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Ethics and Decision Making in Counseling and Psychotherapy Cottone

Fifth Edition Tarvydas
Robert Rocco Cottone, PhD, CFT Vilia M. Tarvydas, PhD, CRC (Ret.) Michael T. Hartley, PhD, CRC

Ethics
Hartley
Updated, reorganized, and streamlined to focus squarely on ethical decision making in all counseling specialties.

Ethics and Decision Making in Counseling and Psychotherapy

The fifth edition of this text is unparalleled in helping counselors-in-training use ethical decision making processes
as a foundation for approaching ethical and legal dilemmas in clinical practice. Newly organized and streamlined to
eliminate redundancies, this textbook presents multiple new chapters that reflect the latest developments in counseling
specialty areas. This new edition also features an overview of ethical decision making models, principles, and standards.
Abundant instructor resources, reflecting changes to the fifth edition, include an Instructor’s Manual, PowerPoints, and
a Test Bank.
Through its alignment with the CAPREP standards, the new edition continues to deliver a comprehensive overview
of ethical decision making models in each chapter, along with step-by-step processes for applying these models to a

Decision Making
wide range of clinical cases. Case scenarios specific to specialized practice issues provide insight into practice with

and
different client populations. Additionally, the text considers office, administrative, electronic, technology, and related
issues, as well as the role of values in counseling addressing contemporary emphasis on ethical treatment of value
conflicts that are crucial to the operation of all practices. Abundant features highlight key content and reinforce learning,
including boldfaced key terms with definitions, boxed content showcasing crucial information, and reflection questions

in Counseling
to stimulate rigorous thinking. Purchase includes digital access for use on most mobile devices or computers.

New to the Fifth Edition:

• Reorganized and streamlined for ease of use
• Includes updated reference to codes of ethics from ASCA and AMHCA

Psychotherapy
• Addresses shifts in the structure of specialty practices including the merger of CORE and CACREP

and
• Provides several new chapters on clinical specialties and supervision issues
• Addresses ethical practice of the new clinical rehabilitation counseling specialty—the only text to do so
• Provides access to appropriate codes of ethics via chapter-by-chapter links
• Delivers updated case scenarios

Key Features:
• Covers all counseling specialties and their respective ethical codes aligning with recent developments
in the profession
• Describes how to avoid, address, and solve serious ethical and legal dilemmas to prepare
counselors-in-training for complex situations they may encounter
• Includes objectives, case studies, references, key terms, learning activities, and reflection questions embedded in Fifth Edition
chapter content
• Addresses key office, administrative, electronic, technology, and other practice issues

Robert Rocco Cottone

• Provides an appendix with web links to codes of ethics in counseling and specialties
• Includes Dr. Cottone’s Social Constructivism Decision Making Model and Dr. Tarvydas’s Integrative
Decision Making Model
• Includes an Instructor’s Manual, PowerPoints, and Test Bank, as well as a CACREP Standards Grid
• Purchase includes digital access for use on most mobile devices or computers
Vilia M. Tarvydas
ISBN 978-0-8261-3528-5 Fifth
Edition
Michael T. Hartley

11 W. 42nd Street
New York, NY 10036-8002
www.springerpub.com
9 780826 135285
 Ethics and
Decision Making
in Counseling and
Psychotherapy
Robert Rocco Cottone, PhD, CFT, is University of Missouri Curators’ Distinguished Professor in the
Department of Education Sciences and Professional Programs and a Certified Family Therapist. Dr. Cottone
is a licensed professional counselor (LPC) in Missouri, and a licensed psychologist in Missouri and Arizona.
He has served on the American Counsleing Association (ACA) Ethics Task Force that produced the 2005
revision of the ethics code. He chaired the American Rehabilitation Counseling Code of Professional Ethics
revision task force in 2000 and has published extensively on matters of professional ethics and ethical decision
making in counseling and psychology. Dr. Cottone is a Fellow of the ACA and the author of several books,
including Theories of Counseling and Psychotherapy, published by SPC.

Vilia M. Tarvydas, PhD, CRC. (Ret.), is Professor Emerita and former Chair of the Rehabilitation and Counselor
Education Department at The University of Iowa. She has served as President of the National Council on
Rehabilitation Education, the American Rehabilitation Counseling Association, and the American Association
of State Counseling Boards. She has published extensively on ethics, ethical decision making, and professional
governance and standards and has chaired the ACA and CRCC Ethics Committees. She chaired the CRCC Code
Revision Taskforce that wrote the 2010 CRCC Code of Professional Ethics, and was a member of the ACA Code
Revision Task Force that wrote the 2005 ACA Code of Ethics, and has been a member of the ACA Ethics Appeals
Committee. In July, 2019 she completed a 5 year term on the Board of Directors of the Council for Accreditation
of Counseling and Related Educational Programs (CACREP), where she served as Vice-Chair. Dr. Tarvydas is the
lead editor of the SPC publication, The Professional Practice of Rehabilitation Counseling and has contributed to
several other SPC publications.

Michael T. Hartley, PhD, CRC, is an associate professor and faculty chair of the Counseling Program, Department
of Disability and Psychoeducational Studies at the University of Arizona. His research has focused on profes-
sional ethics, and has 30 peer reviewed journal articles and 10 book chapters focused on the intersection of pro-
fessional ethics with social justice and digital technology. He is the co-editor of the SPC book, The Professional
Practice of Rehabilitation Counseling. Dr. Hartley served on the taskforce to revise the 2017 Code of Ethics for the
Rehabilitation Counselor Certification (CRCC). Having served in variety of leadership roles over the years, includ-
ing the CRCC ethics committee, Dr. Hartley recently served as treasurer of the Arizona Counseling Association
(AzCA) and president of the American Rehabilitation Counseling Association (ARCA).
 Ethics and
Decision Making
in Counseling and
Psychotherapy
FIFTH EDITION

Robert Rocco Cottone, PhD, CFT

Vilia M. Tarvydas, PhD, CRC. (Ret.)
Michael T. Hartley, PhD, CRC
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Title: Ethics and decision making in counseling and psychotherapy / Robert
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Contents

Contributors  xiii
Preface  xv
Acknowledgments  xvii

PART I OVERVIEW OF ETHICS AND DECISION MAKING

IN COUNSELING AND PSYCHOTHERAPY
1. Introduction to Ethical Issues and Decision Making in Counseling and
Psychotherapy  3
Introduction  3
Defining Ethics  4
Professional Ethics Versus Legally Mandated Ethics   8
Ethics Governance  12
Decision Making Skills   16
Conclusion  17
References  18
2. The Mental Health Professions and Counseling Specialties   19
Introduction  19
Counseling and Psychology: Two Closely Related But Now Distinct Mental Health
Professions  20
Licensing and Credentialing in the Mental Health Professions   21
Counseling  21
Psychiatry  25
Psychology  27
Marriage and Family Therapy   28
Psychiatric Nursing  29
Social Work  30
Conclusion  32
References  32
3. Value Issues in Counseling   35
Introduction  35
Values  36
Morals, Ethics, and Values   38

v
vi  Contents

Values in Counseling: Historical Perspective   40

Values of Counselors and the Counseling Relationship   41
Values, Cultural Worldviews, and Multiculturalism   44
Values Clarification  44
Values Conflict Resolution   46
Strategies for Counselors   48
Conclusion  50
References  51
4. Ethical Decision Making Processes   53
Introduction  53
Ethical Judgment  54
A Review of Ethical Decision Making Models   55
Theoretical or Philosophical Models of Individual Choice   56
Quantification as a Means to Individual Choice   56
Practice-Derived Models of Individual Choice   57
Models of Relational Influence   57
Empirical Findings on Models or Premises   60
Willingness or Resoluteness as a Factor in Decision Making   60
The Tarvydas Integrative Decision Making Model of Ethical Behavior   61
Conceptual Origins  61
Themes and Attitudes   63
Stages and Components   64
Practicing the Tarvydas Integrative Model   69
The Theoretical Contribution of the Tarvydas Model   70
Cottone’s Social Constructivism Model of Ethical Decision Making   71
Applying the Social Constructivism Model of Ethical Decision Making   72
“Objectivity in Parentheses”   72
Conflicting Consensualities  74
The Interpersonal Process of Negotiating, Consensualizing, and Arbitrating   75
Response to a Challenge   76
The Social Constructivism Process of Ethical Decision Making   77
“A Truth” Versus “The Truth”   78
How the Social Constructivism Model Interfaces with Multiculturalism   78
Concluding Words About the Social Constructivism Model   80
Conclusion  80
References  81
5. Introduction to Ethical Principles in Counseling   85
Introduction  85
Importance of Ethical Principles to Mental Health Professions   86
The Principles  88
Respect for Autonomy   88
Beneficence and Nonmaleficence   89
Justice  90
 Contents  vii

Fidelity  91
Veracity  92
Principles, Challenges to the Principles, and Codes of Ethics   94
Beyond Ethical Principles: Defining Ethical Standards   94
Conclusion  95
References  95
6. Introduction to Ethical and Legal Standards in Counseling and Psychotherapy   97
Introduction  97
The Relationships Between Ethics and the Law   98
Ethical and Legal Standards in Mental Health Practice   100
Confidentiality and Privacy   100
Privileged Communication  104
Counselor Roles and Relationships With Clients and Other Involved Parties   109
Informed Consent  117
Professional Responsibility  120
Competence  124
Decision Making in Context   127
Conclusion  128
References  128

PART II ETHICAL AND LEGAL CHALLENGES

ACROSS MENTAL HEALTH PROFESSIONS
7. Clinical Mental Health Counseling   135
Michael T. Hartley, Brian Clarke, and Vilia M. Tarvydas
Introduction  135
History of Clinical Mental Health Counseling   136
Credentialing and Clinical Mental Health Counseling   136
Independence of Clinical Mental Health Counselors   137
Defining the Specialty, Setting, and Clients   138
Issues of Significance to the Specialty   140
Professional Differentiation  141
Managed Care and Third-Party Insurance   142
Assessment and Diagnosis of Mental Disorders   143
Competence to Provide Clinical Mental Health Counseling   145
Informed Consent and Professional Disclosure   147
Privacy and Confidentiality in Mental Health Counseling   148
Duty to Warn and Exceptions to Confidentiality   150
Roles and Relationships With Clients   150
Professional Responsibility and Interdisciplinary Collaborations   151
Cultural Diversity and Social Justice   153
Decision Making in Context   154
Conclusion  155
References  156
viii  Contents

8. School Counseling  161
Dawnette Cigrand, Erin E. Binkley, and Donna A. Henderson
Introduction  161
Defining the Specialty, Setting, and Clients   161
The School Counselor’s Role   164
Clients  164
Counseling Process  164
Group Work  165
Evaluation, Assessment, and Interpretation   166
Ethical and Legal Issues   167
Confidentiality and Privileged Communication   167
Confidentiality  167
Privileged Communication  176
Informed Consent  177
Informing and Facilitating Consent   177
Client Autonomy  177
Roles and Relationships With Clients   178
Potentially Detrimental Relationships   178
Values  178
Counselor Competence  179
Counselor Competency, Skill Monitoring and Wellness   179
Competence and Technology   180
Code Comparisons  181
ASCA Position Statement on Confidentiality   181
Employer Policy and Expectations   182
Code Comparisons  182
Issues of Diversity   183
Decision Making in Context   184
Decision Making in Context   185
Conclusion  188
References  188
9. Couple, Marital, and Family Counseling   195
Introduction  195
Defining the Specialty, Setting, and Clients   196
Ethical and Legal Issues   197
Confidentiality and Privileged Communication   197
Informed Consent  198
Roles and Relationships with Clients   199
Responsibility  201
Values  202
Counselor Competence  203
Code Comparisons  204
Issues of Diversity   205
Decision Making in Context   206
 Contents  ix

Conclusion  207
References  207

10. Rehabilitation Counseling  209

Michael T. Hartley, Vilia M. Tarvydas, and Toni A. Saia
Introduction  209
History of Rehabilitation Counseling   210
Credentialing and Rehabilitation Counseling   211
Diversification of Rehabilitation Counseling   212
Defining the Specialty, Setting, and Clients   214
Issues of Significance to the Specialty   215
Professional Differentiation  216
Advocacy and Empowerment   217
Forensic and Indirect Assessment   218
Competence  218
Informed Consent and Assent   220
Privacy and Confidentiality   222
Roles and Relationships   224
Primary Responsibility and Collaboration   225
Cultural Diversity and Social Justice   226
Decision Making in Context   227
Conclusion  230
References  230

11. Addictions Counseling  235

Michael Esteban Gerald
Introduction  235
Defining the Specialty, Setting, and Clients   236
Brief History of Addictions Treatment in America   236
Contemporary Addictions Treatment   237
Substance Abuse Counseling: A Profession or a Specialty?   238
Counselor Competency  240
Setting Issues  241
Counseling Adolescents and Minors   242
Ethical and Legal Issues   243
Confidentiality and Privileged Communication   243
Informed Consent  245
Roles and Relationships with Clients   248
Responsibility  250
Values  251
Code Comparisons  251
Issues of Diversity   252
Ethical Decision Making in Context   253
Conclusion  253
References  254
x  Contents

12. Career Counseling  257

Mark Pope and Vilia M. Tarvydas
Introduction  257
Defining the Specialty, Setting, and Clients   258
Specialty  259
Settings  259
Clients  260
Issues of Significance to the Specialty   261
Ethical and Legal Issues   261
Confidentiality and Privileged Communication   261
Roles and Relationships With Clients   263
Informed Consent  264
Professional Responsibility  265
Values  265
Counselor Competence  266
Career Counseling Competencies   268
Ethical Standards and Code Comparisons   269
Issues of Diversity   269
Individual Versus Collectivist Cultures   270
Assessment of Culturally Diverse Populations   270
Gay and Lesbian Clients   271
Decision Making in Context   271
Conclusion  272
References  273

13. Group Counseling  277

Introduction  277
Defining the Specialty, Settings, and Clients   278
Issues of Significance to the Specialty   279
Ethical and Legal Issues   280
Confidentiality and Privileged Communication   280
Informed Consent  283
Roles and Relationships With Clients   285
Responsibility  285
Values  287
Counselor Competence  288
Code Comparisons  289
Issues of Diversity   289
Decision Making in Context   290
Conclusion  292
References  292
 Contents  xi

PART III ORGANIZATIONAL, ADMINISTRATIVE,

AND TECHNOLOGY ISSUES
14. Ethical Climate  297
Introduction  297
Organizational Culture  298
Culture  298
Ethics and Organizational Culture   299
Organizational Climate and Ethical Climate   300
Accountability to the Organization and Decision Making   303
Impaired Professionals  304
Burnout and Job Stress   305
Boundary and Harassment Issues in Employment and Supervision   307
Substance Abuse  308
Mobbing  309
Whistle-Blowing  310
Conclusion  313
References  314
15. Office and Administrative Practices   317
Introduction  317
The Layout of the Office   318
Fee Setting, Billing, and Collections   319
Agreements With Nonprofessional Staff Members   323
Advertising  323
Credentials  324
Maintenance of Records and Files   325
Communications With Other Professionals   326
Disagreements With Employers or Supervisors   327
Conclusion  328
References  329
16. Ethics of Counseling Supervision   331
Michael T. Hartley and Camelia Shaheed
Introduction  331
Defining the Role and Setting of Clinical Supervision   334
Competence and Clinical Supervision   336
Multiple Roles and Relationships in Supervision   337
Evaluation and Feedback in Supervision   339
Gatekeeping and Documentation in Supervision   340
Diversity and Cultural Competence in Supervision   341
Informed Consent and Supervision Contracts   342
xii  Contents

Privacy and Confidentiality in Supervision   344

Online Supervision  344
Legal Issues in Supervision   345
Ethical Decision Making   346
Conclusion  347
References  347
17. Technology Ethics and Distance Counseling   351
Michael T. Hartley, David B. Peterson, and Catherine Fennie
Introduction  351
Counseling and the Digital Revolution   353
Evolution of Counseling Technology   354
Competence and Distance Counseling   358
Informed Consent and Distance Services   359
Privacy and Confidentiality in the Digital Age   360
Virtual Boundaries in the Digital Age   362
Professional Conduct and e-Professionalism   364
Access and Accessibility   365
Computer-Assisted Assessment  366
Benefits of Computer-Assisted Test Administration   366
Limitations of Computerized Administration   367
Computer-Generated Assessment and Interpretation   368
Conclusion  368
References  368

PART IV CONCLUSION
18. The Ethical Professional Counselor and Psychotherapist   377
Introduction  377
Consequences of a Breach of Ethics for the Mental Health Professional   378
Consequences of a Breach of Ethical Standards for the Client   379
Filing a Complaint to a Licensure Authority   379
The Development of the Ethical Mental Health Professional   380
Decision Making in Context   382
Conclusion  382
References  382

Appendix: Internet Resources   385

Index  387
Contributors

Erin E. Binkley, PhD, LPC, NCC, Assistant Professor, Department of Counseling, Wake Forest
University, Winston-Salem, North Carolina

Dawnette Cigrand, PhD, MA, Associate Professor and Chair, Counselor Education Department,
Winona State University, Winona, Minnesota

Brian Clarke, MA, LAC, NCC, PhD Student/Graduate Teaching Assistant, Counselor Education
and Supervision, University of Arizona, Department of Disability and Psychoeducational Studies,
College of Education, Tucson, Arizona

Robert Rocco Cottone, PhD, CFT, Counselor, Educator, University of Missouri Curators’
Distinguished Professor, University of Missouri St. Louis, St. Louis, Missouri

Catherine Fennie, MA, CRC, Graduate of the University of Arizona, Therapist at Cope
Community Services, Tucson, Arizona

Michael Esteban Gerald, PhD, LMHC, CRC, Assistant Professor, Utah State University, Logan,
Utah

Michael T. Hartley, PhD, CFT, Associate Professor and Faculty Chair, Counseling Program, The
University of Arizona, Tucson, Arizona

Donna A. Henderson, PhD, Professor Emeritus, Wake Forest University, Winston-Salem, North
Carolina

Mark Pope, EdD, Curators’ Distinguished Professor Emeritus, Department of Education Sciences
and Professional Programs, University of Missouri-St. Louis, St. Louis, Missouri

David B. Peterson, PhD, LCP, HSP, CRC, Professor, Coordinator, Rehabilitation and Clinical
Counseling, Los Angeles, California

Toni A. Saia, PhD, MA, Adjunct Faculty, Department of Disability and Psychoeducational
Studies, The University of Arizona, Tucson, Arizona

Camelia Shaheed, MA, PhC, LPC, CRC, Instructor and Field Experience Coordinator, The
University of Arizona, Department of Disability and Psychoeducational Studies, College of
Education, Tucson, Arizona

Vilia M. Tarvydas, PhD, CRC, Professor (retired), University of Iowa, Iowa City, Iowa.

xiii
Preface

We welcome you to the fifth edition of Ethics and Decision Making in Counseling and Psychotherapy.
This text is a major revision of the prior edition, providing continuity to faculty who have used
the book in teaching courses on ethics in counseling, but with notable changes and additions. The
new edition has a distinct and timely focus on counseling as a profession. A new section provides
material that not only applies to mental health practice generally, but it applies specifically to spe-
cialty practice with chapters specifically titled and focused on counseling specialties.
The format of the book is changed a bit. Many of the early chapters are updated versions of
those that appeared in the earlier edition. For example, we kept chapters addressing the mental
health professions, values in counseling, decision making, ethical principles, ethical standards,
technology, ethical climate, and office/administrative practices. These chapters are foundational
to ethical practice of the profession and provide solid building blocks to the more advanced per-
spectives discussed in other chapters.
The chapters on specialty practice are lively and contemporary overviews of these practice
areas in counseling that reflect more recent trends to increased differentiation of these areas of
practice. They are written by authorities in their respective areas to assure that the perspective is
consistent with that of that particular area of counseling. Recent developments in the field have
led some separate specialties to establish independent organizations, ethical codes, and enforce-
ment mechanisms. As a result each specialty has its own chapter to allow for an extended discus-
sion of the unique aspects of the field that provide clarity to understanding the particular ethical
issues and standards that apply in each specialty. In this section, the specialty areas recognized by
CACREP are included and the Instructor Manual provides some information of how topics cov-
ered in this text relate to the accreditation standards of counseling and the CACREP specialties.
The specialities addressed are: mental health counseling; school counseling; couple, marital, and
family counseling; rehabilitation counseling; addictions counseling; career counseling; and group
counseling. The specialty chapters address historical issues in the development of the specialty
and ethical and legal standards that apply to the specialty. Importantly, each specialty chapter
can stand alone and be purchased and used in courses that address specialty issues (for instance,
foundation courses in clinical mental health, school, or couples/marital/family counseling). This
format frees the reader or the instructor to read (or to assign) specific specialty chapters that are
important to the educational program. Not all counselor education programs address all of the
specialties presented in this book, but many specialized topics do need coverage to prepare coun-
selors to meet challenges in diverse issues in general practice. This book is broad in its coverage
of the most practiced specialties in mental health practice, and provides an efficient and effective
overview of the broad scope of particular areas addressed in counseling.

xv
xvi  Preface

We are proud to welcome Michael T. Hartley to authorship of this text. Michael is a leader
in the counseling profession, and his knowledge, skill, and experience has helped to refine this
text in ways that will be appreciated by readers. He has been instrumental to the updating and
reformatting of this edition.

Robert Rocco Cottone

Vilia M. Tarvydas
Michael T. Hartley

Qualified instructors may obtain access to supplements, including an Instructor's Manual,

PowerPoints, and a Test Bank, by emailing textbook@springerpub.com
A supplementary CACREP Standards Grid is available at connect.springerpub.com/
content/book/978-0-8262-3529-2
10  Part I Overview of Ethics and Decision Making in Counseling and Psychotherapy

reciprocity of licensure, or what is called portability (Altekruse, 2001). Licensing reciprocity

is a process whereby a licensed counselor’s credentials in one state are recognized by another
state for licensure purposes without additional imposed requirements. In psychology, the
Association of State and Provincial Psychology Boards (ASPPB), a group made up of state psychol-
ogy licensing board representatives, has its own code of ethics. (See Sinclair [2004] for a compari-
son of the ASPPB code of conduct and the APA and Canadian Psychological Association codes
of ethics.) The ASPPB has also set up a credential bank for individuals who meet quality licensure
standards to facilitate reciprocity between states—the Certificate of Professional Qualification
(CPQ) in psychology. The CPQ is accepted by many states as a credential that meets licensure
standards. The Association of Marital and Family Therapy Regulatory Boards (AMFTRB) repre-
sents the state marriage/family therapy licensure boards. These important license-related orga-
nizations influence the ethical and professional training standards required for individuals to be
admitted and retained in the professions.
Mental health professionals need to know both the professional and legal ethical standards
that direct their practices. Ethical standards are the rules of ethical practice imposed by the
professions, and legally mandated ethical standards are ethical standards imposed by law.
Professionals are obligated to know these standards beyond the knowledge gained by a cursory
reading of a code. Counselors should commit to memory the general principles that operate in
ethical practice, and they should regularly discuss with other counselors or psychotherapists how
such principles apply to professional practice. Ethical principles are the broad philosophical
guidelines that direct ethical practice. (See Box 1.2 for a statement made by a client who shared
her experience addressing an ethical breach by her psychotherapist.)

BOX 1.2 A Client’s Story

For about a year, I sat “in the chair,” trying to understand what had brought me to therapy.
Across from me sat my therapist, my confidant, my partner in piecing together the puzzle
that had become my life. I began by explaining that I was hurting inside because of the
young woman I had become. I felt angry, defensive, alone. I had detached myself from all
those who were dear to me, except for my family. They, however, were kept at arm’s length.
My temper had become short and my list of reasons for not going out with my friends had
become long. I was confused by these changes in myself because I was unable to identify
the source. I was sad about the changes because I did not like living such a negative, un-
peopled existence. This existence was nothing like what I had lived the previous 22 years.
The day I realized why I was “in the chair” remains etched vividly in my mind. With
bowed head and long curls hiding my face, I choked out the words with humiliation,
shame, fear, and pain: I was raped. I told the therapist the story from the beginning—a
story which began as one of friendship, laughter, and fun. Then I recounted how suddenly,
without warning, the man I had chosen to call friend turned into someone I no longer
knew. I told of the day he hovered above my head with eyes full of hate as he spoke with
venom, and how because of shock and fear, I could not move. He hurt me with his body
and he hurt me with his words. I described how it seemed like hours later, that he dropped
me off in front of my apartment. It was at that time that he grabbed the back of my head
once again, pressed his mouth angrily onto mine and told me he’d like to do that again
sometime—that it was fun.
The pain I went through by finally acknowledging the rape was deep. Making sense
of how it had affected my life forced me to open myself up to feel all that the experience

(continued)
Another random document with
no related content on Scribd:
 LEGEND:
(A) = H₂O Content, (%)
(B) = Accel. Chloropicrin Service Time, (Min.)
(C) = Chloropicrin
(D) = Phosgene
(E) = Hydrocyanic Acid
(F) = Arsine
(G) = Cyanogen Chloride
(H) = Trichloromethylchloroformate
(I) = Chlorine

Service Time, Minutes

Standard Conditions
(B)
No. Charcoal Nation (A)
(G) (H) (I)
(C) (D) (E) (F)

Poor U. S. A.
1 0 10 120175 20 18 55 50 270
cocoanut
Medium U. S. A.
2 0 30 350260 25 25 65 65 370
cocoanut
Good U. S. A.
3 0 60 620310 27 30 75 70 420
cocoanut
Same as U. S. A.
4 No. 2 but 12 18 320330 35 16 35 95
wet
No. 2 U. S. A.
5 0 35 400700 70 400 70 190 510
impregnated
6 Wood French 0 2.5 25 75 9 0 1 20
7 Wood British 0 6 70 90 18 4 5 30
8 Peach stone British 0 16 190135 30 25 65 60
Treated German
9 0 42 230105 20 20 22 25
wood
No. 9 German
10 30 9 90320 16 1110 120
impregnated

Standard Conditions of Tests

Mesh of absorbent 8-14
 Depth of absorbent layer 10 cm.
Rate of flow per sq. cm. per min. 500 cc.
Concentration of toxic gas 0.1 per cent
Relative humidity 50 per cent
Temperature 20°
Results expressed in minutes to the 99 per cent efficiency points.
Results corrected to uniform concentrations and size of particles.

Soda-Lime
Charcoal is not a satisfactory all-round absorbent because it has too little capacity
for certain highly volatile acid gases, such as phosgene and hydrocyanic acid, and
because oxidizing agents are needed for certain gases. To overcome these
deficiencies the use of an alkali oxidizing agent in combination with the charcoal has
been found advisable. The material actually used for this purpose has been granules of
soda-lime containing sodium permanganate. Its principal function may be said to be to
act as a reservoir of large capacity for the permanent fixation of the more volatile acid
and oxidizable gases.
The development of a satisfactory soda-lime was a difficult problem. The principal
requirements follow: Its activity is not of vital importance, as the charcoal is able to take
up gas with extreme rapidity and then later give it off more slowly to the soda-lime.
Absorptive capacity is of the greatest importance, since the soda-lime is relied upon to
hold in chemical combination a very large amount of toxic gas. Both chemical stability
and mechanical strength are difficult to attain. The latter had never been solved until
the war made some solution absolutely imperative.

Composition of Regular Army Soda-Lime

The exact composition of the army soda-lime has undergone considerable
modification from time to time as it has been found desirable to change the raw
materials or the method of manufacture. A rough average formula which will serve to
bring out the interrelation between the different constituents is as follows:

Composition of Wet Mix

Per Cent
Hydrated lime 45
Cement 14
Kieselguhr 6
Sodium hydroxide 1
 Water 33
After Drying
Moisture content 8
After Spraying
Moisture content 13 (approx.)
Sodium permanganate content 3 (approx.)
Within limits, the method of manufacture is more important than the composition or
other variables, and has been the subject of a great deal of research work even on
apparently minor details. The process finally adopted consists essentially in making a
plastic mass of lime, cement, kieselguhr, caustic soda, and water, spreading in slabs
on wire-bottomed trays, allowing to set for 2 or 3 days under carefully controlled
conditions, drying, grinding, and screening to 8-14 mesh, and finally spraying with a
strong solution of sodium permanganate with a specially designed spray nozzle. The
spraying process is a recent development, most of the soda-lime having been made by
putting the sodium permanganate into the original wet mix. Many difficulties had to be
overcome in developing the spraying process, but it eventually gave a better final
product, and resulted in a large saving of permanganate which was formerly lost during
drying, in fines, etc.

Function of Different Components

Lime. The hydrated lime furnishes the backbone of the absorptive properties of the
soda-lime. It constitutes over 50 per cent of the finished dry granule and is responsible
in a chemical sense for practically all the gas absorption.
Cement. Cement furnishes a degree of hardness adequate to withstand service
conditions. It interferes somewhat with the absorptive properties of the soda-lime and it
is an open question whether the gain in hardness produced by its use is valuable
enough to compensate for the decreased absorption which results.
Kieselguhr. The loss in absorptive capacity due to the presence of cement is in
part counterbalanced by the simultaneous introduction of a relatively small weight
though considerable bulk, of kieselguhr. In some cases, there seems to be a reaction
between the lime and the kieselguhr, which results in some increase in hardness.
Sodium Hydroxide. Sodium hydroxide has two primary functions in the soda-lime
granule. In the first place, a small amount serves to give the granule considerable more
activity. The second function is to maintain roughly the proper moisture content. This
water content (roughly 13-14 per cent after spraying) is very important, in order that the
maximum gas absorption may be secured.
Sodium Permanganate. The function of the sodium permanganate is to oxidize
certain gases, such as arsine,[30] and to act as an assurance of protection against
possible new gases. The purity of the sodium permanganate solution used was found
to be one of the most important factors in making stable soda-lime. It was, therefore,
necessary to work out special methods for its manufacture. Two such methods were
developed, and successfully put into operation.
Careful selection of other material is also necessary, and this phase of the work
contributed greatly to the final development of the form of soda-lime.
 CHAPTER XIV
TESTING ABSORBENTS AND GAS MASKS

One of the first necessities in the development of absorbents and

gas masks was a method of testing them and comparing their
deficiencies. While the ultimate test of the value of an absorbent,
canister or facepiece is, of course, the actual man test of the
complete mask, the time consumed in these tests is so great that
more rapid tests were devised for the control of these factors and the
man test used as a check of the purely mechanical methods.

Testing of Absorbents[31]
Absorbents should be tested for moisture, hardness, uniformity of
sample and efficiency against various gases.
Moisture is simply determined by drying for two hours at 150°.
The loss in weight is called moisture.
The hardness or resistance to abrasion is determined by shaking
a 50-gram sample with steel ball bearings for 30 minutes on a Ro-
tap shaking machine. The material is then screened and the
hardness number is determined by multiplying the weight of
absorbent remaining on the screen by two.
The efficiency of an absorbent against various gases depends
upon a variety of factors. Because of this, it is necessary to select
standard conditions for the test. These were chosen as follows:
The absorbent under test is filled into a sample tube of specified
diameter (2 cm.) to a depth of 10 cm. by the standard method for
filling tubes, and a standard concentration (usually 1,000 or 10,000
p.p.m. by volume) of the gas in air of definite (50 per cent) humidity
is passed through the absorbent at a rate of 500 cc. per sq. cm. per
min. The concentration of the entering gas is determined by analysis.
The length of time is noted from the instant the gas-air mixture is
started through the absorbent to the time the gas or some toxic or
irritating reaction product of the gas begins to come through the
absorbent, as determined by some qualitative test. Quantitative
samples of the outflowing gas are then taken at known intervals and
from the amount of gas found in the sample the per cent efficiency of
the absorbent at the corresponding time is calculated.

p.p.m. entering gas - p.p.m.

Per cent ×
effluent gas
efficiency = 100.
p.p.m. entering gas
These efficiencies are plotted against the minutes elapsed from
the beginning of the test to the middle of the sampling period
corresponding to that efficiency point. A smooth curve is drawn
through these points and the efficiency of the absorbent is reported
as so many minutes to the 100, 99, 95, 90, 80, etc., per cent
efficiency points.
The apparatus used in carrying out this test is shown in Fig. 74.
Descriptive details may be found in the article by Fieldner in The
Journal of Industrial and Engineering Chemistry for June, 1919. With
modifications for high and low boiling materials, the apparatus is
adapted to such a variety of gases as chlorine, phosgene, carbon
dioxide, sulfur dioxide, hydrocyanic acid, benzyl bromide,
chloropicrin, superpalite, etc.
As the quality of the charcoal increased, the so-called standard
test required so long a period that an accelerated test was devised.
In this the rate was increased to 1,000 cc. per minute, the relative
humidity of the gas-air mixture was decreased to zero, and the
concentration was about 7,000 p.p.m. The rate is obtained by using
a tube with an internal diameter of 1.41 cm. instead of 2.0 cm.

Canisters
 After an absorbent has been developed to a given point, and is
considered of sufficient value to be used in a canister, the materials
are assembled as described in Chapter XII. While the final test is the
actual use of the canister, machine tests have been devised which
give valuable information regarding the value of the absorbent in the
canister and the method of filling.

Fig. 74.—Standard Two-tube Apparatus for Testing

Absorbents,
Showing Arrangement for Gases Stored in Cylinders.
 The first test must be that for leakage. The canister must show no
signs of leaking when submitted to an air pressure of 15 inches of
mercury (about half of the normal atmospheric pressure).
The second factor tested is the resistance to air flow. This is
determined at a flow of 85 liters per minute and should not exceed 3
inches. The latest canister design has a much lower resistance (from
2 to 2½ inches).
The third test is the efficiency of the canister against various
gases. For routine work, phosgene, chloropicrin and hydrocyanic
acid are used against the standard mixture of charcoal and soda-
lime: Chloropicrin is usually used against straight charcoal fillings,
while phosgene and hydrocyanic acid are used against soda-lime.

Fig. 75.—Apparatus for Testing Canisters Against

Chloropicrin.
 Different types of apparatus are required for these gases. They
are very complicated, as may be seen from the sketch in Fig. 75,
and yet a man very quickly learns the procedure necessary to carry
out a test of this kind. The gas is passed through the canister under
given conditions, until at the end of the apparatus a test paper or
solution indicates that the gas is no longer absorbed but is passing
through unchanged. This point is called the “break point,” and the
time required to reach this point is known as the life of the canister.
This time is also the time to 100 per cent efficiency. Other points,
such as 99, 95, 90 and 80 per cent efficiency are determined. These
are used in comparing canisters.
The canister tests were of two general classes: continuous and
intermittent. In the first the air-gas mixture was drawn through
continuously until the break point was reached. The results obtained
in this way, however, did not give the time measure of the value of a
canister in actual use. The intermittent test differs only in that the
flow of air-gas mixture is intermittent, corresponding to regular
breathing. Special valves were adapted to this work.
Canisters must also be tested as to the protection they offer
against smoke. These methods are discussed in Chapter XVIII.

Man Tests
The final test of the canister is always carried out by means of the
so-called “man test.” Special man-test laboratories were built at
Washington, Philadelphia and Long Island. These are so constructed
that, if necessary, a man may enter the chamber containing the gas
and thus test the efficiency of the completed gas mask. In most
cases, however, the canister is placed inside or outside the gas-
chamber and the men breathe through the canister, detecting the
break point by throat and lung irritation.
The following brief description of the man test laboratory at the
American University will give a good idea of the plan and procedure.
[32]
 The man test laboratory is a one-story building, 56 ft. in length
and 25 ft. in width. The main part is occupied by three gas
chambers, laboratory tables, and various devices for putting up and
controlling gas concentrations in the chambers. A small part at one
end is used as an office and storeroom.
Good ventilation is of great importance in a laboratory of this
nature. This is secured by means of a 6 ft. fan connected to suitable
ducts. The fan is mounted on a heavy framework outside and at one
end of the building. The fan is driven at a speed of about 250 r.p.m.
by a 10 h.p. motor. The main duct is 33 in. square, extending to all
parts of the building. A connection is also made to a small hood used
when making chemical analyses.
The gases, fumes, etc., drawn out by the fan, are forced up and
out of a stack 30 in. in diameter, extending upward 55 ft. above the
ground level.
The main features of each of the three gas chambers are
identical. Auxiliary pieces of apparatus are used with each chamber,
the type of apparatus being determined by the characteristics of the
gas employed.
 Fig. 76.—Man Test Laboratory,
American University.

Each chamber is 10 ft. long, 8 ft. wide and 8½ ft. high, having,
therefore, a capacity of 680 cu. ft. or 19,257 liters. The floor is
concrete, and the walls and ceiling are constructed on a framework
of 2 × 4 in. scantling, finished on the outside with wainscoting and on
the inside with two layers of Upson board (laid with the joints lapped)
covered with a ½ in. layer of special cement plaster laid upon
expanded metal lath. The interior finish is completed by two coats of
acid-proof white paint. The single entrance to the chamber is from
outside the laboratory, and is closed by two doors, with a 36 × 40 in.
lock between them. These doors are solid, of 3-ply construction, 2½
in. thick, with refrigerator handles, which may be operated from
either inside or outside the chamber. The door jambs are lined with ³/
₁₆ in. heavy rubber tubing to secure a tight seal.
 At the end of the chamber opposite the doors, a pane of ¼ in.
wire plate glass, 36 × 48 in., is set into the wall, and additional
illumination may be secured by 2 headlights, 12 in. square, set into
the ceiling of the chamber and of the air-lock, respectively, and
provided with 200 watt Mazda lamps and Holophane reflectors.
Openings into the chamber, five in number, are spaced across this
end beneath the window and 9 in. above the table top.
Fans are installed for keeping the concentration uniform.

Fig. 77.—Details of Canister Holder.

Various devices have been installed for attaching the canister to

be tested (Fig. 77). This arrangement allows the canister to be
changed at will without any necessity for disturbing the concentration
of gas by entering the chamber.
Arrangements for removing the gas from the chamber consist of
a small “bleeder” which allows a continuous escape of small
amounts and a large blower for rapidly exhausting the entire
contents of the chamber.
Other general features of the equipment deal with the
determination of the physical condition surrounding the tests, often a
matter of considerable importance. The temperature of the gas
inside the chamber is easily ascertained by means of a thermometer
suspended inside the window in such a position as to be read from
the outside. The relative humidity of the mixture of air and gas in the
chamber is determined by means of a somewhat modified Regnault
dew point apparatus mounted on the built-in table.

Pressure Drop and Leak Detecting

Apparatus
Another piece of apparatus consists of a combined pressure drop
machine and leak tester (Fig. 78) for measuring the resistance of
canisters and testing them for faulty construction. This is mounted on
a small table, with the motor and air pump installed on a shelf
underneath. The resistance, or pressure drop, of canisters is
measured by the flow meter A and the water manometer B. Air is
drawn through the canister and the flow meter A at the rate of 85
liters per min., the flow being adjusted by the needle valve. The
pressure drop across the canister is read on the water manometer B,
one end of which is connected to the suction line, the other open to
the air. The reading is generally made in inches, correction being
made for the resistance of the connecting hose and the apparatus
itself.
Canisters are tested for leaks by the apparatus shown at D in Fig.
78. The canister is clamped down tightly by wing nuts against a
piece of heavy ¼-in. sheet rubber large enough to cover completely
the bottom of the canister and prevent any inflow of air through the
valve. Suction is then applied, and a leak is indicated by a steady
flow of air bubbles through the liquid in the gas-washing cylinder E. A
second gas-washing cylinder, empty, is inserted in the line between
E and the canister as a trap for any liquid drawn back when the
suction is shut off. If a leak is shown, it can be located by applying air
pressure to the canister and then immersing it in water.

Fig. 78.—Apparatus for Determining Pressure Drop

and for Detecting Leaks in Canisters.

Methods of Conducting Tests

Three general methods of conducting man tests are followed:
(1) Canisters are placed in the brackets outside the chamber or
fastened to the wall tubes within the chamber. The subjects of the
test remain outside the chamber, and the facepieces of the masks
are connected directly to the canisters, in the first case, and to the
wall tubes connecting with the canisters, in the second case. The
concentration is established and the time noted. Then the men put
on the masks and breathe until they can detect the gas coming
through the canisters. Reading matter is provided for the men during
the test period. When gas is detected, the time is again noted and
the time required for the gas to penetrate the canister is reported as
the “time to break down” or “service time” of the canister. Ten
canisters are tested at one time, and the average of the results for
the 10 canisters is taken for that type of canister. Much less accurate
results are obtained when the final figure is based on a small number
of canisters. This is largely due to the various breathing rates and
sensitiveness of different men.
(2) The canisters are placed as in (1), but it is only necessary to
know if they will give perfect protection for a given length of time.
The procedure is the same as in (1), except that the test is arbitrarily
stopped at the end of the indicated time, and the number of canisters
and the service times of the same noted.
(3) When the canisters are of such a type that they cannot be
properly tested as in (1), or when it is desired to test the penetrability
of the facepiece, the men wear the complete mask and enter the
chamber. They remain until gas penetrates the canister or the
facepiece, as the case may be, or until it is determined that the
desired degree of protection is afforded. The service time is
computed as in (1).
(4) Maximum-breathing-rate tests are made either by men in the
chamber or by the men outside, in which they do vigorous work on a
bicycle ergometer. In this test the average man will run his breathing
rate up to 60 or 70 liters per min.
The concentration of the gas is followed throughout the test by
aspirating samples and analyzing them.
Type of Masks Used. In the future the 1919 model will be used
for all tests. In general, during the War, the following procedure held,
although variations occurred in special cases:
When men entered a gas-chamber, the full facepiece was, of
course, required. The type of facepiece was determined by the
nature of the gas. If the gas was most easily detected by odor or eye
irritation, a modified Tissot mask was used. If it was most easily
detected by throat irritation, a mouth-breathing mask was employed.
When men were outside the chamber, the choice was made in
the same manner, except in the case of detection of the gas by
throat irritation. In this case the mouthpiece was attached to two or
three lengths of breathing tubes and a separate noseclip was used.
The facepiece was not needed and the men were much more
comfortable without it.
Disinfection of Masks. Mouthpieces are disinfected after use by
first holding them under a stream of running water and brushing out
thoroughly with a test tube brush; then the latter is dipped into a 2
per cent solution of lysol, and the inner parts of the mouthpiece are
brushed out well; finally the mouthpiece and exhaling valve are
dipped bodily into the lysol solution and allowed to dry without
rinsing. Tissot masks are wiped out with a cloth moistened in alcohol,
followed by another cloth moistened in 2 per cent lysol solution. The
flexible tubes are given periodic rinsings with 95 per cent alcohol.
Applicability of Man Tests. Man tests are applicable to all gases
which can be detected by the subject of the test before he breathes
a dangerous amount.
The man test laboratory described above provides facilities for
obtaining information concerning the efficiency of canisters,
facepieces, etc., within very short periods of time, without waiting for
the construction of special apparatus required for machine tests. To
get satisfactory results from machine tests, a delicate qualitative
chemical test for the gas is essential. Man tests can be made when
such a qualitative test is not known. Further, man tests can be made
with higher concentrations of some gases than is practicable with
machines. Evolution of excessive amounts of moisture when high
concentrations of some gases are used causes much more trouble
with machine tests than with man tests.
On the other hand, man tests are adversely affected by the
varying sensitiveness and lung capacities of the men, and the
humidity of the air-gas mixture is not subject to as exact control as is
the case with machine tests.

Field Tests
It will be observed that all of the above tests are concerned only
with the efficiency of the absorbent and its packing in the canister.
No attempt was made to determine the comfort and general “feel” of
the mask. For this purpose field tests were devised, covering periods
from two to five hours. The first test was a five-hour continuous
wearing test. It was assumed that any mask which could be worn for
five hours without developing any marked features of discomfort
could, if the occasion demanded it, be worn for a much longer period
of time. A typical test follows:
8:00 to Instruction and adjustment of gas
8:30 mask.
Gas-chamber tests
8:30 to Games involving mental and physical
9:30 activity
9:30 to Cross-country hike with suitable
11:30 periods of rest
11:30 to Tests of vision
12:00
12:00 to Games to test mental condition of
12:30 subjects
12:30 to Gas-chamber fit test
1:00
 Fig. 79.—Hemispherical Vision Chart.

Vision was tested by means of a hemispherical chart (Fig. 79).

This chart was 6 ft. in diameter and was constructed of heavy paper
laid over a wire frame. A hinged head rest was provided for holding
the subject’s head firmly in position with the center directly between
the eyes. The subject wearing the mask took up his position, and
with one eye closed at a time, indicated how far along the meridian
of longitude he could see with the other eye. The observer sketched
in the limit of vision by outlining the perimeter of the roughly circular
field allowed by each eyepiece. The intersection of the two fields
gave the extent of binocular vision possible with the mask.
 Various other tests were also used, in order that the extent and
nature of the vision could be accurately determined.
Aside from the problems of comfort, protection, vision and other
important features of gas mask efficiency, the question arose as to
whether certain designs of masks or canisters were mechanically
able to withstand the rough treatment they were certain to receive in
actual field service. A test was, therefore, developed to simulate
such service as transportation of masks from base depots to the
front, carrying of supplies and munitions by men wearing masks in
the “alert” position, exposure to rain and mud, hasty adjustment of
masks during gas alarms and typical mistreatment of masks by the
soldiers.
All these tests were of great value in the development of a good
gas mask.
 CHAPTER XV
OTHER DEFENSIVE MEASURES

Protective Clothing
Protective clothing was an additional feature of the general
program of protection. As far as factory protection is concerned, the
use of protective garments was more or less of a temporary
expedient and they were abandoned as fast as automatic machinery
and standard practice made their use less necessary. It is likewise a
question regarding their value at the front. It is very certain that the
garments developed needed to be made lighter and more
comfortable to be of much value to the fighting unit.
The first development of protective clothing was along the lines of
factory protection. The large number of casualties in connection with
the manufacture of mustard gas made it imperative that the workmen
be protected not only from splashes of the liquid mustard gas, but
also from its vapors. The first suit developed provided protection to
the entire body. The ordinary clothing materials and even rubberized
fabrics offered little protection but it was found that certain oilcloths
were practically impermeable to mustard gas. The suit was a single
garment, buttoning in the back, with no openings in the front, no
pockets and with tie-strings at wrists and ankles. The head was
protected by means of an aluminium helmet, supported by means of
a head band resting on the head like a cap and slung from the inside
of the helmet; this permitted slight head motions independent of the
helmet. In order to provide cooling and ventilating and pure air
breathing, the suit was inflated by pumping a considerable volume of
air into the suit through a flexible hose long enough to permit
considerable freedom of movement.