Ohio Administrative Code
Title 4783 - Behavior Analysts
Chapter 4783-7 - Disciplinary Action
Section 4783-7-01 - General rules of professional conduct pursuant to section 4783.09 of the Revised Code
Universal Citation: OH Admin Code 4783-7-01
Current through all regulations passed and filed through September 16, 2024
(A) General considerations:
(1) Purpose. The rules of professional
conduct constitute the standards against which the required professional
conduct of a certified Ohio behavior analyst is measured.
(2) Scope. The rules of professional conduct
shall apply to the conduct of all certified Ohio behavior analysts, including
the applicant's conduct during the period of any education, training or
employment that is required for certification. The term "certified Ohio
behavior analyst" as used within these rules of professional conduct, shall be
interpreted accordingly, whenever applied behavior analysis is being provided
in any context.
(3) Violations. A
violation of the rules of professional conduct constitutes unprofessional
conduct and is sufficient reason for a reprimand, suspension or revocation of a
certificate, or denial of either original certification or request for
reinstatement of certification.
(4)
Aids to interpretation. Ethics codes and standards for providers promulgated by
the "Behavior Analyst Certification Board" the "American Psychological
Association," and other relevant professional groups shall be used as aids in
resolving ambiguities that may arise in the interpretation of the rules of
professional conduct, except that these rules of professional conduct shall
prevail whenever any conflict exists between these rules and any professional
association or certification board standard.
(5) A certified Ohio behavior analyst, or an
applicant for certification, shall provide a written response within a
reasonable period of time not to exceed sixty days to any written inquiry,
regarding compliance with law or rule, received from the
board.
(B) Negligence:
(1) A certified Ohio behavior analyst shall
be considered negligent if his/her behaviors toward his/her clients,
supervisees, service recipients, employees, or
students, in the judgment of the board, clearly fall
below the standards for acceptable practice of applied behavior
analysis.
(2) Misrepresentation of
qualifications. The certified Ohio behavior analyst shall not misrepresent
directly or by implication his/her professional qualifications.
(3) Misrepresentation of affiliations. The
certified Ohio behavior analyst shall not misrepresent directly or by
implication his/her affiliations or the purposes or characteristics of
institutions and organizations with which the certified Ohio behavior analyst
is associated.
(4) A certified Ohio
behavior analyst shall not request or authorize any client to solicit business
on behalf of the certified Ohio behavior analyst.
(5) A certified Ohio behavior analyst
associated with the development, promotion, or sale of psychological devices,
books, or other products shall ensure that such devices, books, or products are
not misrepresented as to qualities, performance or results to be obtained from
their use.
(6) Maintenance and
retention of records.
(a) A certified Ohio
behavior analyst providing applied behavior analysis services to a client, or
services billed to a third-party payer, shall maintain a professional record
that includes:
(i) The presenting problem,
including any relevant diagnosis and any recommendation for applied behavior
analysis services rendered by a licensed professional.
(ii) The date(s) and purpose of each service
contact.
(iii) The fee
arrangement.
(iv) The treatment
plan and the functional assessment on which the behavior plan is
based.
(v) The data collected to
ascertain the efficacy of the applied behavior analysis and any subsequent
modifications of the plan.
(vi)
Notation and results of formal contacts with other providers, and
(vii) Authorizations, if any, by the client
for release of records or information.
(b) To meet the requirements of these rules,
but not necessarily for other legal purposes, the certified Ohio behavior
analyst shall ensure that each dated entry in the professional record is
maintained for a period of not less than
seven years
after the last date of service rendered, or not less than the length of time
required by other regulations if that is longer. A license holder shall retain records documenting services
rendered to minors for not less than two years after the minor has reached the
age of majority or for seven years after the last date of service, whichever is
longer.
(c) A certified Ohio
behavior analyst shall store and dispose of written, electronic, and other
records of clients in such a manner as to ensure their
confidentiality.
(d) In the event a
complaint has been filed, a certified Ohio behavior analyst shall provide the
original or a full copy of the client file or other client-identifiable
documents to the board upon request, provided that the request is accompanied
by a copy of a release signed by the client.
(C) Welfare of the client:
(1) Identification of the client: The term
client is broadly applicable to whomever the certified Ohio behavior analyst
provides services whether an individual person (service recipient), parent or
guardian of a service recipient, an institutional representative or a public or
private agency, firm or corporation.
(a) When
the service recipient is not the primary client, the certified Ohio behavior
analyst retains responsibility for the welfare of the service
recipient.
(b) When there is a
conflict of interest between the service recipient, the client, the
institution, agency firm or corporation, the certified Ohio behavior analyst
shall clarify the nature and direction of his/her loyalties and
responsibilities and keep all parties concerned informed of his/her
commitments.
(2)
Sufficient professional information. Certified Ohio behavior analysts rely on
scientifically and professionally derived knowledge when engaging in the
practice of applied behavior analysis.
(a) The
certified Ohio behavior analyst conducts a functional assessment, as defined
below, to provide the necessary data to develop an effective behavior change
program for a client or service recipient.
(b) Functional assessment includes a variety
of systematic information-gathering activities regarding factors influencing
the occurrence of a behavior (e.g. antecedents, consequences, setting events,
motivating operations) including interview, direct observation and experimental
analysis.
(3) Informed
client. When certified Ohio behavior analysts provide assessment, evaluation,
treatment, supervision, teaching, consultation, research, or other behavior
analytic services to an individual, group, or an organization, they use
language that is fully understandable to the recipient of those services and/or
to those responsible for the care of the individual service recipient.
(a) Certified Ohio behavior analysts provide
appropriate information prior to service delivery about the nature of such
services and appropriate information about results and conclusions.
(b) The client must be provided on request an
accurate, current set of the certified Ohio behavior analyst's
credentials.
(c) Clients must be
informed of their rights and about procedures to complain about professional
practices of the certified Ohio behavior analyst.
(4) Informed choice: A certified Ohio
behavior analyst shall afford each client informed choice and reasonable
protection from physical or mental harm or danger.
(a) Clients have a right to effective
treatment (i.e., based on the research literature and adapted to the individual
client).
(b) Clients have the right
to have the treatment plan explained clearly in terms appropriate to their
understanding and to be informed about alternative treatments.
(c) The certified Ohio behavior analyst
explains treatment plan modifications and the reasons for the modifications to
the client and obtains and documents consent to implement the
modifications.
(d) The certified
Ohio behavior analyst informs each client of the environmental conditions that
are necessary for the treatment plan to be effective.
(i) If environmental conditions preclude
implementation of a treatment plan, the behavior analyst recommends that other
professional assistance (i.e., assessment, consultation or therapeutic
intervention by other professionals) be sought.
(ii) If environmental conditions hamper
implementation of the treatment plan, the behavior analyst seeks to eliminate
the environmental constraints, or identifies in writing the obstacles to doing
so.
(e) The certified
Ohio behavior analyst reviews and appraises the restrictiveness of alternative
interventions and always recommends the least restrictive procedures likely to
be effective in dealing with a behavior problem.
(f) The certified Ohio behavior analyst
establishes understandable, objective, and measurable criteria for the
termination of the treatment plan and describes them to the client or service
recipient.
(g) The certified Ohio
behavior analyst must obtain the client's approval of the treatment plan
procedures in writing before implementing them.
(5) Stereotypes. A certified Ohio behavior
analyst shall not impose on a client any stereotypes of behavior, values, or
roles related to age, gender, religion, race, disability, nationality, or
sexual orientation that would interfere with the objective provision of
services to the client.
(6)
Termination. A certified Ohio behavior analyst shall terminate a professional
relationship when it is reasonably clear that the client is not benefiting from
the relationship and shall make referrals to other services when
appropriate.
(7) Referral. A
certified Ohio behavior analyst shall make an appropriate referral of a client
to another professional when requested to do so by the client.
(8) Practicing while impaired. A certified
Ohio behavior analyst shall not undertake or continue a professional role when
the judgment, competence and/or objectivity of the certified Ohio behavior
analyst is impaired due to mental, emotional, physiological, pharmacological or
substance abuse conditions. If impaired judgment, competence and/or objectivity
develops after a professional role has been initiated, the certified Ohio
behavior analyst shall terminate the professional role in an appropriate
manner, shall notify the client or other relevant parties of the termination in
writing and shall assist the client, supervisee, or service recipient in
obtaining appropriate services from another professional.
(9) Continuity of care.
(a) A certified Ohio behavior analyst shall
make arrangements for another appropriate professional to deal with the
emergency needs of his/ her clients during periods of foreseeable absence from
professional availability.
(b) A
certified Ohio behavior analyst makes reasonable efforts to plan for continuity
of care in the event that services are interrupted by factors such as the
certificate holder's illness, unavailability, relocation, or death or the
client's relocation or financial limitations.
(c) A certified Ohio behavior analyst
entering into employment or contractual relationships shall make reasonable
efforts to provide for orderly and appropriate resolution of responsibility for
client care in the event that the employment or contractual relationship ends,
with paramount consideration being given to the welfare of the
client.
(D) Remuneration:
(1) Financial arrangements:
(a) All financial arrangements shall be
provided in writing to each client in advance of billing, preferably within the
initial session but no later than the end of the second contact.
(b) A certified Ohio behavior analyst shall
not mislead or withhold from any client, prospective client or third-party
payer, information about the cost of his/her professional services.
(c) A certified Ohio behavior analyst shall
not exploit a client or responsible payer by charging a fee that is excessive
for the services performed or by entering into an exploitative bartering
arrangement in lieu of a fee.
(d)
The primary obligation of a certified Ohio behavior analyst employed by an
institution, agency, or school is to persons entitled to his/her services
through the institution, agency or school. A certified Ohio behavior analyst
shall not accept a private fee or any other form of remuneration from such
persons unless the policies of a particular institution agency or school make
explicit provision for private work with its clients by members of its staff.
In such instances the client shall be fully apprised of available services and
all policies affecting him/her, prior to entering into a private professional
relationship with a certified Ohio behavior analyst.
(2) Improper financial arrangements:
(a) A certified Ohio behavior analyst shall
neither derive nor solicit any form of monetary profit or personal gain as a
result of his/her professional relationship with clients or immediate
ex-clients, beyond the payment of fees for services rendered. However,
unsolicited token gifts from a client are permissible.
(b) A certified Ohio behavior analyst shall
not use his/her professional relationship with clients or immediate ex-clients
to derive personal gain, other than through fees for professional services, for
himself/herself, or for any other person, or for any organization from the sale
or promotion of a non-applied behavior analysis related product or
service.
(c) A certified Ohio
behavior analyst shall neither give nor receive any commission, rebate or other
form of remuneration for referral of a client for professional services,
without full disclosure in advance to the client of the terms of such an
agreement.
(d) A certified Ohio
behavior analyst shall not bill for services that are not rendered. However,
he/she may bill for missed appointments that the client did not cancel in
advance, if the client has previously received notice of this
responsibility.
(E) Multiple relationships. A multiple relationship exists when a certified Ohio behavior analyst is in a professional role and is in another relationship with the same person or entity or with an individual closely associated with the person or entity. Depending on the timing and nature of one's interactions before or after then establishment of a professional role, multiple relationships can result in exploitation of others, impaired judgment by clients, supervises and service recipients and/or impaired judgment competence and objectivity of the certified Ohio behavior analyst. Certified Ohio behavior analysts actively identify and manage interpersonal boundaries to ensure that there is not exploitation of others and that professional judgment, competence and objectivity with one' s professional role is not compromised.
(1) In some communities
and situations, unavoidable interpersonal contacts can occur due to cultural,
linguistic, or geographical considerations. For purposes of this rule,
incidental contacts in the personal life of a certified Ohio behavior analyst
are not relationships.
(2)
Prohibited multiple relationships. The board prescribes that certain multiple
relationships are expressly prohibited due to inherent risks of exploitation,
impaired judgment by clients and persons closely associated with clients, and
supervisees, and/or impaired judgment, competence or objectivity of the
certified Ohio behavior analyst.
(a) A
certified Ohio behavior analyst shall not:
(i)
Undertake a professional relationship with persons with whom he/she has engaged
in sexual intercourse or other sexual intimacies; or
(ii) Undertake a professional relationship
with persons with whom he/ she has had a familial, personal, social,
supervisory, employment, or other relationship, and there is resulting:
exploitation of the person; or, impaired judgment, competence, and/or
objectivity in the performance of one's functions as a certified Ohio behavior
analyst.
(b) A certified
Ohio behavior analyst shall not:
(i) Engage in
sexual intercourse or other sexual intimacies; or, verbal or nonverbal conduct
that is sexual in nature with any current client, any person closely associated
with a current client, or supervisee; or
(ii) Establish any personal, financial,
employment, or other relationship with any current client, any person closely
associated with a current client, or supervisee and there is resulting:
exploitation of the person; or, impaired judgment, competence, and/or
objectivity in the performance of one's functions as a certified Ohio behavior
analyst.
(c) A certified
Ohio behavior analyst shall not:
(i) Engage in
sexual intercourse or other sexual intimacies; or, verbal or nonverbal conduct
that is sexual in nature with any person with whom there has been a
professional relationship at any time within the previous twenty-four months;
or
(ii) Enter into any personal,
financial, employment or other relationship (other than reestablishing a
professional relationship) with any person with whom there has been a
professional relationship at any time within the previous twenty-four months
and there is resulting: exploitation of the person; or, impaired judgment,
competence, and/ or objectivity in the performance of one's functions as a
certified Ohio behavior analyst.
(d) A certified Ohio behavior analyst shall
not terminate or interrupt a professional role with any person for the purpose,
expressed or implied, of entering into a sexual, personal, or financial
relationship with that person or any individual closely associated with that
person.
(e) The prohibitions
established in paragraphs (E)(2)(b) and (E)(2)(c) of this rule extend
indefinitely beyond twenty-four months after termination of the professional
relationship if the person, secondary to emotional, mental, or cognitive
impairment, remains vulnerable to exploitative influence.
(F) Assessment:
(1) Certified Ohio behavior analysts'
assessments, recommendations, reports, and evaluative statements are based on
information and techniques sufficient to provide appropriate substantiation for
their findings.
(2) Certified Ohio
behavior analysts refrain from misuse of assessment techniques, interventions,
results, and interpretations and take reasonable steps to prevent others from
misusing the information these techniques provide.
(3) Certified Ohio behavior analysts
recognize limits to the certainty with which judgments or predictions can be
made about individuals.
(4)
Certified Ohio behavior analysts do not promote the use of behavioral
assessment techniques by unqualified persons, i.e., those who are unsupervised
by experienced professionals and have not demonstrated valid and reliable
assessment skills.
(5) Certified
Ohio behavior analyst must obtain the client's approval in writing of the
behavior assessment procedures before implementing them.
(6) Certified Ohio behavior analysts conduct
a functional assessment, as defined in paragraph (O) of 4783-3-01 of the
Administrative Code, to provide the necessary data to develop an effective
treatment plan.
(7) Unless the
nature of the relationship is clearly explained to the person being assessed in
advance and precludes provision of an explanation of results (such as in some
organizational consultation, some screenings, and forensic evaluations),
certified Ohio behavior analysts ensure that an explanation of the results is
provided using language that is reasonably understandable to the person
assessed or to another legally authorized person on behalf of the client.
Regardless of whether the interpretation is done by the certified Ohio behavior
analyst, or by supervisees, behavior analysts take reasonable steps to ensure
that appropriate explanations of results are given.
(G) Confidentiality:
(1) Confidential information is information
revealed by an individual or individuals or otherwise obtained by a certified
Ohio behavior analyst, when there is reasonable expectation that it was
revealed or obtained as a result of the professional relationship between the
individual(s) and the certified Ohio behavior analyst. Such information is not
to be disclosed by certified Ohio behavior analyst without the informed consent
of the individual(s).
(a) When rendering
behavior analysis services as part of a team or when interacting with other
appropriate professionals concerning the welfare of a client, a certified Ohio
behavior analyst may share confidential information about the client provided
that reasonable steps are taken to ensure that all persons receiving the
information are informed about the confidential nature of the information being
shared and agree to abide by the rules of confidentiality.
(b) When any case report or other
confidential information is used as the basis of teaching, research, or other
published reports, a certified Ohio behavior analyst shall exercise reasonable
care to ensure that the reported material is appropriately disguised to prevent
client or subject identification.
(c) A certified Ohio behavior analyst shall
ensure that no interview or therapeutic interventions with a client are
observed or electronically recorded without first informing the client or the
client's guardian and, where the sensitivity of the material requires it,
obtaining written consent from same.
(d) A certified Ohio behavior analyst shall
limit access to client records and shall ensure that all persons working under
his/her authority comply with the requirements for confidentiality of client
material.
(e) A certified Ohio
behavior analyst shall continue to treat all information regarding a client as
confidential after the professional relationship between the certified Ohio
behavior analyst and the client has ceased.
(f) In a situation in which more than one
party has an appropriate interest in the professional services rendered by a
certified Ohio behavior analyst to a client, the certified Ohio behavior
analyst shall, to the extent possible, clarify to all parties the dimensions of
confidentiality and professional responsibility that shall pertain in the
rendering of services.
(i) Such clarification
is specifically indicated, among other circumstances, when the client is an
organization or when the client has been referred by a third party.
(ii) In accord with paragraphs (C)(3) and
(F)(7) of this rule, a certified Ohio behavior analyst shall clarify with the
individual receiving services because of a third-party referral whether, and
under what conditions-including costs, information or feedback will be provided
to the individual, or the individual(s) responsible for the care of the
individual receiving those services.
(2) Protecting confidentiality of clients. In
accordance with division (B) of section
4783.03 of the
Revised Code, the confidential relations and communications between a certified
Ohio behavior analyst and clients are placed under the same umbrella of a
privilege as those between physician and patient under division (B) of section
2317.02
of the Revised Code. The privilege is intended to protect the interest of the
client by encouraging free disclosure to the certified Ohio behavior analyst
and by preventing such free disclosure to others. Thus, the client rather than
the certified Ohio behavior analyst holds and may assert the privilege.
(a) A certified Ohio behavior analyst shall
not testify concerning a communication made to him/her by a client. The
certified Ohio behavior analyst may testify by express consent of the client or
legal guardian or, if the client is deceased, by the express consent of the
surviving spouse or the executor or administrator of the estate of such
deceased client. If the client voluntarily testifies, certified Ohio behavior
analysts may be compelled to testify on the same subject; or if the client, the
executor or administrator files a claim against the certified Ohio behavior
analyst, such filing shall constitute a waiver of this privilege with regard to
the care and treatment of which complaint is made.
(b) Court decisions construing the scope of
the physician-patient privilege, pursuant to section
2317.02
of the Revised Code, are applicable to this privilege between certified Ohio
behavior analyst and the client.
(c) A certified Ohio behavior analyst may
disclose confidential information without the informed written consent of a
client when the certified Ohio behavior analyst judges that disclosure is
necessary to protect against a clear and substantial risk of imminent serious
harm being inflicted by the client on himself/herself or on another person. In
such case, the certified Ohio behavior analyst may disclose the confidential
information only to appropriate public authorities, the potential victim,
professional workers, and/or the family of the client.
(d) A certified Ohio behavior analyst shall
safeguard the confidential information obtained in the course of practice,
teaching, research, or other professional duties. With the exceptions as
required or permitted by statute, a certified Ohio behavior analyst shall
disclose confidential information to others only with the informed written
consent of the client.
(e) At the
beginning of a professional relationship a certified Ohio behavior analyst
shall inform his/her client of the legal limits of confidentiality. To the
extent that the client can understand, the certified Ohio behavior analyst
shall inform a client who is below the age of majority or who has a legal
guardian of the limit the law imposes on the right of confidentiality. When
services are provided to more than one patient or client during a joint session
(for example to a family or couple, or parent and child, or group), a certified
Ohio behavior analyst shall, at the beginning of the professional relationship,
clarify to all parties the limits of confidentiality.
(f) A certified Ohio behavior analyst may
release confidential information upon court order or to conform to state or
federal laws, rules, or regulations.
(g) A certified Ohio behavior analyst shall
comply with any relevant law concerning the reporting of abuse of children or
vulnerable adults.
(H) Competence:
(1) Limits on practice: A certified Ohio
behavior analyst provides services only within the boundaries of his/her
competence, based on education, training and supervised experience. The
practice of applied behavior analysis does not include psychological testing,
diagnosis of a mental or physical disorder, neuropsychology, psychotherapy,
cognitive therapy, sex therapy, psychoanalysis, hypnotherapy, and long-term
counseling as treatment modalities.
(2) Maintaining competence: A certified Ohio
behavior analyst shall maintain current competency in the areas in which he/she
practices, through continuing education, consultation and/or other training, in
conformance with current standards of scientific and professional
knowledge.
(3) Referrals. A
certified Ohio behavior analyst shall make or recommend referral to other
professional resources when such referral is in the best interests of the
client.
(4)
Interprofessional relations:
(a) A certified Ohio behavior analyst shall
neither establish nor offer to establish a continuing professional relationship
with a client receiving behavior analysis services from another professional,
except with the knowledge of the other professional.
(b) A certified Ohio behavior analyst shall
cooperate with other professionals in order to serve his/her clients.
(I) Violations of law:
(1) Violation of applicable statutes. A
certified Ohio behavior analyst shall not violate any applicable statute or
administrative rule regulating the practice of applied behavior
analysis.
(2) Use of fraud,
misrepresentation, or deception. A certified Ohio behavior analyst shall not
use fraud, misrepresentation, or deception in obtaining a certified Ohio
behavior analyst certificate, in engaging in any examination process required
for certification, in assisting another to obtain a certified Ohio behavior
analyst certificate, in billing clients or third-party payers, in providing
applied behavior analysis services, in reporting the results of those services,
or in conducting any other activity related to the practice of applied behavior
analysis.
(J) Aiding illegal practice:
(1) Aiding unauthorized
practice. A certified Ohio behavior analyst shall not aid or abet another
person in misrepresenting his/her professional credentials or in illegally
engaging in the practice of applied behavior analysis.
(2) Delegating professional responsibility. A
certified Ohio behavior analyst shall not delegate professional
responsibilities to a person not qualified and/or not appropriately
credentialed to provide such services.
(3) Providing supervision. A certified Ohio
behavior analyst shall exercise appropriate supervision over supervisees, as
set forth in the rules of the board.
(4) Reporting of violations to board. A
certified Ohio behavior analyst who has substantial reason to believe that
another certified Ohio behavior analyst or supervisee has committed an apparent
violation of the statutes or rules of the board that has substantially harmed
or is likely to substantially harm a person or organization shall so inform the
board in writing; however, when the information regarding such violation is
obtained in a professional relationship with a client, the certified Ohio
behavior analyst shall report it only with the written permission of the
client. Under such circumstances certified Ohio behavior analyst shall advise
the client of the name, address, and telephone number of the state board of
psychology and of the client's right to file a complaint. The certified Ohio
behavior analyst shall make reasonable efforts to guide and/or facilitate the
client in the complaint process as needed or requested by the client. Nothing
in this rule shall relieve a certified Ohio behavior analyst from the duty to
file any report required by applicable statutes.
(K) Supervision rules. Rules 4783-6-01 and 4783-6-02 of the Administrative Code, pertaining to supervision of persons working directly under the authority and direction of the certified Ohio behavior analyst, shall be considered as a part of these rules of professional conduct.
Effective: 3/21/2022
Five Year
Review (FYR) Dates: 3/25/2024
Promulgated Under:
119.03
Statutory Authority:
4783.03
Rule Amplifies:
4783.09
Prior Effective Dates: 01/23/2014 (Emer.),
04/07/2014
Disclaimer: These regulations may not be the most recent version. Ohio may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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