Transcript Standards of Ethical Conduct of the

Ethics and Youth Rights
The Consciousness of Youth Rights
• COOK COUNTY, ILLINOIS, 1899 - FIRST
JUVENILE SYSTEM
– BASED ON ENGLISH SYSTEM
– TREAT CHILDREN DIFFERENTLY THAN ADULTS
– REHABILITATIVE NOT PUNITIVE
• LEGAL SAFEGUARDS UNNECESSARY SINCE NOT
•
A PUNITIVE SYSTEM
DUE TO REHABILITATIVE NATURE, A. BROADER
BASE OF NEGATIVE BEHAVIORS WERE
CONSIDERED
The Consciousness of Youth Rights
• EARLY 1900's SOCIETY'S ATTITUDE CHANGED
• YOUTH BEGAN TO BE PLACED IN JAILS AND
•
DETENTION TO AWAIT DISPOSITION
1960's REALIZED A MAJOR CONTRAST TO ORIGINAL
IDEALS
– NO LEGAL PROTECTION SIMILAR TO ADULTS
– NO REAL REHABILITATIVE TREATMENT
• YOUTH RIGHTS ISSUE EXPLODED INTO SOCIETY'S
CONSCIOUSNESS RESIDENTIAL TREATMENT
PROGRAMS BECAME THE ALTERNATIVE
Rights Vs Privileges
• A RIGHT IS DISTINGUISHED FROM A
PRIVILEGE IN THAT IT IS NEVER
SOMETHING A YOUTH CAN EARN OR
LOSE.
• A PRIVILEGE (SNACKS, GOING TO A
SHOW, ETC.) CAN BE EARNED
DEPENDENT UPON BEHAVIOR.
Children's Rights When Violated
• Staff Person Didn't Know Better
• Unaware of Existing Laws, Regulations
• Staff Was Not Trained or Prepared
Basic Rights
• MINIMUM REQUIREMENTS FOR CHILD LIVING IN A FACILITY
• THE RIGHTS ARE NOT TO BE CONSIDERED PRIVILEGES TO
BE CONTINGENT UPON APPROPRIATE OR INAPPROPRIATE
BEHAVIORS:
–
–
–
–
–
–
–
–
–
Room equipped with sufficient lighting
Clothing to meet seasonal needs
Access to clean bedding
Personal hygiene items (toothbrush, soap, daily shower, etc.)
Daily change of underwear and socks
Writing materials
Necessary medical treatment (also includes eyeglasses, etc.)
Access to books, magazines
General correspondence privileges,
–
–
–
–
–
–
–
–
–
Religion - right to attend or not attend religious services
Three nutritious meals a day
Receiving and sending of mail
•
•
•
Outgoing mail not censored
Incoming mail inspected in presence of child for contraband
Censorship of incoming mail condoned if done for a specified
Education must be provided
Parents and foster parents right to visit and telephone
Unrestricted access to child by attorney
Ability to retain personal property (consistent with treatment)
Opportunities to exercise
Appropriate interaction with opposite sex.
Children’s Right do Include:
• Right to treatment
• Least restrictive alternative
• Individual treatment plans
• Staff with training
Emotional and serious behavior problems
which can lead to youth rights violations
•
•
•
•
•
•
•
Verbal and Physical Aggression Against Staff
Verbal and Physical Aggression Against Peers
Property Damage
Self Inflicted Injury
Total Refusal to Comply with Rules
Chronic Violations
Natural Children Issues
Physical Restraint
• Potential of Extreme Harm to Self
• Potential of Extreme Harm to Others
• Extensive Property Destruction
Behavior control procedures,
violating youth rights
• CORPORAL PUNISHMENT
• SECLUSION and ISOLATION
• PHYSICAL RESTRAINT
• FOOD RESTRICTION
• FORCED WORK
• FORCED MEDICATION
Confidentiality
• MUST MAINTAIN CONFIDENTIALITY OF ANY INFORMATION RECEIVED IN
CONFIDENCE.
– INFORMATION ONLY DISCUSSED WITH PERSONS CONCERNED WITH CASE.
– INFORMATION ONLY DISCUSSED FOR PROFESSIONAL PURPOSES.
• REPORTS, RECORDS-AND OTHER INFORMATION MAINTAINED SECURELY.
• MUST INSURE THAT CONFIDENTIALITY IS MAINTAINED BY ALL.
• CONFIDENTIAL INFORMATION REVEALED ONLY IF:
– INDIVIDUAL HAS GIVEN CONSENT
– CLEAR AND IMMINENT DANGER
– LEGAL COMPULSION
• MUST INFORM CONSUMERS OF:
– THEIR RIGHT TO CONFIDENTIALITY
– THE LIMITS OF CONFIDENTIALITY
– THE POTENTIAL RISKS
Ethics in Practical Application
• "Basic rights" is a term used to cover a wide variety of client rights that can
•
•
•
•
•
best be defined as minimum requirements for a child living in a facility.
A right is distinguished from a privilege in that it is never something a youth
can earn or lose.
A privilege (free time on grounds, going to a show, etc.) can be earned or
not earned dependent of behavior.
The courts have established that when children are placed outside the
home through the legal process the purpose of such placement must be for
treatment not punishment..
The following rights are listed as guidelines of all National Teaching Family
Associate members and employees of Utah Youth Village. Any questions
about youth rights should be checked out with program consultant or
administrators before any action is taken. Violation of any youth right has
potentially serious legal consequences for all of us and could lead to
termination of employment.
Working within the guidelines of these basic rights prompts effective human
care and helps to develop good relationships with our youth.
• All youth have the right to basic care and treatment (Fifth and Sixth Amendments
•
and Wyatt V. Stickney) (Gary W. vs. State of LA (19 ed.)
All youth have the right to regular and adequate:
–
–
• Sleep
• Rest
• Clean bedding
• Comfortable bed
We cannot:
• Interrupt or restrict a normal night of sleep.
• Restrict the use of a bed and bedding.
We can:
• Promote the use of regular bedtimes and wake up times, according to age.
• Monitor when sleep occurs (e.g., no naps).
• All youth have the right to regular and adequate
–
–
• Access to outdoors
• Physical Exercise
• Light, warmth and ventilation
We cannot:
• Restrict a youth from ever being out of doors.
• Place him in a dark room as punishment.
We can:
• Monitor when he goes out of doors.
• All youth have the right to:
• Personal supplies and possessions
• Space for personal belongings
• Normal, accepted dress items
– We cannot:
• Use clothing, as a privilege.
• Confiscate any personal item of clothing.
• Prohibit him from having the basic clothing necessities (even if he has no
•
•
earnings or allowance).
Confiscate his possessions.
Restrict him from ever using his possessions
– We can:
•
•
•
•
Have a youth participate in the purchasing of his clothing.
Monitor the use of his clothing (e.g., appropriate dress for the occasion).
Confiscate dangerous possessions (e.g., knives or guns).
Monitor when and under what circumstances possession can be used (e.g.,
radios must be kept low and turned off at bedtime). Any confiscated
property sent to parents.
• No youth should own a TV
• All youth have the right to a well-balanced, nutritional
and appealing diet.
– We cannot:
• Restrict meals.
• Have a youth eat a meal of less quality than other youth.
• Cause a youth to eat less than three meals per day.
– We can:
• Have a youth fix own meal (if late).
• Have a youth eat later than other youths (for disruptive table
•
behavior).
Have a youth eat a specially prepared meal of good quality (if he
misses regular meal).
• All youth have the right to physical safety, hygiene and sanitation including:
• Access to daily showers or bath
• Regular laundry
• Hygiene materials
• Toilet use
• Hot water
– We cannot:
• Restrict access to the above.
• Deny a youth normal personal supplies.
• Place a youth in an unsafe living environment.
– We can:
• Have a youth wash own sheets, blankets, etc.
• Contribute to the purchase of personal supplies.
• Require a youth to take a daily shower or bath.
• All youth have the right to proper treatment on a individual basis in the
least restrictive alternative.
• All youth have the right to an individual treatment plan that affords the individual a
reasonable chance to acquire and maintain those life skills that enable him to cope as
effectively as his own capacities permit with the demands of his own person and on
his own environment and to raise the levels of his physical mental, and social
efficiency (Gary W. vs. State of LA, 1976).
Individual treatment plans must be in writing and specify goals, short-term objectives,
treatment strategy and person responsible for implementation.
– We cannot place a youth on a token economy system immediately upon
placement.
– We must provide an opportunity for an individualized assessment period upon
placement.
• All youth, within the limits of availability and his/her special needs and problems,
must be treated in that environment that. most closely resembles the inherent
freedom, flexibility and surroundings associated with the natural home.
– We cannot impose physical restraint or other more restrictive treatment or
behavior management procedures unless more positive, less restrictive
procedures (use of teaching-family model technology) have been attempted and
failed.
• Inherent in the right to treatment is the implication that
appropriately selected and trained staff are necessary to
carry out an effective and humane treatment program.
(Morales vs. Turman, 1974.
– Probably the single most important factor in safe-guar ding client rights
involves the selection and training of direct child care staff.
– Scope and content of staff training will be largely determined by
sophistication of treatment responsibilities to be assumed by the direct
care staff, client responsibilities and needs and intents or goals of
treatment. Most programs, however, should include:
• Attention to the treatment model specified in procedural terms.
• Detailed description of program components and how they will be applied to
•
program clients.
Complete explanation of staff duties and responsibilities as related to the
overall delivery of client services.
•
•
•
Client rights should be enumerated and defined and
the legal and ethical responsibilities of staff regarding
those rights.
Staff training should include description of kinds of
situations likely to be encountered as well as a
repertoire of procedures for dealing effectively with the
range of client problems.
Staff training should be a continuing education
process, i.e., staff should receive routine training and
updating as federal and state legislation changes.
All youth have the right to confidentiality and informed consent
(National Health Act, 1979).
• All youth have the right to knowledge of and disagreement with
material in his file.
– We cannot:
• Prohibit a youth from seeing the contents of his file.
• Force a youth to sign any statement indicating agreement with a treatment
plan or progress report.
– We can:
• Be present when he reads his file.
• Tell him that we suggest he not read certain items that might be
•
•
disconcerting.
Keep only present information in the home file (e.g., keel social histories in
the main office file).
Have youth sign indicating they have read a treatment plan or progress
report.
• All youth have a right to disagree with information in file and can
add a formalized statement to this effect to the file.
All youth have the right to social contacts (Sixth Amendment).
• A. All youth have the right to communicate with others - parent or
guardians, social agencies, probation officers, lawyers.
– We cannot:
• Restrict him from telephoning or writing to any of the above.
• Seclude him in his room alone.
• Say he cannot talk to anyone for long periods of time.
– We can:
• Monitor when he communicates. with the above.
• Have him remain in one part of the house (dining room table) where he is
•
•
likely to come into contact with others.
Monitor the conditions under which he communicates with others (e.g., only
when you are also present, "Please tall: to me in 10 minutes after you calm
down.")
Use phone contacts with peers as a privilege.
• All youth have the right to interact with other people
– We cannot:
•
•
•
•
Restrict a youth from talking to others.
Restrict other youth from talking to an individual.
Restrict youth from interaction with members of the opposite sex.
We can supervise and monitor how and when a youth interacts (e.g., "When you stop
arguing, you can play Football.")
• Monitor specific interactions between youth (e.g., "Wall, away when Johnny makes
threats.")
• Insure that youth have reasonable and regular opportunities for access to
mass communication and information (radio, TV, reading materials).
– We cannot:
• Fail to deliver mail or phone calls.
• Make all TV viewing contingent upon behavior.
– We can:
• Monitor TV viewing.
• Monitor reading materials
All youth have the right to privacy.
• All youth have the right to time to be alone.
– We cannot:
• Restrict all free time.
• Observe a youth at all times unless he is dangerous to
himself or others.
• Have routine searches of belongings, person or room without
probable cause.
– We can:
• Monitor when free time can occur (e.g., "You can go to your
room when homework is completed.")
• Search a youth or his room when his health and welfare or
that of others is at issue (e.g., drugs or knives.)
• All youth have the right to respect of body and person - no physical
abuse or humiliation.
– We cannot:
• Spank, hit, push or grab any youth - no closed hand contact.
• Restrain a youth except when his actions are dangerous to himself or others.
• Promote the use of labels, such as "queer", "liar", "thief", as a consequence
•
of an act.
Post signs on a youth or his possession, such as "i am a thief."
– We can:
• Restrain a youth when he is behaving in a manner dangerous to himself or
•
•
others or actual extensive property damage.
Discuss and determine consequences for the behavior of an individual at
family meeting.
Include other youths in the treatment program for an individual (e.g., report
problem behaviors to staff).
• All youth have the right to the lest restrictive alternatives.
• All youth have the right to have all of his privileges most of the
time.
•
– We cannot:
• Place a youth on lengthy restrictions with no resource to earning any
privilege - (positive correction).
• Sub - can earn privileges.
– We can:
• Monitor which privileges are available and when they can be enjoyed. We
suggest any total restriction above 4 days be checked with your
consultant/program director.
All youth have the right to leave a program to return home – UM is voluntary
placement.
– 1.We cannot:
• Physically restrain a youth from leaving the home.
• Deny the youth's wishes to leave the program if he has options.
– 2.We can.
• Encourage a youth to stay.
• Monitor both the time and the means by which he leaves (e.g., we will
contact parents and caseworkers and try to arrange a staffing for next
week)
• Contact local police and caseworker to notify then, of youth leaving the
program/home without permission.
VII. All youth have the right to be free from
"involuntary servitude" (13th Amendment)
• All youth have the right to not be given
meaningless work – like digging a hole and
filling it back up, writing "I must not steal", 500
times, etc.
– We cannot:
• Restrict the use of tools normally appropriate for a job (e.g.,
clean the floor with the toothbrush instead of a mop).
– We can:
• Monitor, the appropriate use of tools and appliances (e.g.,
"Since no one is rinsing dishes before putting them in the
dishwasher, we'll do them by hand.")
Ethics Standards Test
Answer ETHICAL by the question if you feel the situation was handled
ethically, and a UNETHICAL if it was handled unethically.
1.
2.
3.
4.
5.
6.
To aid in building a relationship with a black youth, a Family
Teacher frequently jokes about blacks to relate to the youth.
The Family Teachers let their youth make a different ethnic meal
each week.
The Family Teachers routinely put all new youth that come to
their home on a token economy.
A youth repeatedly turned up his radio full blast, and the Family
Teachers took it and kept it in their office to help the youth learn.
The Family Teachers required each youth to wash his/her own
sheets.
To protect the youths' personal property from getting stolen, the
Family Teachers locked the clothes, etc. in individual youth lockers
and kept the keys.
7. The Family Teachers required each youth to go to school every
school day.
8. The Family Teachers occasionally involve other youth in the home in
the individual treatment plans of a specific child, as part of the selfgovernment system.
9. The Family Teachers frequently invited the school teachers of their
youth for dinner.
10. A Family Teacher may occasionally restrict a youth from talking to
another youth unless the Family Teacher was also present.
11. A youth who threatened to run away was physically restrained by
a Family Teacher holding her.
12. A youth who was breaking furniture in the home was physically
restrained by the Family Teachers.
13. As a consequence, the youth in a home were required to scrub
down the bathrooms with tooth brushes.
14.A youth who skipped school and missed lunch returns home, and
the Family Teachers refuse to let her have lunch since she had an
opportunity to get one.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
A youth who came home late from football practice gets a sandwich and salad for
dinner since the fried chicken, mashed potatoes and green beans were all gone
from dinner.
A youth who threatened to run away was locked in his room.
A youth who consistently disrupts dinner is required to eat later than the rest of
the youths.
A youth disagrees with certain information in his file and writes a formalized
statement to this effect. The Family Teachers puts this statement in his file.
A youth who threatened to run away was stopped because the Family Teachers
kept all her shoes.
A Family Teacher required a youth to pay for long distance telephone calls to his
mother, due to the excessive expense.
A youth is restricted to the dining room table because of inappropriate behavior.
The Family Teachers routinely searched youth when they returned from home
visit.
To help a youth who had returned after running away, the Family Teachers
restricted him from all privileges.
A Family Teacher is concerned about a youth he had previously worked with, and
asks the new Family Teacher how the youth is doing - the new Family Teacher
explains in detail that the youth is doing well, but did have some problems with
drugs.
TRUE OR FALSE
25. Juveniles are afforded the same rights by the Bill of Rights of the U. S.
Constitution as adults.
26. All children have the right to be loved and nurtured.
27. All research findings should discuss the limitations of the data and an
alternative hypothesis.
28. All research projects must be approved by the Program Director.
29. Before a youth or Family Teacher can be video taped for evaluation
purposes, they must sign an informed consent form.
30. If a youth signs an informed consent agreeing to participate in a special
research project, he must complete the research.
31. To insure that an individual youth receives consistent treatment in the
home and in school, all treatment and background information must be
shared with his school teacher.
32. If a youth does not have the capacity to understand informed consent,
consent must also be obtained from her parents or legal guardian.
33. A youth has the right to consult with others before signing any informed
consent.
34.If a Family Teacher suspects someone of abusing children, he/she is legally
responsible to report it to the proper authorities.
35.A youth's rights can be earned or lost according to his/her behavior.
36.Natural parents have the right to spank their own children.
37.If a youth is completely disrupting other youths' dinner, he/she can be sent
to bed without dinner by a Family Teacher.
38.A Family Teacher can prohibit a youth from taking a nap during group
activity.
39.A Family Teacher can monitor what a youth wears, i.e., no jeans to church.
40.A youth has the right to call her parents whenever she wants.
41.All consent forms must be dated and time limited.
42.It is contrary to youth rights and discriminatory-to require different bed
times for different ages of children.
43.It is mandatory to release confidential information if there is clear and
imminent danger to others.
44.If a person is suspected of abusing children he/she may be fired and/or
prosecuted.
Resource Material
Code of Ethics
We will protect children in our care from abuse or maltreatment,
experimentation, economic exploitation, malnutrition and unsafe environments;
and shall bring to account adults who thwart that purpose.
We will utilize fully our professional skills in striving to obtain for each child
the permanence of a family life.
We will obtain or provide for children who are physically or mentally ill
the best therapeutic care available to us.
We will provide every opportunity for children to learn
and to develop whatever talents they may possess.
We will accord children in our care full respect as individuals,
the full rights guaranteed all citizens of the United States, while teaching them
to respect the rights of others.
We will respect the uniqueness of each child's race, culture and religion
while attempting to instill a sense of self-worth, individuality,
and the responsibilities as well as the privileges of citizenship.
We will nurture in each child the spiritual ethics appropriate to their
background and religious heritage.
We will serve only those children for whom our service is appropriate
and will plan carefully and realistically with, and for, each child and,
when available, with the mily of the child.
We will strive to enhance the talents, techniques and compassion
of adults in our employ.
We will use our knowledge and influence, as advocates for children,
to improve social conditions and develop resources beneficial to children
and to the strengthening of American family life.
We will review constantly our services for relevance and effectiveness
and shall strive to provide society and the community with child care services
appropriate to their needs.
We will represent our services, fiscal affairs and intentions honestly and openly.
Standards of Ethical Conduct
of the
National Teaching-Family
Association
• TABLE OF CONTENTS
– Background
– Preamble
• SECTION I: STANDARDS
–
–
–
–
Part 1: Basic Standards of Professional Conduct
Part 2: Treatment Standards
Part 3: Research Standards
Part 4: Standards Concerning the Training and Evaluation of Treatment
Providers
– Part 5: Standards Concerning Informed Consent
– Part 6: Standards Concerning Confidentiality
• SECTION II: ETHICS COMMITTEE FUNCTIONS
–
–
–
–
Part
Part
Part
Part
A: Committee Responsibilities
8: Statement of Purpose and Scope
C: Committee Review Procedures
D: Committee Records :
STANDARDS OF ETHICAL CONDUCT OF THE NATIONAL TEACHING-FAMILY ASSOCIATION
The preparation of these standards was undertaken by the chairperson of the
Association's first Ethics Committee, Dr. Curtis J. Braukmann, and was based upon
several sources. These sources include: the informal principles of conduct that
guided, and emerged from, the early development of the Teaching-Family approach;
the group deliberations of the representatives of the Teaching-Family training sites
who formed NaTFA; and the review of ethical behavior and guidelines published by
various professional organizations.
To obtain further information concerning these standards or to suggest modifications,
contact the present chairperson of the NaTFA Ethics Committee.
Ed Watson 1987
Ted Blevins 1986
David Smart 1985
Paul Gilford 1983, 1984
Neil Galoway 1982
Dean Fixsen 1980. 1981
Curtis Braukmann 1978, 1979
meeting to CCR for approval. t2. Ethics Committee — Ed Theiss
MSC to change paragraph #224 (Item 4) about medications in the Standards
of Ethical Conduct: "Members recognize the diverse needs of residents in
their care. Administering medications for the purpose of controlling
behaviors or for the convenience of staff are not condoned. When indicated
by case assessment that such pharmaceuticals are necessary and in the
best interest of the client. members will advocate for minimal dosages that
are consistently monitored. (Discussion: Drugs are never used for behavior
control, restraint, or punishment. Medications will only be used when authorized by a licensed physician and administered strictly to prescription
instructions. Medications will be maintained under lock and key and logged
to document frequency and dosage of use."
MSC to add five questions to the triennial site application to review the ethical
practices of the sponsor site.
MSC that the Ethics Committee will revise the Policy and Procedure 3000:
Ethics Committee to prepare for the Mid-Year meeting.
MSC to accept the Ethics Committee Report.
Background for standards of
Ethical Conduct of the National
teaching-Family Association
Standards of Ethical Conduct of the National Teaching-Family Association have been set forth in this
document to aid members in the individual and collective maintenance of high standards of
ethical conduct. These standards are applicable to the activities of all members, and pertain to
activities in such realms as (1) treatment, (2) training of treatment providers, (3) research and
(4) administration of research and training projects. Adherence to the standards is a membership
requirement. We ask each prospective member to sign an affirmation of the Standards before
joining the Association (this affirmation is part of the application form). This formalizes each
member's commitment to advancing the highest standards of professional practice.
In abiding by the Standards, the member views his obligations in as wide a context as the situation
requires. The decisions required by these standards must depend upon common sense and sound
professional judgment. In situations in which there is a possibility that an activity may be in
conflict with the standards or in which two or more principles appear to dictate incompatible
courses of action in a given situation, the individual is responsible for weighing all the information
available. considering alternatives and choosing an appropriate. balanced course of action that is
compatible with the welfare of the client and of society at large, and that is consistent with the
Standard's spirit and intent. In situations involving minimal risks and demands on clients,
members might seek ethical advice from colleagues and other appropriate advisors. In instances
in which intended or actual practice is significantly incompatible with the standards, or in any
other way presents a serious ethical delimma, the Ethics Committee of the Sponsor Site or of the
National Association should be contacted. For example, if a member is aware of foreseeable
situations, or of proposed or actual policies or procedures, that are likely to pose unavoidable
confilets among these various standards. then the member(s) involved are responsible for
describing such situations, policies, or procedures to the National Ethics Committee for
consideration and review.
• When a member violates these ethical standards or otherwise engages in any illegal,
•
•
corrupt, or unethical behavior which would affect a client or the integrity of the
Association, then other members directly aware of such activities should make
reasonable, informal attempts to correct the situation. That failing, the conduct
should be brought to the attention of the Ethics Committee of the local Sponsor Site
or of the Association.
The standards are divided into six parts: Part 1, Basic Standards of Professional
Conduct; Part 2. Treatment Standards; Part 3. Research Standards: Part 4. Standards
Concerning the Training and Evaluation of Treatment Providers; Part 5. Standards
Concerning Informed Consent: and Part 6. Standards Concerning Confidentiality.
Within several of these Parts are standards calling for review of procedures and
programs by appropriate local standing or ad hoc committees (boards) concerned
with participant rights and with ethics. In this regard, each Sponsor Site will submit
to the Ethics Committee information concerning which board(s) will review
procedures (e.g., an Institutional Review Board for reviewing research sponsored by
the Department of Health and Human Services). If a member is in doubt as to what
constitutes the appropriate review committee, the member should contact the
directors of the local Sponsor Site or the Association's National Ethics Committee.
These standards should be evaluated and, as necessary, revised in light of future
experience. research data, ethical arguments, and legislative and judicial actions.
Such revisions should remain consistent with the Standards' original spirit and intent.
Standards of ethical conduct of
the national teaching-family
association
Preamble
• Members of the National Teaching-Family
Association respect the dignity, individuality,
and worth of each person and value the
preservation and protection of fundamental
human rights. They are dedicated to
promoting, without discrimination, the wellbeing and best interests of the consumers of
their services, colleagues. and society in
general. They are committed to providing
professional service characterized by
competence, compassion, and integrity.
Section I: Standards
•
•
•
•
•
•
•
•
•
Part 1. Basic Standards of Professional Conduct
In professional activities, members respect and protect (and avoid any action that will violate. diminish, or
otherwise infringe upon) the legal and civil rights of others.
Members accord informed choice, confidentiality, due process, and protection from physical and mental harm to
their clients, consumers, colleagues, supervisees, employees, trainees, and research participants.
Members refuse to participate in, condone, or be party to practices or policy which result in illegal or otherwise
unjustifiable discrimination on the basis of race, color, national origin, sex, religion, age, physical handicap,
political affiliation, or socio-economic status.
Members have a clear responsibility to remain informed on relevant legal and ethical issues and criteria: relevant
federal, state, local and agency regulations: and relevant professional standards of practice. (Discussion: There
would, of course, be no duty to anticipate unforeseeable developments in regard to such regulations and
standards.)
Members duly exercise that reasonable degree of requisite skill, knowledge, and care ordinarily possessed and
exercised by members under similar circumstances.
Members take steps to keep abreast of current practices and values, and seek consultation. continuing training,
and performance evaluation whenever professional activity is enhanced thereby.
Members take reasonable precautions against situations where personal interests, personal problems, external
pressures, or conflicts of interest interfere with free and objective exercise of professional judgment, skills, and
responsibilities. (Discussion: In this regard. if members are providing services on a for-profit basis, members must
inform all relevant consumers of the for-profit nature of the services, before they participate in the services. Due
care must be taken to ensure that profit making activities or interests in no way detract from the quality of
services provided. There should be no undue. excessive, or otherwise inappropriate profit-making. as judged by
accepted practice and local community standards.)
Members attempt to preserve requisite conditions for development and maintenance of sound relationships with
consumers of their Services; they treat consumers with courtesy, consideration, and respect: they are honest.
open, and responsive to consumers; and attempt to terminate a relationship when it is reasonably clear a
consumer is not benefiting from it.
•
•
•
•
•
•
In collaborative or supervisory relationships. members take the necessary time to provide reasonable and
timely feedback and to insure able, careful, ethical, and otherwise appropriate conduct of professional
responsibilities.
In educational relationships, members attempt to be full and objective in their instruction. to provide
consultation and practical experience where appropriate, and to teach others to take into account ethical
issues and different-s among individuals in carrying out their professional activities.
Members present information to consumers. colleagues, and society in a full, fair, and accurate manner to
thus aid others in forming their own judgments, opinions. and choices
Members accurately represent their skills. education, and experience. and correct any misrepresentation of
any member's professional qualifications or associations.
Members do not misrepresent themselves or the Association through unsupported claims. of superiority, nor
do they display any membership or association in a manner that falsely implies sponsorship or qualifications.
(Discussion: Members only use the words "Teaching-Family" in labeling their programs if those programs are
formally associated with NaTFA. Thus if a site [developing or sponsor] loses its formal association with NaTFA
it should not continue to use the term "Teaching-Family" in labeling their programs. Also, if a site is associated
with some homes that are considered as part of that site for NaTFA purposes and with some homes that are
not so considered, then the latter programs should not be called "Teaching-Family" programs. Members not
only follow this guideline. but encourage [and educate] others, including non-members, to do so as well.
Non-members as well as members are seen as responsible in this regard, because it is generally accepted
that it is unethical to claim, or to seem to claim, affiliations or endorsements that do not exist.)
Members seek to support the viability, rights. and reputation of professional organizations in which they are
employees or members and first seek necessary change in such organizations through constructive action
within the organizations
•
•
•
•
•
•
In professional presentations of their work, members give appropriate credit (e.g.. joint
authorship, acknowledgement, footnote statements, or other appropriate means) to those
who have substantially contributed to the work. (Discussion: See, for example, the
Publecation Manual of the American Psychological Assdcrahon.) ,
116. Members respect the responsibilities and areas of concern of other members and work
cooperatively with them to meet objectives of the Association. (Discussion: Members avoid
personnel recruitment practices that may have adverse effects on treatment participants, and
members promote timely educational discussions among the parties directly involved
concerning ethical recruitment practices and specific recruitment and transition plans during
all recruitment endeavors. For example, members encour• age direct care personnel that they
are hiring to give sufficient [e.g., three months) notice so as to disrupt on-going treatment as
little as possible.)
Part 2. Treatment Standards
Members provide adequate, proper, humane, individualized treatment that is planned. respectful of personal integrity, sensitive to cultural differences, the least restrictive necessary, in
line with prevailing community standards, and designed to foster individual competencies.
Members attempt to provide a treatment living environment that is as natural, normalized, and
family-style as possible and encourage the building of close family relationships characterized
by concern, respect, fun, trust, understanding, honesty, sympathy, and affection.
Members work to insure treatment participants the same rights as any other U.S. citizen. In
this regard, members insure participants as much freedom of movement, normality, independence of choice, and personal life responsibility as possible without endangering the health
and welfare of the participant or others.
•
•
•
•
Members provide participants with direction, assistance, and support to help them acquire the intellectual and
emotional skills necessary to achieve individual aspirations and to cope effectively in our society. In this
regard, members provide information, counseling, and day-to-day skill development in social, selfhelp,
independent living, recreational, and vocational/academic skills. Further, members conduct themselves in a
manner which provides appropriate models for the participants according to community norms.
In accordance with the Association's Standards Concerning Informed Consent, members obtain consent from
participants and, where appropriate, parents or guardians for participation in the treatment program.
(Discussion: The Association's general consent standards as well as those specific to treatment are contained
in Part 5 of these Standards.)
Members insure the participant's right to a wholesome, safe, clean, pleasant, and dignifying treatment
environment. In this regard they provide (and do not restrict or make contingent) regular and adequate:
sleep; rest: clean bedding; comfortable bed: access to outdoors: physical exercise: light: warmth; ventilation:
personal supplies: space for personal belongings and activities: physical safety; hygiene and sanitation
(including access to daily showers or bath, regular laundry, hygienic materials, toilet use. and hot water):
well-balanced, nutritional, and appealing diet: and normal, accepted dress items
Members insure that each participant has an individualized, mutually agreed upon, written treatment plan
that is based on careful assessment of the participant's strengths and weaknesses and that is developed with
input from the participant and the participant's parents or guardians. The plan should be developed early
within program participation. should be reviewed and revised periodically on the basis of progress and
renegotiation, should be kept confidential and privileged, and, as soon as possible, should include plans
relative to the participant's post-treatment situation. The plan should specify long-term and short-term goals
that: are realistic: are for the participant's benefit: relate to specific behaviors that are individualized: and
reflect community norms. The plan should also specify the procedures to be employed to meet each objective
and the termination criteria. Short-term goals should be consistent with, and facilitative of. longterm goals.
•
•
•
•
Members seek to develop, secure, and maintain appropriate out-of-program and postprogram
living environments, and to this end, and where possible and advisable, work closely and meet
regularly with parents or surrogates to inform them of the participant's progress, counsel and
train them on methods of child rearing, and implement the participant's reintegration into the
natural home or other appropriate community settings.
Members accord participants adequate and appropriate educational opportunities in accordance
with the participant's best interest, state laws, and community norms.
Members meet regularly and remain in close contact with participants' teachers and/or employers
and/or referral agencies to facilitate and keep abreast of participants' progress in school and
employment settings. When problems arise in these settings, members work cooperatively with
appropriate personnel to attempt to solve those problems. Members shall remain in contact with
participants' referral agencies.
Members represent the participant's best interests and advocate for them in situations involving:
decision-making processes outside the group-home that directly effect the participant; the
removal of the participant from the program; and/or the temporary exercise of control over the
participant by another agency. In such situations, members monitor the procedures, attempt to
insure that the participant and parent or guardian is informed of guaranteed rights (including,
where appropriate, right to counsel and/or an advocate), attempt to encourage the least restrictive alternative course of action, and attempt to secure for the participant and his or her
representative the opportunity to be fully heard.
•
•
•
Members seek for their participants any necessary medical or dental treatment and take steps
to insure that such treatment is immediate and of high. quality: (Discussion: When a
reasonable question arises as to whether or not a given behavior or condition is a result of a
physical problem, members should obtain certification from a physician before extended
attempts to treat the problem as non-physical.)
Members provide reasonable and regular opportunities for participants to engage in the
following activities and insure that such opportunities are free from restraint, interference,
coercion, discrimination, reprisal, or undue influence: (i) participation in decisions that affect
disciplinary processes. daily life patterns, and participants' lives, including decisions concerning
regulations and policies; (ii) explanations of their own actions; (iii) expressions of
dissatisfactions and grievances and (iv) recommendations for changes. (Discussion: Members
provide a scheduled opportunity for youth participation in such activities by employment of
family-conference type meetings on a frequent, regular basis. Suggested procedures for the
conduct of such meetings are contained in The TeachingFamily Handbook.)
Members seek to provide a supportive setting in which participants can learn to accept responsibility for their own actions and, where appropriate, those of other participants. This
includes the opportunity for participants to participate (under conditions in which they have
volunteered. are specifically trained and adequately and closely supervised. have
demonstrated humane judgment, and in which their judgments and actions are subject to
careful ongoing review and approval) in the determination of fair, reasonable, and justified
consequences for fellow participants: the reporting of serious rule violations of other
participants, and the supervision of routine activities of other participants.
•
•
•
•
Members insure that participants have reasonable, regular opportunities for communication
with others (e.g., parents. same and opposite-sex peers, counsel, public officials, agency
personnel) through visits, telephone. the mail, and other means of contact. Furthermore.
members insure that participants have reasonable and regular opportunities for access to
mass communication and information (e.g., radio, television, reading material). (Discussion:
Thus, for example, members cannot fail to deliver mail or phone calls nor can they make all
television viewing contingent upon resident behavior. Here. reasonable access to television
news and educational programs should be routinely available.)
While members are aware of the need to provide adequate supervision, they respect
participants' right to privacy and do not without due cause seek access to personal
information concerning participants or conduct searches of their person, belongings or room.
Members do not read participants' mail and do not, without informed consent, permit public
display of the participants' pictures or names either in association with the program or in any
manner with some likelihood of adverse effects.
Members protect the right of participants to the free exercise of religious, political, or other
philosophical belief, including attendance at services, and do not impose religious or political
attitudes or prayers. (Discussion: If specific religious behaviors are required by the board or
funding support of a program. then such a situation needs to be clearly specified in the
informed consent.)
Members insure that treatment-associated risks (whether physical. psychological, sociological,
or other) are outweighed by potential benefits to the participant and that such benefits stand
in a reasonable relationship to the demands made upon him or her.
•
•
•
•
Members protect participants from physical or psychological discomfort, harm, or danger.
Prohibitions include mental cruelty. emotional cruelty and intentional emotional stress (e.g.,
humiliating, shaming, frightening), hazardous procedures, and physically intrusive procedures
(e.g., corporal punishment, chemotherapy).
Members do not employ corporal punishment or other aversive stimulation (whether tactile,
auditory, gustatory, olfactory, or visual), but rather employ more humane ways of interacting
and fostering goals of education, training. and socialization.
Members provide treatment that is the least restrictive necessary and avoid excessive.
arbitrary, or otherwise undue restrictions on the activities of participants. Those reasonable
and limited restrictions that are employed are described in the informed consent, and are used
where more positive and less intrusive alternatives are either exhausted or would be clearly
ineffective. where the procedures would be in the best interest of the participant. and where
the benefits clearly outweigh the harms. (Discussion: The issue of whether or not a treatment
environment — such as a group home — represents the least restrictive alternative for a
potential participant is an issue that needs to be discussed and weighed by a duly constituted
admissions committee.)
Members avoid the use of physical restraint except under emergency conditions where there is
a clear and imminent threat to the physical safety and well-being of the participant or others
or where there is actual extensive property damage. Such restraint is the minimal (least
restrictive) necessary. is used only during the acute episode. is not of a mechanical or
chemical nature, and is not used for punishment or staff convenience. Any use of restraint will
be documented in the participant's file, with specification of date, time, and nature of
inappropriate behavior, surrounding conditions, and length of restraint episode. Instances of
repeated or extended constraint episodes should be reported to the Association Sponsor Site
and are subject to review
•
•
Members avoid secluding or confining participants. If under extreme conditions the least
restrictive alternative for the immediate protection of the participant or others is the temporary
restriction of a participant's activities to a given room, the room will not be locked and frequent
observations of the participant will be made. Members will not have rooms specifically for the
purpose of confining participants, and no form of confinement is ever used as a form of
punishment. (Discussion: Temporary and infrequent exclusion of a participant from an
environment or activities might represent a least restrictive option under certain conditions. Such
exclusion should be brief, mild, and evaluated as to its effectiveness. Examples here include
asking a young child to sit out of an activity for a brief period and asking a participant to
temporarily leave a situation in which there appears to be danger of confrontation. In the latter
case, a participant might be asked to go to his room and given a specific re-entry behavior and
an invitation to engage in that behavior within a reasonable time period.)
Members do not provide or condone the use of drugs or other medication for other than physical
problems and then only with written informed consent; a written, signed physician's prescription
or recommendation; adequate safeguards (e.g., lock and key) against unauthorized access; and
careful records of use. Thus, drugs or other medication are never used for behavior control or
restraint, for punishment, or otherwise for the convenience of the staff. (Discussion: If a
participant is undergoing drug therapy under the auspices of an authorized outside agency,
members should strongly advocate for (i) quantities that do not unnecessarily interfere with the
participant's ability to act and think to his or her full potential, and (ii) termination of chemical
treatment at earliest reasonable date.)
•
•
Members protect participants from work that is not related to treatment.
no therapeutic, meaningless, or not related to family-living activities
typical to a natural household. Participants are not asked to engage in
work for the primary benefit of another, unless they volunteer and are
paid minimum wage. (Discussion: Specifically prohibited here is no
voluntary, unpaid personal work for members such as cleaning the
member's room or babysitting his or her own children. Also prohibited is
repetitive, meaningless work or activity as a form of punishment.)
Members insure that the procedures and programs they employ are
reviewed by appropriate standing or ad hoc committees (boards)
concerned with participant rights and the ethics of treatment. 227 In
accordance with the Association's Standards Concerning Confidentiality.
members employ proper and reasonable confidentiality safeguards to
protect the confidentiality of information obtained relative to treatment
participants. (Discussion: The Association's general standards on confidentiality as well as those specific to treatment are contained in Part 6 of
these Standards,)
• Part 3. Research Standards
• Members attempt to select areas of research that are of immediate relevance to
•
•
•
human and social problems and/or that advance the understanding of significant
aspects of human experience and behavior. (Discussion: Ideally, members' research
should relate directly to the welfare of the individuals involved or of individuals
participating in similar or future programs. Members insure that participants in their
research efforts are not overused in research unrelated to their welfare solely
because of administrative convenience of availability.
As researchers, members use methods that are appropriate to the objectives of the
research, select areas in which they have sufficient competence, and insure they
have adequate facilities for the conduct of the research.
Members plan their research to minimize the possibility of misleading findings, and
remain alert to and attempt to moderate pressures that may distort findings. They
discuss the limitations of their data and reasonable alternative hypotheses, especially
where their research may considerably affect policy or practice. In publishing reports
of their research they never suppress disconfirming data. Members take credit only
for the research they have actually done.
In planning and *conducting research, members act in accordance with and thus
avoid action that interferes or is incompatible with the spirit of the standards put
forth in the other parts of this document (e.g., Treatment Standards).
• In planning and conducting research, members act in accordance with other
•
•
applicable standards, regulations, and laws. (Discussion: By way of
examples, members who belong to the American Psychological Association
adhere to that organization's research guidelines and ethical principles and
members conducting research supported by the Department of Health and
Human Services adhere to that agency's regulations concerning the
protection of human subjects.)
306. Members use research procedures that result in subject treatment that
is proper, humane, respectful of personal integrity, and the least restrictive
necessary. Research participants are encouraged to express their opinions
and dissatisfactions and to suggest changes.
Members undertake research only if the risks to those involved are minor
and stand in a reasonable relationship to the benefits (including the
avoidance of a greater harm) likely to accrue to the subject and to the
public in general. Members use the safest procedures that are consistent
with sound research design and request only that time and inconvenience
of subjects that is justified by the importance of the research, even if no
more than minimal risk is involved.
•
•
•
•
•
Members do not undertake research that is incompatable with, or significantly
interruptive of. expected services in a human service relationship. Further, they do
not undertake research that involves: physical or mental stress. harm, or danger;
deprivation or restriction of rights (e.g., to communication, privacy, nutritional diet.
light, warmth, sleep, safety): physically intrusive procedures; participant seclusion:
deception, or administration of drugs for control, restraint, or punishment.
Members do not undertake research forv personal gain that they would otherwise
refuse to do because of the harmful purpose it would serve.
Compensation to research volunteers should never be such as to constitute undue
inducement. When potential research participants have such strong 'needs that
they have little freedom to reject incentives related to these needs, an investigator
should never use such incentives without first securing ethical advice.
Members insure that the research they undertake is reviewed by appropriate
standing or ad hoc committees (boards) concerned with participant rights and the
ethics of research.
In accordance with the Association's Standards Concerning Informed Consent,
members obtain informed consent from participants and, where appropriate,
parents and guardians for participation in the treatment program. (Discussion: The
Association's general consent standards as well as those specific to research are
contained in Part 5 of these standards.)
•
•
•
•
•
•
In accordance with the Association's Standards Concerning Confidentiality, members employ
proper and reasonable safeguards to preserve the confidentiality of information obtained
through the research. (Discussion: The Association's general standards on confidentiality as
well as those specific to research are contained in Part 6 of these standards.)
Part 4. Standards Concerning the Training and Evaluation of Treatment Providers
Members involved in the training and evaluation of treatment providers give appropriate and
sufficient direction, advice, and feedback to the providers and adequately and regularly
monitor their performance in order to facilitate the professional growth of the providers and
help them be responsive to consumer needs.
Through integrated programs of academic study and supervised practice, members carefully
teach legal, ethical, and treatment concepts and procedures to trainees in order to facilitate
their delivery of quality, ethical treatment.
Members involved in training and evaluating treatment providers work to insure that consumers of the treatment services are receiving proper, ethical treatment. In this regard, the
members work to insure that direct participants in the treatment activities are treated in full
accord with each of the Association's Treatment Standards (see Part 2 of these Standards).
(Discussion: In this regard, for example, members insure that each treatment participant has
an appropriate updated treatment plan.)
Members involved in training and evaluating treatment providers act in accord with formal
Association policy for such activities.
•
•
•
•
•
Members involved in the training and evaluation of treatment providers make appropriate and
periodic consumer evaluation information on provider performance 'available to those
individuals and agencies that are responsible for (I) administering the treatment program with
which the provider is associated as well as (ii) referring potential participants to the program.
Members are obligated to insure that adequate interpretation accompanies the sharing of this
information.
Members involved in training and evaluating treatment providers insure that certification of
the providers under the auspices of the Association is based on the quality of their
performance as formally evaluated by the consumers of the providers' services.
In accordance with the Association's Standards Concerning Informed Consent, members
obtain informed consent from participants for participation in training and evaluation.
(Discussion: The Association's general consent standards as well as those specific to training
and evaluation are contained in Part 5 of these Standards.)
In accordance with the Association's Standards Concerning Confidentiality, members employ
proper and reasonable safeguards to preserve the confidentiality of information obtained
relative to those individuals participating in training and evaluation. (Discussion: The
Association's general Standards on Confidentiality as well as those specific to training and
evaluation are contained in Part 6 of these Standards.)
As trainers, members have the responsibility of not only assisting the trainee in securing
remedial assistance. but also screening from the training program those trainees who are
unable to provide competent services.
•
•
•
•
Members, when agreeing to provide services that omit one or more of the Teaching-Family Model
components, shall make explicit written agreements with those persons or agencies agreeing to
receive such services, stipulating that the services to be received by those persons or agencies
are not to be considered Teaching-Family Model services; and further assure through the same
explicit written agreements, that those persons or agencies agreeing to receive such services shall
not represent themselves to be receiving Teaching-Family Model services or to be Teaching.
Family Model homes. or programs. (Discussion: In some cases members must provide a modified
training workshop for foster parents or houseparents to satisfy the terms of an overall contract for
services in a state, yet post-workshop consultation or performance evaluation is not permitted
because of cost or distance. The omission of these important components would warrant the
explicit written agreement called for in this paragraph to prevent any possible confusion between
what the member does with TeachingFamily homes and what the member does with other types
of cart)
Part 5. Standards Concerning Informed Consent
In according the right to give or withhold informed consent to potential direct participants in their
professional activities (e.g., clients, trainees, and research participants), members take
reasonable steps to insure that conditions would permit competent, informed, and voluntary
consent to be given by the participants and/or their legal representatives.
Members make clear that they are inviting mutual agreement of the parties concerned. and
attempt to provide clear, accurate, and full descriptions of relevant procedures. objectives, risks,
and benefits.
•
•
•
•
•
Members permit no exploitation of special needs or vulnerabilities nor any overt or Indirect
element of force, fraud, deceit. duress, overreaching, or other ulterior form of constraint or
coercion.
In obtaining informed consent, members do not use exculpatory language through which the
participant or representative is made to waive, or appear to waive, any legal rights.
Members insure and make clear that consent may be withdrawn at any time without prejudice
or unpleasant consequences.
To insure the adequacy of their consent procedures, members present the procedures to the
appropriate board for review.
Members obtain appropriate consent for treatment, training, and research participation from
each participant older than seven, unless in the opinion of the appropriate review board, the
participant is incapable of consent. If the participant is under the age of 18 or is incapable of
understanding the situation and . making appropriate judgments, consent is also obtained
from the parent's), legal guardian's), or other legally-authorized, independent third-party
representative of the participant's interests. (Discussion: Any proposed variance from this
guideline shall only be undertaken following formal approval of the appropriate review board
or where existing state statutes specifically provide different criteria. For example, while the
age at which parental consent is no longer required is 18 in most stales. it is currently (1978)
19 in three states [Alaska. Nebraska, and Wyoming] and 21 in two [Missouri and Mississippi].)
•
•
•
•
Members provide participants and their representatives with the necessary information for informed consent
through use of written forms that contain comprehensible, nontechnical, and objective language aimed at the
level of the party involved. Where helpful. these Corms are read aloud to the party. In all cases they are
explained and all questions are answered. Agreement is indicated by signature on the form. The party is told that
he or she may take time to think over or consult with others regarding the consent before signing. (Discussion: In
order to document and insure that the party involved understood well what was being consented to, members
obtaining consent might ask the party to manifest his or her knowledge by. for example. answering written or oral
questions concerning the various conditions being consented to. 11 is often good practice to conduct informed
consent sessions in the presence of a witness who would then also sign the form.)
In obtaining informed consent, members provide the following:
descriptions of objectives and rationales:
–
–
–
–
–
–
–
–
a fair explanation of procedures (programs) including, where known, their typical frequency and duration:
an indication of available, reasonable. appropriate alternative procedures (programs) that would be advantageous:
a statement on the rights of participant and of parent or guardian:
an explanation of how progress is to be evaluated:
a description of procedures to be used to preserve confidentiality:
a description of what benefits might be expected, reviewing previous results where appropriate:
a description of what collateral discomforts or risks of injury (psychological, physical, or social) might be expected, reviewing
previous results where appropriate;
an explanation of procedures for withdrawing consent and/or terminating the procedures (program);
explanations of data collection, including types of data to be collected and from what sources, length of time data
to be retained, who is to have access to data, plans for use of data in publications, and when data will be
destroyed.
• . In addition to including the elements described in the above
standards, members provide the following information in seeking
informed consent for treatment: eligibility criteria for the program;
the selection process (including selection committee make-up and
function); description of each treatment element: probable length of
stay (provide range); description of the training, consultation, and
evaluation activities that will be conducted relative to the
performance of the treatment providers.
• 511. In addition to including the elements described in the above
standards, members provide the following information in seeking
informed consent for research: statement that participation in
treatment or training is not contingent upon participation in the
research; eligibility criteria for participation in the research;
description of all experimental procedures; and description of
probable length of research.
•
•
•
•
•
•
Part 6. Standards Concerning Confidentiality
Members make due provision for the maintenance of the confidentiality of any information that
has been obtained in the course of their professional activities. They take due precautions against
the accidental or malicious release of confidential information and the use of such information to
the detriment of any individual. They maintain reports, records, and other information under conditions of security (e.g., locked files), and make provisions for the ultimate disposition of such
material in a manner that maintains confidentiality.
Members insure that privacy and confidentiality are maintained by all persons they supervise or
who are in the employ or volunteer service of the agency or office in which they work.
Information received in confidence by a member shall not be forwarded to another person or
agency without the client's express permission.
Information received in confidence is revealed only after the most careful deliberation and only if
one or more of the following conditions are met:
–
–
–
the individual has given consent;
there is a clear and imminent danger to the client, to others or to society; or
there exists proper legal compulsion.
Under such conditions, only necessary, relevant, and verifiable information is to be released and
then only to appropriate professional workers or public authorities. Reasonable attempts should
be made to insure that these latter individuals maintain the confidentiality of the information.
Under conditions of legal compulsion, as in a court or legislative inquiry, ethical considerations
may dictate that members raise question of adequate need for disclosure, right to dissent, and
the possibility of providing information that is relevant to the legal question at hand, but that is as
disassociated from individuals to the extent possible.
•
•
•
•
•
•
Individuals who are asked by members in the course of their professional activities to provide personal
information should be informed in advance about the purposes of information gathering and about limits of
confidentiality. They should subsequently be informed of external conditions requiring reporting of information
to someone else.
Information obtained in treatment and training and evaluation activities is discussed only for professional
purposes and only with persons clearly concerned with the case. To the extent possible and where
reasonable, the anonymity of the individuals concerned is protected in such discussions through withholding
of name and personal identifying data. Where professional discussions and communications with relevant
others concerning participants is standard, accepted practice, the individual participant must be fully informed
concerning this practice prior to providing information. Care must be taken to insure that the third parties
involved respect the confidentiality of the. information. (Discussion: In regard to providing treatment services,
members may need to share information with those assisting in the treatment, or providing training or
consultation concerning treatment. Participants should be so informed in accord with this standard.)
Every effort should be made to avoid undue invasion of privacy and sensitive data are only collected if
necessary.
Reports or other materials are only presented when the identity of each involved person is so disguised that
no identification is possible unless the client or responsible authority has reviewed the materials, is informed
of the extent of risk, and has explicitly agreed to presentation or publication.
Records concerning participants in treatment are confidential. (Discussion: Files of youths in treatment should
not go beyond the group home or "follow" the youth. A parent or guardian may believe that they have the
right to see the files. There should be agreement from the beinning with the parties involved as to what
information will/will not be available in such a case. If in addition to the information and materials in a
participant's files that arise from the program in which he or she is currently participating, there are materials
provided by other agencies, access to the latter materials should only occur with express approval of those
other agencies.)
Members conducting research collect only relevant and necessary information, share the data only with
authorized personnel and only for authorized purposes, expunge individualized data once the research is
completed, and utilize codes rather than names where possible (with the codes kept securely and distinctly
separate from the data).
Section II: National Ethics Committee Functions
•
–
–
–
–
–
–
–
–
–
Part A: Committee Responsibilities
The National Ethics Committee shall be a standing committee of the National TeachingFamily Association.
The purpose of the National Ethics Committee shall be to develop and implement
standards, policies, and procedures concerning the ethical conduct of Association
members.
The National Ethics Committee shall report to the Council of Representatives and the
Executive Committee of the National TeachingFamily Association.
The Council of Representatives of the National Teaching-Family Association shall have
the authority to approve and periodically review the policies, action, advice, and
counsel of the National Ethics Committee.
An annual report of the National Ethics Committee and any interim reports required by
Council shall be filed with the Secretary of the National Teaching-Family Association.
The National Ethics Committee shall propose revisions in the standards and in the
committee's policies and procedures as the need for such revisions becomes apparent.
The committee shall conduct a thorough review of standards, policies, and procedures
every five years. To be adopted, any revisions must be approved by the Council of
Representatives.
The National Ethics Committee shall keep minutes of all actions and decisions.
The make-up of the Committee and its operation shall conform to the guidelines
specified in the Association's Bylaws.
The Committee will establish and maintain liaison with the ethics committees of
individual Sponsor Sites.
•
•
•
•
•
•
Part B: Statement of Purpose and Scope
The National Ethics Committee has as a primary concern the ethical conduct of all National TeachingFamily
Association members. In this regard, it is responsible for the development and necessary updating of Standards
of Ethical conduct and for the establishment and implementation of policies and procedures designed to facilitate
the behavior of members. The objective of the committee with regard to the individual member shall be to
provide constructive education rather than to punish. The committee will encourage continuing constructive
communication between itself and members as a means of safeguarding the rights and welfare of individuals who
are participants in activities involving Association members.
The committee will have several responsibilities. Among them will be the review of formal complaints against
members concerning alleged unethical activity of a serious nature. If practice is found to unjustifiably diverge
from, or generally fails to comply with, the Standards of Ethical Conduct (expecially after notification and an
opportunity to rectify the situation) the committee shall have the power to recommend to the Council of
Representatives the suspension and/or expulsion of the offending member(s) and/or program(s).
The committee must be alert to the possibility that Association members may, quite unintentionally, introduce
unnecessary or unacceptable hazards, or fail to provide adequate safeguards in their practice. This is particularly
true if the member's activities involve relatively new and untried procedures. In this regard, the committee shall
evaluate new procedures or policies and render judgment as to their ethical acceptability and propriety. The
committee should be prepared at all times to provide advice and counsel to staff developing new projects or
activities, contemplating revision of ongoing projects. preparing to submit proposals for consideration by the
committee, or revising disapproved proposals.
Problems of an ethical nature encountered by any Association Committees or by Council can be referred to the
National Ethics Committee. The committee may also be requested to review the ethical acceptability of any
research sponsored by the Association.
All committee reviews are to be conducted with objectivity and in a manner designed to ensure the exercise of
independent judgment of the members. Its decisions should be in accord with spirit of the standards. Its
decisions, as well as the ethical standards themselves, may not be construed in any manner or sense that would
be abrogate. supersede, or moderate more restrictive applicable law or precedential legal decisions.
•
•
•
•
Part C: Committee Review Procedures
The National Ethics Committee of the Association is concerned with ethical issues of general concern to the
Association. Any major ethical allegations against a training site will be reviewed by the National Ethics
Committee. This includes allegations of general or repeated failure to substantially comply with the standards.
The National Ethics Committee will also review allegations about the ethical misconduct of members especially
when such conduct, if true, would substantially conflict with providing the best care for participants or would
adversely affect the reputation of the Association.
Reports of minor violations of employees, supervisees, trainees, or other members would be dealt with by local
ethics committees of the individual Sponsor Sites. They would be responsible for reviewing situations and
deciding on action. This Individual Sponsor Site review process might involve such information collection
procedures as phone calls to the persons involved in the report of an alleged violation, on-site visits, or complete
consumer evaluations, depending on the ethical gravity of the situation involved. Decisions as to courses of action
would be made by careful consideration of the ethical concerns involved and in accordance with the Association's
ethical standards. The individual site committee can of course seek the advice of the National Ethics Committee
and its members concerning the most appropriate procedures to employ prior to or during any local review. If the
regional site committee is in doubt as to whether to be working with, or to refer a problem to, the national
committee at any time preceding or during its review process. they should contact the national committee for
advice.
Initiation of reviews. The National Ethics Committee may be requested by the Council of Representatives, its
Executive Committee, or by a local training site to review treatment or research procedures or consider alleged
violations. If, in the absence of such formal requests, National Ethics Committee members determine that a
review may be called for, the Executive Committee of the Council of Representatives will be so informed and its
advice solicited. In addition. the possibility of review by the National Ethics Committee will be discussed with the
member(s) involved.
•
•
•
•
Conducting reviews. Once a review is initiated safeguards will be maintained to insure that due process is
adhered to in any information gathering and decision making. Individuals and sites directly involved will be kept
informed of relevant specifics concerning the review process. They will be permitted the opportunity to provide
input into the process as appropriate. Where appropriate. information will be kept in confidence by the committee. Any limitations on the confidentiality of information provided by individuals will be adequately described to
those individuals. Care will be taken to insure that committee members involved in any review are not doing so
under conditions in which there are conflicts of interest.
Whether reviewing procedures or considering alleged violations, the National Ethics Committee will carefully
gather and examine the relevant information, weigh the alternative actions possible, and render their
recommendations in written form, specifying factual bases underlying conclusions.
Committee recommendations as to courses of action following the review process will be shared with the
Executive Committee and its reactions sought. Possible actions by the Association as a whole, its Council of
Representatives, and/or its Executive Committee that might be taken on the basis of the recommendations of the
National Ethics Committee are as delineated in the Association's Bylaws.
Reviewing policies and procedures. In evaluating proposed or actual policies or procedures, the National Ethics
Committee can ask any member(s) involved to a! provide detailed descriptions and rationales concerning such
policies or procedures and b) describe or propose safeguards (e.g., periodic reviews, staff training) for adequately
protecting participants against possible abuse that might be associated with the policies or procedures. After
careful consideration of the issues, the committee shall decide what to recommend concerning the policies and
procedures in question. The committeecould prescribe conditions under which the activity of concern may be
conducted, define substantial changes which should be brought to its attention, and determine the nature and
frequency of interim review procedures deemed necessary to insure continued acceptable conduct.
•
Reviewing alleged violations. In considering cases of alleged ethical violation by members, the committee shall
first attempt to determine if the alleged offense is sufficient to warrant a full review. This process may involve
further communication with the complainant. (It should be noted that the committee shall not proceed on the
basis of anonymous complaints.) If. in the opinion of the committee, the conduct alleged in a complaint
represents a possible serious violation of the standards: the committee shall determine whether to proceed or to
refer the complaint to the appropriate local Sponsor Site committee. If the committee decides to proceed it shalt
ask the complainant to provide written permission for the committee to identify him/her to the member against
whom the complaint has been made. The committee will then inform the member in writing of the nature of the
complaint and request information concerning the facts surrounding the case. The committee may, if written
permission was obtained, inform the member of the name of the complainant. The member shall be asked to
respond in 30 days, but failure or delay by the member in responding or lack of cooperation shall not prevent the
committee from continuing its investigation. The member must provide information that is relevant to the
complaint and shall be informed that the information submitted will become a part of the record and could be
used if further proceedings were to be necessary. If warranted. the committee can also utilize other sources of
information available to it, including relevant written reports and documents and statements by relevant
consumers. colleagues. Supervisors, and others. This process should be carried out in an objective and careful
manner and in such a way as to protect, to the extent possible, the anonymity and reputation of all affected
parties. If upon completion of its investigation, the committee shall decide to dismiss the case, or to attempt an
informal disposition, the committee shall so inform the Executive Committee and, if the Executive Committee
concurs, shall inform other relevant (i.e., may have been involved in or informed of the process) members and
committees of the association. If on the other hand, the National Ethics Committee shall decide to recommend
suspension or expulsion of the member(s) involved, the procedure for association action in that regard will be as
specified in the Bylaws. In making a recommendation for suspension or expulsion, the committee shall specify:
(a) the alleged violation, (b) the specific principles of the Ethical Standards violated and (c) the specific action
recommended by the National Ethics Committee.
• Part D: Committee Records
• The permanent files of the National Ethics Committee will be maintained by the
•
•
chairperson of the committee. They will contain: (a) copies of all documents
presented or required for initial and continuing review, (b) committee meeting
minutes including to
records of discussions of substantive issues and their resolutions, (c) transmittals on
actions, instructions, and conditions resulting from committee deliberations.
The files will be confidential. Only members of the National Ethics Committee and the
Executive Committee of the Association will have access and then only as necessary
to permit sound decision-making. Except as otherwise provided by statements in the
document or by law, information in the records or in possession of the committee
that is acquired in connection with its activities and that refers to or can be identified
with particular individuals shall not be disclosed without consent of the individuals involved or of their legally authorized representative. Materials on which decisions were
based will be destroyed when they are judged to be no longer useful in specific
decisions or appeals. If records contain sensitive material or are otherwise potentially
damaging to individuals, then as much as possible, names shall be deleted or
summaries used. Summary committee records will be kept of all reviews including
dates of review and action taken as a result.
Ethics and Youth Rights
This training presentation is available for download at:
www.utahparenting.org
© 2007 Utah Youth Village.