201 KAR 28:140. Code of ethics and
unprofessional conduct.
RELATES
TO: KRS 319A.160, 319A.190
STATUTORY
AUTHORITY: KRS 319A.070(1), (3), 319A.190
NECESSITY,
FUNCTION, AND CONFORMITY: KRS 319A.070(3)(a) authorizes the board to promulgate
administrative regulations and administer the provisions of KRS Chapter 319A. KRS
Chapter 319A provides for the denial, refusal to renew, suspension, revocation,
or imposition of probationary conditions upon a license for various violations
of the Act and violation of the administrative regulations promulgated pursuant
thereto. This administrative regulation sets forth a description of the code of
ethics and unprofessional conduct.
Section
1. The following code of ethics consists of general guidelines for occupational
therapy practice. The code of ethics shall be as established in this section.
(1)
An OT/L or an OTA/L shall be responsible for providing services without regard
to race, creed, national origin, sex, age, handicap, disease, social status,
financial status, or religious affiliation.
(2)
An OT/L or an OTA/L shall be acquainted with applicable local, state, federal,
and institutional rules and shall function accordingly.
(3)
An OT/L or an OTA/L shall be responsible for informing employers, employees,
and colleagues about those laws and policies that apply to the profession of
occupational therapy.
(4)
An OT/L or an OTA/L shall not use or participate in the use of any form of
communication that contains a false, fraudulent, deceptive, or unfair statement
or claim.
(5)
An OT/L or an OTA/L shall report any illegal, incompetent, or unethical practice
to the appropriate authority.
(6)
An OT/L or an OTA/L shall hold the appropriate credentials for providing
service.
(7)
An OT/L or an OTA/L shall actively maintain high standards of professional
competence.
(8)
An OT/L or an OTA/L shall function within the parameters of his or her competence
and the standards of the profession.
(9)
An OT/L or an OTA/L shall accurately represent his or her competence and
training to the public.
(10)
An OT/L or an OTA/L shall refer clients to other service providers or consult
with other service providers when additional knowledge and expertise is
required.
(11)
An OT/L or an OTA/L shall protect the confidential nature of information gained
from educational, practice, and investigational activities unless sharing the
information is necessary to protect the well-being of a third party.
(12)
An OT/L or an OTA/L shall not disclose privileged information when
participating in reviews of peers, programs, or systems.
(13)
An OT/L or an OTA/L shall include those people served in the intervention
planning process.
(14)
An OT/L or an OTA/L shall maintain goal-directed and objective relationships
with all people served.
(15)
An OT/L or an OTA/L shall accurately record and report client information.
(16)
An OT/L or an OTA/L shall inform those people served of the nature and
potential outcomes of therapy and shall respect the right of potential
recipients of service to refuse therapy.
(17)
An OT/L or an OTA/L shall inform subjects involved in education or research
activities of the potential outcome of those activities.
(18)
An OT/L or an OTA/L shall take all reasonable precautions to avoid harm to the
recipient of services or detriment to the recipient's property.
(19)
An OT/L or an OTA/L shall establish fees, based on cost analysis, that are commensurate
with services rendered.
(20)
An OT/L or an OTA/L shall require those whom they supervise to adhere to ethical
standards of conduct.
(21)
An OT/L or an OTA/L who employs or supervises colleagues shall provide
appropriate supervision as required by 201 KAR 28:130.
(22)
An OT/L or an OTA/L shall recognize the contributions of colleagues when
disseminating professional information.
Section
2. Failure to comply with any of the provisions in this section shall
constitute unprofessional conduct in the practice of occupational therapy.
(1)
An OT/L or an OTA/L shall report to the board any violation of KRS Chapter 319A
or 201 KAR Chapter 28.
(2)
An OT/L or an OTA/L shall report a change of name or address to the board
within thirty (30) days after a change of name or address occurs.
(3)
An OT/L or an OTA/L shall notify the board within thirty (30) days after being
adjudged guilty of malpractice by a court of competent jurisdiction.
(4)
An OT/L or an OTA/L shall comply with any subpoena issued by the board.
(5)
An OT/L or an OTA/L shall not permit another person to use his or her license
for any purpose.
(6)
An OT/L or an OTA/L shall not delegate to an unlicensed employee or person a
service which requires the skill, knowledge, or judgment of an OT/L or an
OTA/L.
(7)
An OT/L or an OTA/L shall inform the referring source when any requested
occupational therapy service is contraindicated, in the professional judgment
of the licensee, and may refuse to carry out that request.
(8)
An OT/L shall competently provide the following minimum services:
(a)
Proper interpretation of all referrals;
(b)
Proper client evaluations;
(c)
The identification and documentation of the client’s problems and goals;
(d)
The identification and documentation of an intervention plan;
(e)
The appropriate occupational therapy services called for by the plan of care;
(f)
A determination of the appropriate portions of the therapy program to be
delegated to assistive personnel;
(g)
A determination of the assistive personnel’s qualifications by training,
experience, license, or certification to perform tasks before delegating those
tasks;
(h)
The appropriate supervision of individuals as required by 201 KAR 28:130;
(i)
Timely client reevaluations; and
(j)
Maintain timely and adequate client records of all occupational therapy
activity and client response.
(9)
An OTA/L shall competently provide the following minimum services as
appropriate:
(a)
Seek appropriate supervision as required by 201 KAR 28:130;
(b)
The appropriate therapy called for by the intervention plan;
(c)
A determination of the appropriate portions of the therapy program to be
delegated to assistive personnel;
(d)
A determination of the assistive personnel’s qualifications by training,
experience, license, or certification to perform tasks before delegating those
tasks;
(e)
The appropriate supervision of individuals as required by 201 KAR 28:130; and
(f)
Maintain timely and adequate client records of all occupational therapy
activity and client response.
(10)(a)
An OT/L or an OTA/L shall not provide occupational therapy services in an
incompetent manner.
(b)
Incompetent practice includes:
1.
A lack of the knowledge, judgment, or skill necessary to perform those
modalities, methods, and techniques that come within the practice of
occupational therapy;
2.
A deviation below the standard of practice ordinarily possessed and applied by
other OT/Ls and OTA/Ls in the Commonwealth of Kentucky acting in the same or
similar circumstances; or
3.
A willful or repeated departure from or the failure to conform to the minimal
standard of acceptable and prevailing practice of occupational therapy in the Commonwealth
of Kentucky.
(11)
An OT/L or an OTA/L shall address goals identified in the evaluation and
intervention plan.
(12)
An OT/L or an OTA/L shall not continue occupational therapy services beyond the
point of possible benefit to the client or provide therapy to the client more
frequently than necessary to obtain the maximum therapeutic effect.
(13)
An OT/L or an OTA/L shall not engage in false or misleading advertising,
betrayal of a professional confidence, or falsification of a client's records.
(14)(a)
An OT/L or an OTA/L shall not seek to obtain payment of a professional fee or
compensation of any form through fraudulent means.
(b)
Seeking payment or compensation through fraudulent means includes:
1.
Reporting incorrect service dates for the purpose of obtaining payment;
2.
Reporting charges for services not actually rendered other than unkept
appointments;
3.
Incorrectly reporting services rendered for the purpose of obtaining payment which
is greater than that to which the licensee or the licensee’s employer is
entitled;
4.
Aiding a recipient of services in fraudulently obtaining payment from a third party;
or
5.
Otherwise falsifying a record for the purpose of obtaining a payment.
(15)
An OT/L or an OTA/L shall not directly or indirectly request, receive, or
participate in the dividing, transferring, assigning, rebating, or refunding of
an unearned fee or profit by means of a credit or other valuable consideration
as an unearned commission, discount, or gratuity in connection with the
furnishing of occupational therapy services.
(16)
An OT/L or an OTA/L shall not abuse alcohol or any controlled substance which
affects the licensee's ability to engage in the practice of occupational
therapy in a safe and competent manner.
(17)
An OT/L or an OTA/L shall not verbally or physically abuse a client.
(18)(a)
An OT/L or an OTA/L shall not engage in acts of sexual misconduct with
recipients of their services or in their presence.
(b)
Sexual misconduct includes:
1.
Engaging in or soliciting a sexual relationship, whether consensual or
nonconsensual; or
2.
Making sexual advances, requesting sexual favors, or engaging in other verbal conduct,
physical contact, or acts of a sexual nature. (13 Ky.R. 1189; eff. 1-13-1987; Am. 15
Ky.R. 1288; eff. 1-7-1989; 20 Ky.R. 1062; 1857; 2325; eff. 2-10-1994; 30 Ky.R.
87; 854; eff. 10-15-2003; 41 Ky.R. 1432; 2077; eff. 5-1-2015.)
