	Ethical Practice

Introduction

Administration and Management

Service Delivery Administration Standards

Service Standards

ETH 5: Professional Conduct*

The organization conducts business and delivers services in an honest, ethical, objective manner and is guided in making decisions by professional responsibility.

Note: Please see Conflict of Interest_Policy and Procedure Template in the Announcements section of your My COA account for additional assistance with this standard.

ETH 5.01

Personnel know and follow the code of ethics of their respective professions.

ETH 5.02

The organization prohibits:

making or accepting payment or other consideration in exchange for referrals;
steering, directing referrals to, or giving preference to clients easier or less costly to serve for the organization and practitioners within the organization;
unfairly steering or directing referrals to, or "creaming" clients for specific network service provider organizations, such as network owners, or individual practitioners within the network, as applicable to networks; and
steering or directing referrals to private practices in which personnel, consultants, or the immediate families of personnel and consultants are engaged.

Interpretation: It is permissible to include on referral lists personnel and consultants with private practices, or family members of personnel and consultants, but the organization may not actively direct service recipients to the practices of these individuals.

ETH 5.03

The organization prohibits preferential treatment of organization members, community partners, members of the organization's governing body, advisory groups, personnel, or consultants applying for and receiving the organization’s services.

ETH 5.04

An organization requires practitioners with a private practice on its premises to provide their clients with a written statement that clarifies the relationship between the private practitioner and the organization.

Interpretation: As an example, the statement would make it known if a practitioner is also an employee of the organization, and clearly indicate that the client is not being served by the organization.

NA Private practice is not permitted on the organization’s premises.

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	PURPOSE: The organization earns and sustains the public trust through honest, truthful, and responsible transactions, partnerships, and relationships with individuals, communities, providers, businesses, donors, and government entities.

RELATED FILES


	SERVICE One or more organization-operated programs or activities that have a common general objective and deploy the organization's material and human resources in a planned and systematic manner. An organization that publicly promotes or identifies itself in writing as offering a service, is licensed to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.


	OBJECTIVE A sub-goal stated in operational terms, i.e., a statement that makes clear what expected results are to be measured or assessed.


	PERSONNEL The body of employees and/or volunteers that carries out the organization's tasks under the organization's administration and/or supervision. This definition does not include foster parents who are specifically referenced in relevant standards


	CODE OF ETHICS An explicit, written statement of the values, principles, and operating rules of a profession that regulates the conduct of a profession's members


	REFERRALS Resource suggestions provided to consumers to address problems or needs that are beyond the scope of the organization's mission.


	PRACTICE Established actions or ways of proceeding in the regular performance of organizational duties. Policies and procedures often guide practice.


	CONSULTANT A person who provides specialized or technical advice or services to an organization for specific purposes on a contractual or fee basis, or who provides such services as a volunteer with an agreement to provide services on a pro bono basis.


	FAMILY Two or more people who consider themselves family and who assume obligations, functions, and responsibilities generally essential to healthy family life. Child care and child socialization, income support, long-term care, and other caregiving are among the functions of family life. The definition of "family" will rest with an individual's indication of who plays a family member role, including current or former foster family, adoptive family, extended family members, fictive kin, or significant others. Organizations that believe family is the central constellation in a child's life, and that family attachments are of primary importance for human development, will strive to work with professional staff to develop a common understanding of "family."


	SERVICE RECIPIENT The individuals, groups, organizations, or communities that use, receive, or benefit from programs and services. Service recipients can include consumers, patients, family members, legal guardians, advocates, public/private organizations, employers, and purchasers. All are regarded as significant stakeholders served in a variety of agencies and practice settings.


	COMMUNITY A specific group of people living in the same locality and who may share a common culture, values, and norms. Communities can also be defined by race, religion, ethnicity, age, occupation, political status, tribal affiliation, interest in particular problems or outcomes, or other common bonds. The term "community" encompasses worksites, schools, tribes, residential neighborhoods, business districts, recreational areas, and health and human service sites.


	CLIENT See service recipient.


	GOVERNING BODY A person or persons with the legal authority and responsibility to set policy and oversee the operations of an organization. Generally, the governing body is a group, such as a board of directors or board of trustees. While the exact responsibilities of the governing body depend on the nature and character of the organization, the governing body has minimum fiduciary responsibilities to the organization set by statute, regulation, and case law, and typically assume responsibilities for long term planning, risk management, and evaluation and effectiveness of management.


	ADVISORY GROUP A group of individuals selected by an organization's governing body or management who possess unique skills and/or knowledge and whose role is to make recommendations, provide information, and/or share input from stakeholders. Advisory groups do not have formal governance authority or responsibilities. Advisory groups can be ongoing or ad hoc.


	EMPLOYEE Paid member of an organization. Foster parents are not considered employees and are specifically referenced in relevant standards.