AOTA Code of Ethics – Flashcards

1. Altruism 2. Equality 3. Freedom 4. Justice 5. Dignity 6. Truth 7. Prudence Provide a foundation to guide OT personnel in their interactions with others. Although the Core Values are not themselves enforceable standards, they should be considered when determining the most ethical course of action.

The individual's ability to place the needs of others before their own AND Involves demonstrating concern for the welfare of others

The desire to promote fairness in interactions with others AND Refers to treating all people impartially and free of bias.

The desires of the client must guide [occupational therapy practitioners] interventions AND Personal choice are paramount in a profession in which the values and desires of the client guide our interventions.

Relating in a fair and impartial manner to individuals with whom they interact and respect and adhere to the applicable laws and standards regarding their area of practice. AND Expresses a state in which diverse communities are inclusive; diverse communities are organized and structured such that all members can function, flourish, and live a satisfactory life.

Treating each other respectfully and as an individual by enabling the client to engage in occupations that are meaningful... regardless of the level of disability. AND The promotion and preservation of the individuality and Dignity of the client, by treating him or her with respect in all interactions.

In all situations, occupational therapists, OTAs and students must provide accurate information, both in oral and written form.

Use of clinical and ethical reasoning skills, sound judgment, and reflection to make decisions within the OT practitioner's area of practice.

1. It provides aspirational Core Values that guide members toward ethical courses of action in professional and volunteer roles, and 2. It delineates enforceable Principles and Standards of Conduct that apply to AOTA members.

A free-standing document, guiding ethical dimensions of professional behavior, responsibility, practice, and decision making.

Are enforceable for professional behavior include: 1. Beneficence 2. Nonmaleficence 3. Autonomy 4. Justice 4a. Social Justice 4b. Procedural Justice 5. Veracity 6. Fidelity

Occupational therapy personnel shall demonstrate a concern for the wellbeing and safety of the recipients of their services Includes all forms of action intended to benefit other persons. The term beneficence connotes acts of mercy, kindness, and charity (Beauchamp & Childress, 2013). Beneficence requires taking action by helping others, in other words, by promoting good, by preventing harm, and by removing harm. Examples of beneficence include protecting and defending the rights of others, preventing harm from occurring to others, removing conditions that will cause harm to others, helping persons with disabilities, and rescuing persons in danger Ex. Maintaining current knowledge by attending evidence-based educational sessions pertinent to the performance of duties as an occupational therapy practitioner Ex. Using current and updated assessment tools to obtain accurate client data for intervention

OT personnel shall intentionally refrain from action that cause harm The Principle of Nonmaleficence also includes an obligation to not impose risks of harm even if the potential risk is without malicious or harmful intent. This Principle often is examined under the context of due care. The standard of due care "requires that the goals pursued justify the risks that must be imposed to achieve those goals" For example, in occupational therapy practice, this standard applies to situations in which the client might feel pain from a treatment intervention; however, the acute pain is justified by potential longitudinal, evidence-based benefits of the treatment. Ex. Transferring clients from a wheelchair to the bed using care to avoid harm by locking the wheelchair and bed brakes Ex. Not practicing OT under the influence of drugs or alcohol

OT personnel shall respect the right of the individual to self-determination Expresses the concept that practitioners have a duty to treat the client according to the client's desires, within the bounds of accepted standards of care, and to protect the client's confidential information. Often, respect for Autonomy is referred to as the self-determination principle. However, respecting a person's autonomy goes beyond acknowledging an individual as a mere agent and also acknowledges a person's right "to hold views, to make choices, and to take actions based on [his or her] values and beliefs". Individuals have the right to make a determination regarding care decisions that directly affect their lives. In the event that a person lacks decision-making capacity, his or her autonomy should be respected through involvement of an authorized agent or surrogate decision maker. Ex. Respecting the right of clients to refuse to participate in OT services Ex. Safeguarding the privacy and confidentiality of clients by complying with HIPAA regulations

OT personnel shall provide services in a fair and equitable manner Ex. Assisting at a health fair to help promote the health of members in the facility or community Ex. Treating clients fairly no matter what their gender, age, ethnicity or marital status

OT personnel shall comply with institutional rules, local, state, federal, and international laws and AOTA documents applicable to the profession of OT Ex. Learning about laws and regulations that have an impact on the provision of OT services Ex. Following reimbursement guidelines for different payer sources

OT personnel shall provide comprehensive, accurate, and objective information when representing the profession Based on the virtues of truthfulness, candor, and honesty. The Principle of Veracity refers to comprehensive, accurate, and objective transmission of information and includes fostering understanding of such information. Veracity is based on respect owed to others, including but not limited to recipients of service, colleagues, students, researchers, and research participants. In communicating with others, occupational therapy personnel implicitly promise to be truthful and not deceptive. When entering into a therapeutic or research relationship, the recipient of service or research participant has a right to accurate information. In addition, transmission of information is incomplete without also ensuring that the recipient or participant understands the information provided. Concepts of veracity must be carefully balanced with other potentially competing ethical principles, cultural beliefs, and organizational policies. Veracity ultimately is valued as a means to establish trust and strengthen professional relationships. Therefore, adherence to the Principle of Veracity also requires thoughtful analysis of how full disclosure of information may affect outcomes. Ex. Ensuring documentation is accurate and truthful Ex. Avoiding plagiarism of others' work

OT personnel shall treat colleagues and other professionals with respect, fairness, discretion, and integrity Refers to the duty one has to keep a commitment once it is made. In the health professions, this commitment refers to promises made between a provider and a client or patient based on an expectation of loyalty, staying with the client or patient in a time of need, and compliance with a code of ethics. These promises can be implied or explicit. The duty to disclose information that is potentially meaningful in making decisions is one obligation of the moral contract between provider and client or patient. Whereas respecting Fidelity requires occupational therapy personnel to meet the client's reasonable expectations, the Principle also addresses maintaining respectful collegial and organizational relationships. Professional relationships are greatly influenced by the complexity of the environment in which occupational therapy personnel work. Practitioners, educators, and researchers alike must consistently balance their duties to service recipients, students, research participants, and other professionals as well as to organizations that may influence decision making and professional practice. Ex. Treating coworkers, clients, and other health care workers respectfully, such as by not divulging personal information to others

1. OT practitioners have a professional responsibility to maintain the Code of Ethics Standards of their profession and ti promote and support these standards among their colleagues 2. The Ethics Commission suggests that members try to work on remediating the ethical issue at their setting or facility before lodging a formal complaint through AOTA 3. The Ethics Commission has jurisdiction over and the Code of Ethics and Standards applies to people who were or are AOTA members when the questionable behavior occurred

1. A complaint to the Ethics Commission can be initiated by individuals or groups of people both within and outside of the AOTA by submitting the completed complaint form located on the AOTA website under Ethics 2. The Ethics Commission may send a letter educating the person involved about the ethical issue if the person's behavior does not warrant sanctions 3. If the Ethics Commission has determined that unethical conduct has occurred, it may impose sanctions: a. Reprimand: Private letter of reprimand from the Ethics Commission chairperson b. Censure: a public, formal notice of disapproval of the behavior c. Probation of membership subject to terms: Failure to meet terms will subject an AOTA member to any of the disciplinary actions or sanctions d. Suspension of AOTA membership for a predetermined time period e. Permanent revocation of AOTA membership

1. Use the complaint form locate don the NBCOT website 2. When informed of a complaint, NBCOT staff will determine whether an investigation is warranted 3. NBCOT's Qualifications and Compliance Review Committee reviews investigation findings and recommendations for possible disciplinary action 4. If a future or current certificant is found to have violated the NBCOT Candidate/Certificant Code of Conduct, sanctions may be imposed, including: a. Ineligibility for certification b. Reprimand: Formal but private letter of disapproval c. Censure: Public disapproval d. Probation: Continued certification is subject to fulfillment of specific conditions e. Suspension of certification for a specific time period f. Revocation: Permanent lossof certification

Protecting the public, overseeing the ethical and legal practice of OT practitioners in that state, and investigating nay complaints that they may receive

Disciplinary action such as supervision; continuing education on specific topics; monetary fines; educational-type meetings; review of the practitioner's records by a peer; suspension of a state license, certificate, or registration; and revocation of the ability to practice in that state.

1. Ethical temptations 2. Ethical distress 3. Ethical dilemmas

Occur when it is difficult to follow through on a course of action that the person knows is right because he or she is tempted to go against it Ex. If a client is ready to discharge from therapy, but the therapist needs extra money and wants to continue to treat the client

Occurs when it is difficult to follow through on what the person knows is the right course of action because of policies or procedures occurring at the organizational or facility level Ex. A client needs treatment in the evening, but the therapist cannot provide the treatment because the facility is closed when the client wants to come

Occur when it is difficult to identify what the best ethical course of action would be because of conflicts that occur when determining the resolution Ex. The family does not want the client to know that his or her condition is terminal, but the client keeps asking the therapist whether it is or not

1. Determine the type of problem (ethical issue, distress, or dilemma) 2. Identify the specific ethical or legal issues 3. Figure out what facts are known and whether additional information needs to e obtained to determine possible solutions to the problem 4. Determine the people or organizations involved or that may be influenced by the ethical issue and the resolution of the issue (e.g. client, therapist's family, place of employment, coworkers) 5. Formulate possible resolutions to the issue 6. Identify the resources available to assist in resolving the issue (e.g. boss, coworkers, Code of Ethics, laws and regulations) 7. Determine what course of action should be taken and the rationale for taking that action 8. Identify what happens after the course of action is taken and determine whether it was the best course of action to take

1. Reprimand 2. Censure 3. Probation of Membership Subject to terms 4. Suspension 5. Revocation 6. Educative Letters 7. Advisory Opinions 8. Rules of Evidence 9. Confidentiality and Disclosure

A formal expression of disapproval of conduct communicated privately by letter from the EC Chairperson that is nondisclosable and noncommunicative to other bodies (e.g., state regulatory boards [SRBs], National Board for Certification in Occupational Therapy® [NBCOT®]). Reprimand is not publicly reported.

A formal expression of disapproval that is publicly reported.

Continued membership is conditional, depending on fulfillment of specified terms. Failure to meet terms will subject an Association member to any of the disciplinary actions or sanctions. Terms may include but are not limited to a. Remedial activity, applicable to the violation, with proof of satisfactory completion, by a specific date; and b. The corrected behavior which is expected to be maintained. Probation is publicly reported.

Removal of Association membership for a specified period of time. Suspension is publicly reported.

Permanent denial of Association membership. Revocation is publicly reported.

If the EC determines that the alleged conduct may or may not be a true breach of the Code but in any event does not warrant any of the sanctions set forth in Section 1.3. or is not completely in keeping with the aspirational nature of the Code or within the prevailing standards of practice or professionalism, the EC may send a private letter to educate the Respondent about relevant standards of practice and/or appropriate professional behavior. In addition, a different private educative letter, if appropriate, may be sent to the Complainant.

The EC may issue general advisory opinions on ethical issues to inform and educate the Association membership. These opinions shall be publicized to the membership and are available in the Reference Guide to the Occupational Therapy Code of Ethics as well as on the Association website.

The EC proceedings shall be conducted in accordance with fundamental fairness. However, formal rules of evidence that are used in legal proceedings do not apply to these Enforcement Procedures. The Disciplinary Council (see Section 5) and the Appeal Panel (see Section 6) can consider any evidence that they deem appropriate and pertinent.

The EC develops and adheres to strict rules of confidentiality in every aspect of its work. This requires that participants in the process refrain from any communication relating to the existence and subject matter of the complaint other than with those directly involved in the enforcement process. Maintaining confidentiality throughout the investigation and enforcement process of a formal ethics complaint is essential in order to ensure fairness to all parties involved. These rules of confidentiality pertain not only to the EC but also apply to others involved in the complaint process. Beginning with the EC Staff Liaison and support staff, strict rules of confidentiality are followed. These same rules of confidentiality apply to Complainants, Respondents and their attorneys, and witnesses involved with the EC's investigatory process. Due diligence must be exercised by everyone involved in the investigation to avoid compromising the confidential nature of the process. Any Association member who breaches these rules of confidentiality may become subject to an ethics complaint/investigatory process himself or herself. Non-Association members may lodge an ethics complaint against an Association member, and these individuals are still expected to adhere to the Association's confidentiality rules. The Association reserves the right to take appropriate action against non-Association members who violate confidentiality rules, including notification of their appropriate licensure boards.

Individuals who file a complaint

When the EC investigates a complaint, it may request information from a variety of sources. The process of obtaining additional information is carefully executed in order to maintain confidentiality. The EC may request information from a variety of sources, including state licensing agencies, academic councils, courts, employers, and other persons and entities. It is within the EC's purview to determine what disclosures are appropriate for particular parties in order to effectively implement its investigatory obligations. Public sanctions by the EC, Disciplinary Council, or Appeal Panel will be publicized as provided in these Enforcement Procedures. Normally, the EC does not disclose information or documentation reviewed in the course of an investigation unless the EC determines that disclosure is necessary to obtain additional, relevant evidence or to administer the ethics process or is legally required.

EC itself initiates a complaint

Where the source of a sua sponte complaint is the findings and conclusions of another official body, the EC classifies such sua sponte complaints as de jure