	Ethical Practice

Introduction

Administration and Management

Service Delivery Administration Standards

Service Standards

PA-ETH 6: Research Protections

An agency that participates in or permits research involving service recipients establishes the right of individuals to refuse to participate without penalty and guarantees participants’ confidentiality.

Interpretation: All research involving service recipients is conducted in accordance with applicable legal requirements. For purposes of PA ETH 6, research includes all forms of internal or external research involving service recipients, except internal program evaluation and outcomes research, and educational projects carried out by students and interns as part of their professional training.

Agencies serving children and youth who are wards of the state are advised to consult Code of Federal Regulations 45 CFR § 46.4.09 and 21 CFR § 50.56. These regulations specify who can participate in research and that an advocate must be appointed for each participating child.

NA The agency does not permit research involving service recipients.

PA-ETH 6.01

The identity and privacy of participants is safeguarded in all phases of research conducted by, or with the cooperation of, the agency.

Interpretation: Statistical analyses, reports, and summaries are compiled and presented in a manner that masks the identity of the research participants. Case examples from individual case records must be prepared, prior to dissemination, in a manner that masks the individual’s identity.

PA-ETH 6.02

The agency has a mechanism to review research proposals involving service recipients, such as a human subjects committee or an internal review board, that reports to the agency head or senior management.

Interpretation: The committee makes recommendations regarding the ethics of proposed or existing research, decides whether or not to approve research proposals, and monitors ongoing research activities.

PA-ETH 6.03

Research participants, or a parent or legal guardian, sign a consent form that includes:

a statement that he or she voluntarily agrees to participate;
a statement that the agency will continue to provide services whether or not he or she agrees to participate;
an explanation of the nature and purpose of the research;
a clear description of possible risks or discomfort; and
a guarantee of confidentiality.

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	PURPOSE: The agency 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


	RESEARCH For purposes of COA accreditation, all forms of internal or external research involving persons served except internal program evaluation and outcomes research, or educational projects performed by students and interns that are part of their professional training.


	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.


	CONFIDENTIALITY An ethical and practice principle that requires the protection of information shared within a professional-client relationship. An organization that upholds confidentiality prohibits personnel from disclosing information about persons served without their written consent.


	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.


	PROGRAM A system of services offered by an organization. For example, an organization providing a mental health service may offer several mental health programs to different populations, e.g., a mental health program for adolescent teens. The word "program" can be used interchangeably with the word "service" or to describe specific programs.


	EVALUATION The review and assessment of organizational operations, programs and services.


	TRAINING Instruction so as to make fit, qualified, or proficient in a skill or body of knowledge.


	CASE A general term used to designate clients (including individuals, families, and groups) served by an organization for purposes of monitoring the provision of services. A foster care case is generally based on the placement of an individual child, although casework for the child may include services to the child's family. A child protective services case is based on an entire family household if a family assessment model is used; otherwise a case is defined as a child.


	CASE RECORD A written compilation that describes the client and the services delivered. Records can be in hard copy and/or electronic format. The case record can be used as a source of information for quality improvement or other evaluation activities, for research purposes, or to demonstrate accountability to funding bodies.


	SENIOR MANAGEMENT Employees who assume administrative oversight for the organization's programs. Senior management positions may include vice presidents, chief operating officers, assistant commissioners, directors, or other positions that involve management of program administration. The term does not include supervisors of direct service workers.


	AGENCY HEAD See CHIEF EXECUTIVE OFFICER


	ETHICS Formal principles or values used to determine whether practices are right or wrong, good or bad. Most professional organizations have ethical codes that define general standards of appropriate professional conduct.


	LEGAL GUARDIAN A person who has legal responsibility for the care and management of a person incapable of administering his/her own affairs. In the case of a minor child, the guardian is charged with the legal responsibility for the care and management of the child and of the minor child's estate.