistance as needed to peers, coworkers, and supervisors who are demonstrating professional impairment, and intervene to prevent harm to clients. Providers abide by statutory mandates specific to reporting the professional impairment of peers, coworkers, and supervisors.

III-41 Closing Practice
Addiction professionals create a written plan, policy or professional Will for addressing situations involving the Provider’s incapacitation, termination of practice, retirement, or death. Addiction professionals and organizations develop policies regarding continuation of services upon the incapacitation, termination, retirement or death of the provider. Providers notify their clients, when possible, that there has been or will be a change of practice.

IX-15 Transfer Plan
Researchers create a written, accessible plan for the transfer of research data to an identified colleague in the event of their incapacitation, retirement, or death.

XI-20 Termination, Abandonment & Closing Practice

*Organizations do not abandon any client.
*Organizations who anticipate termination or interruption of services to clients notify each client promptly, and seek transfer, referral, or continuation of services in accordance with each client’s needs and preferences.
*Organizations create a written plan and policy to address situations involving an employee’s/clinician’s incapacitation, termination of practice, retirement, or death.

NAADAC/NCC AP Code of Ethics: A Living Document Revisions
March 17, 2021

I-5 (Diversity): Addiction professionals shall respect the diversity of clients and provide culturally responsive and culturally sensitive services to all clients.
III-40 (Termination): Added in 2021 revision - Addiction professionals or agencies shall develop policies regarding continuation of services upon the incapacitation, termination, retirement or death of the provider.
• VI-4 (Informed Consent): Addiction professionals shall execute thorough e-therapy informed consent prior to starting technology-based services. A technology-based informed consent discussion shall include, but shall not be limited to: (Author has edited this section to include relevant sections.)

• contact information of the client, counselor/provider and supervisor;
• possibility of technology failure and alternate methods of service delivery;
• emergency protocols to follow;
• procedures for when the counselor is not available;

• VI-13 (Boundaries): Added - Providers shall be aware of the unique risks for boundary crossings associated with the e-delivery of services.
• VII-17 (Disclosures): Added - Supervisees shall only make disclosures to a client for the benefit of the client and their work, and disclosures shall not be made to benefit the supervisee.

• VIII-11 (Violations with Harm): Addiction professionals shall report unethical conduct or unprofessional modes of practice of which they become aware where the potential for harm exists, or actual harm has occurred, to the appropriate certifying or licensing authorities, state or federal regulatory bodies, and NAADAC. Providers shall obtain supervision/consultation prior to filing a complaint, and document recommendations and the decision regarding filing or not filing a complaint.

American Mental Health Counselor Association Code of Ethics (Revised 2020)
2 AMHCA Code of Ethics-2020-2.pdf (Retrieved May 26, 2025.)
C. Counselor Responsibility and Integrity
1. Competence
o. Develop a plan for termination of practice, death, or incapacitation by assigning a colleague or records custodian to handle transfer of clients and files.

5. Termination and Referral CMHCs do not abandon or neglect their counseling clients.

a. Assistance is given in making appropriate arrangements for the continuation of treatment, when necessary, during interruptions such as vacation and following termination.
b. CMHCs may terminate a counseling relationship when it is reasonably clear that the client is no longer benefiting, when services are no longer required, when counseling no longer serves the needs and/or interests of the client, or when agency or institution limits do not allow provision of further counseling services.

f. CMHCs take steps to develop a safety plan if clients are at risk of being harmed or are suicidal. If necessary, they refer to appropriate resources and contact appropriate support.

E. Record-Keeping, Fee Arrangements, and Bartering
b. CMHCs establish a plan for the transfer, storage, and disposal of client records in the event of withdrawal from practice or death of the counselor in a manner that maintains confidentiality and protects the welfare of the client.
c. When CMHCs choose to exceed state minimum requirements for maintaining records, they must notify clients in their informed consent.

NOTE: Major US-based Professional Membership Organizations for Mental Health have staff attorneys who offer ethics consultations to members. Similarly, most malpractice carriers also have legal consultations available.

ORGANIZATIONS OUTSIDE OF THE UNITED STATES

The British Association for Counseling and Psychotherapy’s Ethical Framework
41. Any unplanned breaks due to illness or other causes will be managed in ways to minimise inconveniencing clients and, for extended breaks, may include offering to put clients in touch with other practitioners.
42. In the event of death or illness of sufficient severity to prevent the practitioner communicating directly with clients, we will have appointed someone to communicate with clients and support them in making alternative arrangements where this is desired. The person undertaking this work will be bound by the confidentiality agreed between the practitioner and client, and will usually be a trusted colleague, a specially appointed trustee or a supervisor.” https://www.bacp.co.uk/events-and-resources/ethics-and-standards/ethical-framework-for-the-counselling-professions) (Retrieved May 25, 2025.)

The UK Council for Psychotherapy’s Code of Ethics and Professional Practice (2019)
https://www.psychotherapy.org.uk/media/bkjdm33f/ukcp-code-of-ethics-and-professional-practice-2019.pdf (Retrieved May 28, 2025.)
26. Ensure that you do not work with clients if you are not able to do so for physical or mental health reasons, or when impaired by the effects of drugs, alcohol or medication. 27. Make considered and timely arrangements for the termination of a therapeutic relationship, or if you are unable to continue to practise, ensuring that clients are informed and alternative practitioners are identified where possible.
28. Have arrangements in place for informing clients and, where appropriate, providing them with support in the event of your illness or death.

The British Association for Behavioural and Cognitive Psychotherapies

The Standards of Conduct, Performance and Ethics

13. You must limit your work or stop practising if your performance or judgement is affected by your health

13.1 You have a duty to take action if your physical or mental health could be harming your fitness to practice. You should get advice from a consultant in occupational health or another suitably qualified medical practitioner and act on it. This advice should consider whether, and in what ways, you should change your practice, including stopping practising if this is necessary.
British Psychoanalytic Council. Code of ethics. British Psychoanalytic Council; February 2011. https://www.bpc.org.uk/download/560/4.2-Ethical-Guidelines-Feb-2011.pdf (Retrieved May 26, 2026.)
12. Registrants must limit their work, or refrain from practice when their physical or psychological health is seriously impaired or if in doubt about their ability to perform competently must seek appropriate advice.
e) Registrants must refrain from practice when they are not capable of exercising adequate skill or judgement as a result of alcohol, drugs, illness, infirmity or the effects of personal stress
20. Registrants must nominate two colleagues to hold a list of their patients and supervisees in confidence, in the event of death or an inability to work. The names of these nominees must be lodged with the constituent societies.
a) Annually, Registrants must confirm in writing to their association the name(s) of colleague(s) who are holding their patient/Supervisee lists.
b) Registrants must clarify with the named colleague(s) how they will get access to the list if it becomes necessary to do so.

The UK Council for Psychotherapy (UKCP) Ethical Principles and Code of Professional Conduct (2017) https://www.psychotherapy.org.uk/media/bkjdm33f/ukcp-code-of-ethics-and-professional-practice-2019.pdf

9.2 The psychotherapist accepts a responsibility to take appropriate action should their ability to meet their obligations to their clients be compromised by their physical or mental health.

9.3 The psychotherapist commits to carefully consider how, in the event of their sudden unavailability this can be most appropriately communicated to their clients. This will also include careful consideration of how a client might be informed of a psychotherapist’s death or illness and, where appropriate, supported to deal with such a situation.
https://www.psychotherapy.org.uk/media/bzlpheqw/ukcp-ethical-principles-and-code-of-professional-conduct-2009.pdf (Retrieved May 26, 2025.)

8. Be aware of the power imbalance between the practitioner and client, and avoid dual or multiple relationships1which risk confusing an existing relationship and may impact adversely on a client. If a dual or multiple relationship is unavoidable, for example in a small community, take responsibility for clarifying and managing boundaries and protecting confidentiality.

37. Challenge questionable practice in yourself or others, reporting to UKCP potential breaches of this Code, and activating formal complaints procedures especially where there may be ongoing harm to clients or you have significant grounds for believing clients to be at risk of harm.

The British Psychoanalytic Council Standards of Conduct, Practice and Ethics
https://www.bpc.org.uk/download/747/4.2-Ethical-Guidelines-Feb-2011-no-numbers.pdf (Retrieved May 28, 2025.)
a) Registrants must treat all knowledge of the patient confidentially, and not pass on any information without the patient’s prior consent, except if the safety of the patient or others is threatened.
b) In rare circumstances, if for other clinical or legal reasons a registrant considers a breach of confidentiality a necessity, it is preferable that the patient’s permission is sought, prior to divulging any information. In this event, the information divulged should be kept to a useful minimum and it would be good practice to seek the advice of a senior colleague.
12. Registrants must limit their work, or refrain from practice when their physical or psychological health is seriously impaired or if in doubt about their ability to perform competently must seek appropriate advice.
7 a) Registrants must take responsibility for their own physical and mental health
b) If in doubt about their ability to perform competently as a psychoanalytic psychotherapist registrants must seek appropriate advice.
c) Should a registrant have to change their mode of practise because of medical advice, they must inform the Chair of the BPC of this in confidence.
d) Registrants must not offer treatment to patients when rendered unfit to do so, or when their judgement is impaired by reason of physical or mental illness. e) Registrants must refrain from practice when they are not capable of exercising adequate skill or judgement as a result of alcohol, drugs, illness, infirmity or the effects of personal stress.
20. Registrants must nominate two colleagues to hold a list of their patients and supervisees in confidence, in the event of death or an inability to work. The names of these nominees must be lodged with the constituent societies.
a) Annually, Registrants must confirm in writing to their association the name(s) of colleague(s) who are holding their patient/Supervisee lists.
b) Registrants must clarify with the named colleague(s) how they will get access to the list if it becomes necessary to do so.

The British Association for Behavioural & Cognitve Psychotherapies Standards of Conduct, Performance and Ethics

1. You must act in the best interests of service users
1.5 You must protect service users or others if you believe that any situation puts them in danger. This includes the conduct, performance or health of a colleague. The safety of service users and others must come before other loyalties at all times. As soon as you become aware of a situation that puts a service user or someone else in danger, you should discuss the matter with your clinical supervisor, a senior colleague or another appropriate person.

13. You must limit your work or stop practising if your performance or judgement is affected by your health

Irish Association for Counselling and Psychotherapy https://iacp.ie/iacp-code-of-ethics (Retrieved May 26, 2025.)
2.2                    Self-Care
a)       Take responsibility to protect and monitor their own physical, emotional, mental and psychological wellbeing at a level that enables them to work effectively with their clients. This active self-care includes:
·       Taking precautions to protect their own physical safety
·       Monitoring their own psychological and physical health
·       Seeking professional support and services as the need arises
·       Keeping a healthy balance between work and other aspects of life
b)      Monitor themselves for signs of impairment from their own physical, mental, or emotional problems. Practitioners refrain from offering or providing professional services when their professional functioning is impaired due to personal or emotional difficulties including illness, bereavement, trauma, alcohol or drug misuse or dependency, or any other significant distress.
c)       Take responsibility to seek appropriate professional assistance for problems that reach the level of professional impairment, Practitioners also take responsibility to inform and consult with their supervisor in relation to such issues, and when necessary, for the safety of their clients, and their own wellbeing, limit, suspend or terminate their professional responsibilities until it is determined with their supervisor that they may d)      Provide consultation and assistance when warranted with colleagues showing signs of professional impairment and intervene as appropriate to prevent imminent harm to clients.

2.4                    Record Keeping & Continuity of Care
b)      Take responsibility to securely dispose of records in an appropriate timeframe after the termination of therapy.
c)       In the event of a practitioner needing to discontinue services, give reasonable notice when possible, and ensure continuity of care where possible.
d)      Refer clients to other appropriately qualified practitioners or to other professionals when it is appropriate to do so.
e)      Where possible make suitable arrangements for the responsible care of clients and the management of records in the event of the practitioner’s ill-health, retirement and termination of practice. Practitioners need to have in place a procedure that would protect their clients in the event of their death while still practicing or a sudden illness which would prevent them from practicing.

Counseling and Psychotherapy in Scotland’s Ethics and Code of Practice
2.5 Members continually monitor their practice and can recognise their inability to work effectively with a particular client or when their professional effectiveness is impaired. In such situations, members will promptly take the most appropriate action to serve the best interests of their client(s).

The functioning of an individual practitioner may be impaired by personal problems caused by, for example, illness, stress, life events, etc. An organisation may be affected by, for example, staff shortages, administrative difficulties, etc. The member must consider whether they should refrain from working with the client; make any appropriate referrals; and seek professional support to address their difficulties.

5.3 A member will not disclose any information about a client to a third party without the permission of the client. When such agreement is sought, the member will explain to the client how the information will be communicated and for what purpose. Any unanticipated communication with a third party must be reported to the client, together with the content of the communication, as soon as possible thereafter.
5.4 Exceptionally, a member may disclose information obtained during the working relationship with their client in the interests of the safety of the client and/or others. In advance of this disclosure, whenever practicable, the client’s permission will be sought and the client-work supervisor consulted.
https://www.cosca.org.uk/application/files/1915/2119/7097/Statement_of_Ethics_CURRENT_Nov_1412-08-14.pdf (Retrieved May 28, 2025)

The National Council of Integrative Psychotherapists - UK
Code of Ethics https://www.the-ncip.org/code_of_ethics(Retrieved May 28, 2025)
10. Make considered and timely arrangements for the termination of a therapeutic relationship or if they are unable to continue to practice, ensure the client is informed and where practical, alternative therapists are identified.
11. Have arrangements in place for informing clients and where appropriate, providing support in the event of the practitioner’s illness or death in the form of a therapeutic executor.
29. Make notes appropriate to the modality of therapy being practised and keep recordsthat are accurate, legible, and timely. These may be in paper form or electronic and they should be discussed only within appropriate professional settings, making sure the storage complies with GDPR data protection. https://ico.org.uk/for-organisations/guide-to-data- protection/guide-to-the-general-data-protection-regulation- gdpr/principles/

The code of ethics for the Czech-Moravian Psychological Society is only available in Czech ( ) and Continuity of Care is not mentioned. Last updated 2017. (Retrieved May 25, 2025)
http://cmps.ecn.cz/?page=eticky-kodex

The Georgian Association for Analytical Psychology
2. A Member shall not continue to practice analysis when seriously or persistently impaired:
(a) by the use of alcohol or drugs, or
(b) by a physical or psychological condition which would impair his/her ability to practice and exercise adequate skill and judgment.

In such a situation, a Member must ensure appropriate referral of current analysands and seek professional and/or psychotherapeutic help as appropriate.
VI. MAINTENANCE OF PROFESSIONAL COMPETENCE
B. Physical and Mental Health Members shall maintain their physical and mental health for the sake of their own well-being and in order to provide the best possible service to analysands.
The European Federation of Psychologists Associations Meta-Code of Ethics
3.3.4 Continuity of Care
i) Responsibility for the necessary continuity of professional care of clients, including collaboration with other professionals and appropriate action when a psychologist must suspend or terminate involvement.
ii) Responsibility towards a client which exists after the formal termination of the professional relationship.

3.4 Integrity
3.4.1 Recognition of Professional Limitations Obligation to be self-reflective and open about personal and professional limitations and a recommendation to seek professional advice and support in difficult situations.
https://www.efpa.eu/sites/default/files/2023-04/meta-code-of-ethics.pdf
(Retrieved May 28, 2025.). OR
https://www.efpa.eu/meta-code-ethics (Retrieved May 25, 2025)

Patient Records Retention
Florida Law , Chapter 456 (https://m.flsenate.gov/statutes/456.47) provides detailed instructions regarding the maintenance and handling of patient records after the date of the last contact with the client and following the death of a licensee.
Florida’s Rule Chapter 64B4-9.001 Requirements for Client Records. Florida Administrative Code & Florida Administrative Register: Board of Clinical Social Work, Marriage and Family Therapy and Mental Health Counseling (https://flrules.org/gateway/ChapterHome.asp?Chapter=64B4-9)
(1) A licensed clinical social worker, marriage and family therapist, or mental health counselor, including any registered intern or provisional licensee, shall maintain responsibility for all records relating to his clients as provided in Section 456.057, F.S. All such records shall remain confidential except as provided by law or as allowed pursuant to a written and signed authorization by the client specifically requesting or authorizing release or disclosure of records in his office or possession.
(2) A full record of services shall be maintained for 7 years after the date of the last contact with the client or user.
(3) When a clinical social worker, marriage and family therapist, or mental health counselor terminates practice or relocates and is no longer available to clients or users, the clients or users shall be notified of such termination or relocation and unavailability by the licensee’s causing to be published in the newspaper of greatest general circulation in the county in which the licensee practices or practiced, a notice which shall contain the date of termination or relocation and an address at which the licensee’s client or user records are available to the client, user, or to a licensed mental health professional designated by the client or user. The notice shall appear at least once a week for 4 consecutive weeks. The records shall be retained for 2 years after the termination or relocation of the practice.
(4) If the termination was due to the death of a licensee, records shall be maintained at least two years after the licensee’s death. At the conclusion of a 22 month period from the date of the licensee’s death, the executor, administrator, personal representative, or survivor shall cause to be published once during each week for 4 consecutive weeks, in the newspaper of greatest general circulation in each county in which the licensee practiced, a notice indicating to the clients or users of the deceased licensee that the licensee’s records will be disposed of or destroyed 4 weeks or later from the last day of the final week of publication of the notice. ( Author’s highlighting)

Rulemaking Authority 456.058, 491.004(5), 491.0148 FS. Law Implemented 456.058, 491.0148 FS. History–New 5-8-90, Formerly 21CC-9.001, 61F4-9.001, 59P-9.001, Amended 2-11-98, 6-13-07.

CHAPTER 456 of the HEALTH PROFESSIONS AND OCCUPATIONS: GENERAL PROVISION of the 2020 Florida Statutes requires “shall provide by rule for the disposition, under that chapter, of the medical records or records of a psychological nature of practitioners which are in existence at the time the practitioner dies, terminates practice, or relocates and is no longer available to patients and which records pertain to the practitioner’s patients. The rules shall provide that the records be retained for at least 2 years after the practitioner’s death, termination of practice, or relocation. In the case of the death of the practitioner, the rules shall provide for the disposition of such records by the estate of the practitioner.” https://www.flsenate.gov/Laws/Statutes/2020/Chapter456 (Retrieved May 26, 2025)

456.058 Disposition of records of deceased practitioners or practitioners relocating or terminating practice.—Each board created under the provisions of chapter 457, chapter 458, chapter 459, chapter 460, chapter 461, chapter 463, part I of chapter 464, chapter 465, chapter 466, part I of chapter 484, chapter 486, chapter 490, or chapter 491, and the department under the provisions of chapter 462, shall provide by rule for the disposition, under that chapter, of the medical records or records of a psychological nature of practitioners which are in existence at the time the practitioner dies, terminates practice, or relocates and is no longer available to patients and which records pertain to the practitioner’s patients. The rules shall provide that the records be retained for at least 2 years after the practitioner’s death, termination of practice, or relocation. In the case of the death of the practitioner, the rules shall provide for the disposition of such records by the estate of the practitioner. (History.—s. 85, ch. 97-261; s. 80, ch. 2000-160; s. 115, ch. 2000-318. Note.—Former s. 455.677.
https://www.flsenate.gov/Laws/Statutes/2020/Chapter456 (Retrieved May 26, 2025.)

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