Physical and Occupational Therapy Continuing Education

Continuing education for physical therapists, occupational
therapists, and other healthcare professionals

 

Course Price  $20.00

Contact Hours  2

Instructions  Study the course, then take the test. You can also print the course and test questions and return later to take the test.

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Texas: Ethics and Professional Responsibility

For Physical Therapists and Physical Therapy Assistants

Persis Mary Hamilton, RN, CNS, MS, EdD

This course meets the two-hour ethics and professional responsibility continuing education requirement for license renewal purposes for Texas PTs and PTAs. This course has been approved by the Texas Board of Physical Therapy Examiners, course approval number 42857A.

 
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LEARNING OBJECTIVES

Upon completion of this course, you will be able to:

  • Discuss important ethical theories and their effect on decision making.
  • Interpret the Code of Ethics of the American Physical Therapy Association and the Guide for Professional Conduct.
  • Explain the APTA Guide and Standards of Ethical Conduct for the physical therapy assistant.
  • Apply ethical and legal standards to the practice of physical therapy.
 

ETHICAL CONCERNS

Ethics, A Branch of Philosophy

Many folks roll their eyes and change the subject when they hear the word ethics, viewing it as too controversial or too complex for discussion. Nonetheless, ethics is a significant concern of thinking, caring persons, especially healthcare providers such as physical therapists, physical therapy assistants, nurses, and physicians.

Ethics is the a branch of philosophy concerned with the rightness or wrongness of human behavior and the goodness or badness of its effects. Because ethics assumes that people have the ability to make choices about their behavior, it has been the subject of philosophical discussion for centuries, generating an enormous body of literature. Those who study ethics divide these writings into three general categories: descriptive (characteristics), analytical (meta-ethics), and prescriptive (normative).

  • Descriptive ethics reports and describes the moral choices people make.
  • Analytical ethics scrutinize the language people use to discuss issues of right and wrong.
  • Prescriptive ethics offers advice about how people should decide what is good or bad behavior. They do this from two very different perspectives: teleological and deontological.

A teleological (consequential, utilitarian, situational) perspective affirms that the rightness or wrongness of an act is determined by the end results of an action. The term comes from the Greek teleos, meaning “end.” If the end result harms others, the act is considered wrong or bad. If the end result benefits others, the act is considered good or right. The central issue of this perspective is the principle of the “greatest good.” The utilitarian teachings of John Stuart Mill and the situation ethics of Joseph Fletcher maintain that end results and circumstances are essential factors in considering the rightness or wrongness of human behavior (Hamilton, 1996).

Teleological theories foster morality by developing the capacity of humans to make choices. These theories reject fixed moral codes of conduct such as the biblical command “Thou shalt not kill” (Exodus 20:13). For example, a man is suffering with intractable pain caused by an incurable disorder. He begs his physician to give him enough pain medication to lessen his suffering, even though the drug dose may hasten his death. According to teleological perspective, the physician should provide the medication because the end result (relieving pain) is a greater good than keeping the man alive but suffering intractable pain.

The deontological (nonconsequentialist) perspective fosters morality by teaching humans to accept and obey fixed laws. The term comes from the Greek deontos, meaning “duty to obey.” Immanuel Kant is the theorist most often identified with deontological ethics. He maintained that certain acts are inherently right or wrong, regardless of the situation or the end results. In deontological ethics, there are no exceptions or mitigating circumstances. According to this perspective, preserving the life of the man with intractable pain is a greater good than relieving his pain and hastening his death. The physician’s duty is to obey the commandment “Thou shalt not kill,” regardless of the situation or end result. Thus, the deontological perspective simplifies ethical decision making by removing the issue of mitigating circumstances.

Concepts Related to Ethics

Bioethics is the application of ethics to matters of human life. As scientific knowledge expands and healthcare providers have greater control over disease, pain, life, and death, it is necessary to address issues of right and wrong behavior. Although some authors use the term morals to refer to human behavior and ethics to refer to formalized codes of conduct, both words mean the same thing. Ethics comes from the Greek word ethos and morals from the Latin word mores. In recent years, some politicians have substituted the word values for morality, however the word values has a much broader meaning.

Values are treasured ideals and attributes, such as creativity, achievement, adventure, power, friendship, and belief systems. Understanding what you value brings purpose and clarity to life. Seeking such clarity was recognized by Socrates, who is credited with saying “An unexamined life is not worth living.” To help people examine their lives and clarify their values, Louis Raths (1979) suggested a seven-step process he called “values clarification,” as shown in Box 1.

BOX 1 THE VALUING PROCESS

Choosing

1. Identifying and selecting alternatives

2. Choosing freely from alternatives

3. Considering the consequences of each choice

Prizing

4. Being proud of and happy with your choice

5. Affirming your choice publicly

Acting

6. Making the choice a part of your behavior

7. Acting with a pattern of consistency and repetition

Source: Modified from Raths, Harmin & Simon, 1979.

Belief systems are organized patterns of thought regarding the origin, purpose, and place of humans in the universe. These systems seek to explain the mysteries of life and death, good and evil, health and illness. Typically, belief systems include an ethical code of conduct about how people should relate to the world and its inhabitants.

Religions are schemes of thought and action that usually include belief systems, faith in a mystical power, devotional rituals, and organizational structures. Though some religions are centuries old, with myriad adherents, others are relatively new, with only a few followers. In the United States, when believers band together to perform charitable work they are given special protections and benefits.

Ethical Principles

Ethical principles are fundamental concepts by which people judge behavior. These principles help individuals make decisions and serve as criteria against which people gauge the rightness or wrongness of behavior. Laws are rules made by an authority with the power to enforce them. Although laws flow from ethical principles, they are limited to specific situations and codified by detailed language. Ethical principles are guiding ideals of conduct that speak to the spirit of a law rather than its letter.

Throughout recorded history, leaders of world religions have taught an overarching ethical principle commonly known as the Golden Rule. It may be expressed in positive terms, “Do unto others as you would they do unto you,” or in negative terms, “Do not do unto others as you would not have them do unto you.” Some philosophers emphasize certain principles over others. For example, Kant held that duty was the central issue; Mills, the interest of all; Fletcher, love; Thiroux, human dignity; Nodding, care; and Gilligan, care and justice. A single, global principle for exemplary behavior is an attractive approach, but when people face real-life situations they seek more precise guidance.

Over the years, five ethical principles have emerged as especially applicable to healthcare providers. They are: respect for human life and dignity, beneficence, autonomy, honesty, and justice. The Code of Ethics of the American Physical Therapy Association, described below, applies all five principles to practice.

HUMAN LIFE AND DIGNITY

Respect for human life and dignity is one of the most basic of ethical principles. It requires that “individuals be treated as unique and equal to every other individual and that special justification is required for interference with an individual’s own purposes, privacy, and behavior” (Rawls, 1971). This principle calls for respect for the life, freedom, and privacy of all humans. When applied to practice, respect for human rights and dignity means that physical therapists:

  • Recognize and be responsive to individual and cultural differences.
  • Respect the lifestyle, personhood, and belief systems of clients.
  • Demonstrate concern for the physical, psychological, and socioeconomic well-being of clients.
  • Refrain from abuse, harassment, or discrimination against others.
  • Strive to sustain human life and dignity while relieving suffering and promoting maximum physical and emotional well-being.

BENEFICENCE

Beneficence means doing good to benefit others. Although some writers separate beneficence (doing good) from nonmaleficence (not doing harm), Frankena (1973) suggested the ethical principle of beneficence is a continuum, from a neutral not harming, to a positive doing good, that is, not inflicting harm . . . preventing harm . . . removing harm . . . promoting and doing good. At a minimum, beneficence means maintaining professional competence. However, it also means acting in ways that demonstrate care and nurturance. When applied to practice, beneficence means that physical therapists:

  • Attend to the needs of clients, thoughtfully assessing their mobility level.
  • Provide timely, appropriate interventions to advance the treatment plan.
  • Accurately evaluate the effectiveness of an intervention.
  • Communicate important treatment results to other members of the healthcare team.
  • Achieve and maintain professional competence.

AUTONOMY

Autonomy is the right of self-determination, independence, and freedom. It is the personal right of individuals to absorb information, comprehend it, make a choice, and carry out that choice. Physical therapists carry out the principle of autonomy by providing information to clients, assisting them to understand the information, and helping them make decisions based on accurate scientific information. When applied to practice, autonomy means that physical therapists:

  • Inform clients about available options regarding their treatment.
  • Make sure clients fully understand the actions and risks of treatment options.
  • Respect and accept decisions clients make about their own care or the care of another person for whom they are legally responsible.
  • Implement and evaluate interventions chosen by clients.
  • Hold in confidence personal information of clients, only divulging it when they or their legal guardian has given permission.

HONESTY (TRUTHFULNESS, FIDELITY)

Honesty means truthfulness in word and deed. Even when needing to convey unwelcome information to clients about their illness or treatment options, physical therapists do so truthfully, with compassion, only withholding information when the client is a minor child or an adult under legal guardianship. Dishonesty and deceit are especially odious when they involve theft of pain-relieving drugs or devices. Honesty means absolute truthfulness regarding professional credentials and financial matters, never charging for unearned services or accepting commissions, discounts, or gratuities for covert gain. It means obeying both the spirit and the letter of the law. When applied to practice, honesty means that physical therapists:

  • Provide factual, scientifically based, and relevant information to clients about their care, including benefits and risks.
  • Accurately report and record critical data, regardless of personal consequences.
  • Place the welfare of clients above personal or professional gain.
  • Charge reasonable fees, and then only for services actually performed.
  • Keep promises and abide by contracts.
  • Represent professional credentials and achievements truthfully.

JUSTICE

Justice implies fairness and equality. It requires impartial treatment of clients. Like other ethical principles, justice is based on respect for human life and dignity. The historic image of justice is a blindfolded woman with a scale, weighing an issue on the basis of objective evidence and judicial precepts. Justice means that scarce resources will be distributed equally, using the same criteria for everyone. When applied to practice, justice means that physical therapists:

  • Use equal diligence for all when assessing needs for physical therapy and intervention.
  • Attend to the needs of clients, no matter how difficult their personality, disability, race, religion, gender, age, or life style.
  • Evaluate and communicate information about treatment plans without bias.
  • Deal fairly and equally with professional supervisors, colleagues, and subordinates.

Ethical Dilemmas

A dilemma is a perplexing problem that requires a choice between conflicting alternatives. An ethical dilemma is a moral problem that requires a choice between two or more opposite actions, each of which is based on an ethical principle. For example, a physical therapist must decide whether to honor the ethical principle of honesty and disclose the unlikely value of a proposed treatment to relieve pain or to honor the principle of beneficence and withhold information in order to give the client hope.

Resolution of ethical dilemmas requires careful evaluation of all the facts of the case, including applicable laws, consultation with all concerned parties, and appraisal of the decision makers’ ethical stance (whether it is teleological, by which we consider end results, or deontological, by which we obey fixed laws).

Nowadays, ethical dilemmas in healthcare facilities arise more frequently because modern medicine can keep hearts and lungs functioning when brains have lost the ability to think. To help resolve these perplexing issues, many institutions appoint ethics committees made up of healthcare professionals, ethicists, lawyers, and clergy. The task of ethics committees is to help decision makers resolve ethical dilemmas. Often these committees use an ethical decision making process such as the following:

  1. Gather relevant facts about the client’s age, diagnosis, and applicable laws.
  2. Identify and clearly state the conflicting ethical principles.
  3. List alternative actions together with ethical principles that support each action.
  4. Determine who can make the decision and assist that person to make it.
  5. Provide emotional support for all of the people who are involved.

To reduce the number and complexity of ethical dilemmas, and in support of the ethical principle of autonomy, the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) recommends that all adults discuss their wishes regarding extraordinary treatment measures with their families and sign a legal document, called an advance healthcare directive, appointing someone to make healthcare decisions in their stead if they should become incapacitated (JCAHO, 2003).

Codes of Ethics

Codes of ethics are formal statements that set standards of ethical behavior for a group of people. In fact, one of the hallmarks of a profession is that its members subscribe to a code of ethics. The Code of Ethics of the American Physical Therapy Association (APTA) makes explicit the values and standards of the profession, providing guidance to carry out the professional responsibilities of physical therapists (Box 2).

BOX 2 AMERICAN PHYSICAL THERAPY ASSOCIATION CODE OF ETHICS

Preamble

The Code of Ethics of the American Physical Therapy Association sets forth principles of ethical practice of physical therapy. All physical therapists are responsible for maintaining and promoting ethical practice. To this end, the physical therapist shall act in the best interest of the patient/client. This Code of Ethics shall be binding on all physical therapists.

Principle 1

A physical therapist shall respect the rights and dignity of all individuals and shall promote compassionate care.

Principle 2

A physical therapist shall act in a trustworthy manner toward patients/clients, and in all aspect of physical therapy practice.

Principle 3

A physical therapist shall comply with laws and regulations governing physical therapy and shall strive to effect changes that benefit patients/clients.

Principle 4

A physical therapist shall exercise sound professional judgment.

Principle 5

A physical therapist shall achieve and maintain professional competence.

Principle 6

A physical therapist shall maintain and promote high standards for physical therapy in education and research.

Principle 7

A physical therapist shall seek only such remuneration as is desired and reasonable for physical therapy services.

Principle 8

A physical therapist shall provide and make available accurate and relevant information for patients/clients about their care and to the public about physical therapy services.

Principle 9

A physical therapist shall protect the public and the profession from unethical, incompetent, and illegal acts.

Principle 10

A physical therapist shall endeavor to address the health needs of society.

Principle 11

A physical therapist shall respect the rights, knowledge, and skills of colleagues and other healthcare professionals.

Source: APTA, 2001. Reprinted with permission.

LEGAL AND PROFESSIONAL RESPONSIBILITY

Although physical therapists (PT) and physical therapist assistants (PTA) gain professional certification from their national organization, they must be licensed to practice under state laws. For that reason, both PTs and PTAs need to understand the relationship of ethics to law, the basis of United States law, sources and types of laws, some salient legal concepts, standards and guides for professional conduct, and application of ethics and law to the practice of physical therapy.

Ethics and Law in the United States

Laws flow from ethical principles, but are limited to specific situations and codified by detailed language. They are rules of behavior made by an authority with power to enforce them. As such, they change with time. In the United States, law is based on the old English system where the monarch held supreme power over the land and its people, acting according to “divine right.” Decisions of the monarch became the law of the land and were known as common or case law. These case-by-case decisions set precedent and shaped future laws.

In the United States, the Constitution is the supreme law of the land, filling the role once held by the monarch. The first ten amendments to the Constitution, the so-called Bill of Rights, place restrictions on the power of government and establish specific individual freedoms, such as the right to free speech and assembly. When people believe they have been denied any of these rights, they can seek redress in the courts.

The U.S. Constitution established three separate branches of government within the federal system: executive, legislative, and judicial. The Constitution grants specific powers to the federal government, called express powers. Under the Tenth Amendment, all other powers are retained by the states, including licensure of healthcare professionals such as physical therapists.

In the states, the division of power mirrors that of the federal government. The judicial branch interprets the law and adjudicates disputes, fulfilling its purpose by administering justice without partiality. The legislative branch make laws on behalf of the people. The executive branch administers and enforces the laws, using the police power of the state. Table 1 summarizes the sources of law in the United States, and Table 2 summarizes the types of law.

TABLE 1 SOURCES OF LAW IN THE UNITED STATES
CONSTITUTIONAL LAW
Source U.S. Constitution, the supreme law of the nation
Functions Establishes executive, legislative, judicial branches of government
Examples
  • Grants specific powers to federal and state governments
  • Protects specific freedoms of individuals (substantive rights)
  • Protects due process of individuals (procedural rights)
STATUTORY LAW
Source Laws passed by legislative bodies of federal, state, and local governments
Functions Protects and provides for the general welfare of society
Examples Control Substance Act of 1971 created a schedule of controlled substances, ranking them according to their potential for abuse from high (I) to low (V).
ADMINISTRATIVE LAW
Source Executive power of federal, state, and local government, delegated by the legislative branch
Functions Carries out special duties of various agencies
Examples
  • Federal administrative law: National Labor Relations Board makes nationwide rules to regulate collective bargaining in the United States
  • State administrative law: State boards of physical therapy make statewide rules to regulate the practice of physical therapy in the state
COMMON (CASE) LAW
Source Precedent, custom, tradition, court-made
Functions Avoids duplication and unnecessary expense of litigating issues many times
Examples Amendment 14 grants “equal protection of the law,” but because of the Plessy v. Fergson, an 1896 decision of the Supreme Court, several states continued to segregate children by race in public schools. In 1954, Brown v. Board of Education decision said, “separation of children in public schools solely on the basis of race deprives children of a minority group equal educational opportunities, even though physical facilities and other tangible factors may be equal”
Source: Adapted from Hamilton, 1996.
TABLE 2 TYPES OF LAW IN THE UNITED STATES
CIVIL LAW
Function To redress wrongs and injuries suffered by individuals
Categories Contract: legally binding agreement between two or more parties
Tort: Any civil wrong other than breach of contract (slander, invasion of privacy, assault, battery, false imprisonment, negligence)
Proof By a preponderance of the evidence; adjudicated by a judge or jury; jury decision need not be unanimous
CRIMINAL LAW
Function To protect society from actions that directly threaten its orderly existence. Criminal acts, while aimed at individuals, are offenses against the state; perpetrators are punished (fined, imprisoned, perform hours of work); victims usually are not compensated but may initiate civil action against perpetrators to make up for injury or loss
Categories Felony: most serious offenses (murder, rape, burglary, grand theft)
Misdemeanor: lesser offenses (PT practice act, traffic violations)
Juvenile: crimes committed by minors (age varies with states and crimes).
Proof Beyond a reasonable doubt; unanimous jury decision may be required
Source: Adapted from Hamilton, 1996.

Federal Statutory Issues

Historically, healthcare regulation has been the province of the states. However, in recent years, the federal government has become increasingly involved. Three pieces of legislation are of particular concern to physical therapy, namely, the Social Security Amendments of 1965, establishing Medicare and Medicaid, the Americans with Disabilities Act of 1995, and the Health Insurance Portability and Accountability Act of 1996.

SOCIAL SECURITY AMENDMENTS OF 1965

Medicaid and Medicare provide healthcare for the indigent, the disabled, and people over 65 years of age. Medicaid is a healthcare plan that pays for intermediate and skilled care for indigent people. Medicare is a insurance program that pays for skilled care only (eg, nursing, physical therapy, occupational therapy). Medicare has two parts: hospital insurance and medical insurance. Part A, the hospital insurance, helps pay for inpatient hospital care and some follow-up care such as home health services and hospice care. Part B, the medical insurance, helps pay for such services as physician, nurse practitioner, and physical therapy services, laboratory tests, diagnostic x-ray and therapy, preventive screening tests, surgical supplies, casts, splints, kidney dialysis, diabetic supplies, and more. The “original” or basic plan covers only a small portion of the cost, thus individuals must buy additional insurance sometimes known as “Medigap” insurance (USDHHS, 2005).

AMERICANS WITH DISABILITIES ACT OF 1995

The Americans with Disabilities Act (ADA) is a broad-reaching civil rights statute. It protects the rights of people with a variety of ailments, including persons infected with human immunodeficiency virus (HIV) and those with respiratory and musculoskeletal disorders. Its provisions include many issues of special concern to physical therapists, such as access to public buildings, equal protection of disabled persons, and nondiscrimination in employment.

HEATH INSURANCE PORTABILITY AND ACCOUNTABILITY ACT
OF 1996

The Health Insurance Portability and Accountability Act (HIPAA) limits the extent to which health insurance plans may exclude care for preexisting conditions. Another important section sets standards regarding the electronic exchange of private and sensitive health information. Known as Privacy Standards, these rules (1) require the consent of clients to use and disclose protected health information, (2) grant clients the right to inspect and copy their medical record, and (3) give clients the right to amend or correct errors. Privacy Standards require all hospitals and healthcare agencies to have specific policies and procedures in place to ensure compliance with the rules.

State Statutes: Physical Therapy Practice Acts

All fifty states and jurisdictions of the United States have physical therapy practice acts. Typically, these acts describe the administration of the regulatory body within the state, the scope of practice, educational institutions, business corporations, penal provisions, revenue, and categories of practice, including physical therapists, physical therapy assistants, and aides. The administrative body, usually called a board, writes rules and regulations that give detailed instructions to practitioners and educational institutions with the goal of protecting the public and providing high-level physical therapy care. It is the responsibility of physical therapy practitioners to know and abide by their state’s practice act and the rules and regulations. This information is available day or night on the Internet.

Professional Organization Guides and Standards

In 2001 the American Physical Therapy Association published a Guide for Professional Conduct of Physical Therapists (Box 3), a Guide for Conduct of Physical Therapist Assistants (Box 4), and Standards of Ethical Conduct for the Physical Therapist Assistant (Box 5). These documents are regularly revised and updated.

BOX 3 APTA GUIDE FOR PROFESSIONAL CONDUCT
OF PTs

Purpose

This Guide for Professional Conduct (Guide) is intended to serve physical therapists in interpreting the Code of Ethics (Code) of the American Physical Therapy Association (Association), in matters of professional conduct. The Guide provides guidelines by which physical therapists may determine the propriety of their conduct. It is also intended to guide the professional development of physical therapist students. The Code and the Guide apply to all physical therapists. These guidelines are subject to change as the dynamics of the profession change and as new patterns of healthcare delivery are developed and accepted by the professional community and the public. This Guide is subject to monitoring and timely revision by the Ethics and Judicial Committee of the Association.

Interpreting Ethical Principles

The interpretations expressed in this Guide reflect the opinions, decisions, and advice of the Ethics and Judicial Committee. These interpretations are intended to assist a physical therapist in applying general ethical principles to specific situations. They should not be considered inclusive of all situations that could evolve.

Principle 1

A physical therapist shall respect the rights and dignity of all individuals and shall provide compassionate care.

1.1 Attitudes of a Physical Therapist

  1. A physical therapist shall recognize, respect, and respond to individual and cultural differences with compassion and sensitivity.
  2. A physical therapist shall be guided at all times by concern for the physical, psychological, and socioeconomic welfare of patients/clients.
  3. A physical therapist shall not harass, abuse, or discriminate against others.

Principle 2

A physical therapist shall act in a trustworthy manner towards patients/clients, and in all other aspects of physical therapy practice.

2.1 Patient/Physical Therapist Relationship

  1. A physical therapist shall place the patient/client’s interest(s) above those of the physical therapist. Working in the patient/client’s best interest requires knowledge of the patient/client’s needs from the patient/client’s perspective. Patients/clients often come to the physical therapist in a vulnerable state and normally will rely on the physical therapist’s advice, which they perceive to be based on superior knowledge, skill, and experience. The trustworthy physical therapist acts to ameliorate the patient’s/client’s vulnerability, not to exploit it.
  2. A physical therapist shall not exploit any aspect of the physical therapist/patient relationship.
  3. A physical therapist shall not engage in any sexual relationship or activity, whether consensual or nonconsensual, with any patient while a physical therapist/patient relationship exists. Termination of the physical therapist/patient relationship does not eliminate the possibility that a sexual or intimate relationship may exploit the vulnerability of the former patient/client.
  4. A physical therapist shall encourage an open and collaborative dialogue with the patient/client.
  5. In the event the physical therapist or patient terminates the physical therapist/patient relationship while the patient continues to need physical therapy services, the physical therapist should take steps to transfer the care of the patient to another provider.

2.2 Truthfulness

A physical therapist has an obligation to provide accurate and truthful information. A physical therapist shall not make statements that he/she knows or should know are false, deceptive, fraudulent, or misleading. See Section 8.2.C and D.

2.3 Confidential Information

  1. Information relating to the physical therapist/patient relationship is confidential and may not be communicated to a third party not involved in that patient’s care without the prior consent of the patient, subject to applicable law.
  2. Information derived from peer review shall be held confidential by the reviewer unless the physical therapist who was reviewed consents to the release of the information.
  3. A physical therapist may disclose information to appropriate authorities when it is necessary to protect the welfare of an individual or the community or when required by law. Such disclosure shall be in accordance with applicable law.

2.4 Patient Autonomy and Consent

  1. A physical therapist shall respect the patient’s/client’s right to make decisions regarding the recommended plan of care, including consent, modification, or refusal.
  2. A physical therapist shall communicate to the patient/client the findings of his/her examination, evaluation, diagnosis, and prognosis.
  3. A physical therapist shall collaborate with the patient/client to establish the goals of treatment and the plan of care.
  4. A physical therapist shall use sound professional judgment in informing the patient/client of any substantial risks of the recommended examination and intervention.
  5. A physical therapist shall not restrict patients’ freedom to select their provider of physical therapy.

Principle 3

A physical therapist shall comply with laws and regulations governing physical therapy and shall strive to effect changes that benefit patients/clients.

3.1 Professional Practice

A physical therapist shall comply with laws governing the qualifications, functions, and duties of a physical therapist.

3.2 Just Laws and Regulations

A physical therapist shall advocate the adoption of laws, regulations, and policies by providers, employers, third party payers, legislatures, and regulatory agencies to provide and improve access to necessary healthcare services for all individuals.

3.3 Unjust Laws and Regulations

A physical therapist shall endeavor to change unjust laws, regulations, and policies that govern the practice of physical therapy. See Section 10.2.

Principle 4

A physical therapist shall exercise sound professional judgment.

4.1 Professional Responsibility

  1. A physical therapist shall make professional judgments that are in the patient/client’s best interests.
  2. Regardless of practice setting, a physical therapist has primary responsibility for the physical therapy care of a patient and shall make independent judgments regarding that care consistent with accepted professional standards. See Sections 2.4 and 6.1.
  3. A physical therapist shall not provide physical therapy services to a patient/client while his/her ability to do so safely is impaired.
  4. A physical therapist shall exercise sound professional judgment based upon his/her knowledge, skill, education, training, and experience.
  5. Upon accepting a patient/client for physical therapy services, a physical therapist shall be responsible for: the examination, evaluation, and diagnosis of that individual; the prognosis and intervention; re-examination and modification of the plan of care; and the maintenance of adequate records, including progress reports. A physical therapist shall establish the plan of care and shall provide and/or supervise and direct the appropriate interventions. See Section 2.4.
  6. If the diagnostic process reveals findings that are outside the scope of the physical therapist’s knowledge, experience, or expertise, the physical therapist shall so inform the patient/client and refer to an appropriate practitioner.
  7. When the patient has been referred from another practitioner, the physical therapist shall communicate pertinent findings and/or information to the referring practitioner.
  8. A physical therapist shall determine when a patient/client will no longer benefit from physical therapy services. See Section 7.1.D.

4.2 Direction and Supervision

  1. The supervising physical therapist has primary responsibility for the physical therapy care rendered to a patient/client.
  2. A physical therapist shall not delegate to a less qualified person any activity that requires the professional skill, knowledge, and judgment of the physical therapist.

4.3 Practice Arrangements

  1. Participation in a business, partnership, corporation, or other entity does not exempt physical therapists, whether employers, partners, or stockholders, either individually or collectively, from the obligation to promote, maintain and comply with the ethical principles of the Association.
  2. A physical therapist shall advise his/her employer(s) of any employer practice that causes a physical therapist to be in conflict with the ethical principles of the Association. A physical therapist shall seek to eliminate aspects of his/her employment that are in conflict with the ethical principles of the Association.

4.4 Gifts and Other Consideration(s)

  1. A physical therapist shall not invite, accept, or offer gifts, monetary incentives, or other considerations that affect or give an appearance of affecting his/her professional judgment.
  2. A physical therapist shall not offer or accept kickbacks in exchange for patient referrals. See Sections 7.1.F and G and 9.1.D.

Principle 5

A physical therapist shall achieve and maintain professional competence.

5.1 Scope of Competence

A physical therapist shall practice within the scope of his/her competence and commensurate with his/her level of education, training and experience.

5.2 Self-assessment

A physical therapist has a lifelong professional responsibility for maintaining competence through on-going self-assessment, education, and enhancement of knowledge and skills.

5.3 Professional Development

A physical therapist shall participate in educational activities that enhance his/her basic knowledge and skills. See Section 6.1.

Principle 6

A physical therapist shall maintain and promote high standards for physical therapy practice, education and research.

6.1 Professional Standards

A physical therapist’s practice shall be consistent with accepted professional standards. A physical therapist shall continuously engage in assessment activities to determine compliance with these standards.

6.2 Practice

  1. A physical therapist shall achieve and maintain professional competence. See Section 5.
  2. A physical therapist shall demonstrate his/her commitment to quality improvement by engaging in peer and utilization review and other self-assessment activities.

6.3 Professional Education

  1. A physical therapist shall support high-quality education in academic and clinical settings.
  2. A physical therapist participating in the educational process is responsible to the students, the academic institutions, and the clinical settings for promoting ethical conduct. A physical therapist shall model ethical behavior and provide the student with information about the Code of Ethics, opportunities to discuss ethical conflicts, and procedures for reporting unresolved ethical conflicts. See
    Section 9.

6.4 Continuing Education

  1. A physical therapist providing continuing education must be competent in the content area.
  2. When a physical therapist provides continuing education, he/she shall ensure that course content, objectives, faculty credentials, and responsibilities of the instructional staff are accurately stated in the promotional and instructional course materials.
  3. A physical therapist shall evaluate the efficacy and effectiveness of information and techniques presented in continuing education programs before integrating them into his or her practice.

6.5 Research

  1. A physical therapist participating in research shall abide by ethical standards governing protection of human subjects and dissemination of results.
  2. A physical therapist shall support research activities that contribute knowledge for improved patient care.
  3. A physical therapist shall report to appropriate authorities any acts in the conduct or presentation of research that appear unethical or illegal. See Section 9.

Principle 7

A physical therapist shall seek only such remuneration as is deserved and reasonable for physical therapy services.

7.1 Business and Employment Practices

  1. A physical therapist’s business/employment practices shall be consistent with the ethical principles of the Association.
  2. A physical therapist shall never place her/his own financial interest above the welfare of individuals under his/her care.
  3. A physical therapist shall recognize that third-party payer contracts may limit, in one form or another, the provision of physical therapy services. Third-party limitations do not absolve the physical therapist from making sound professional judgments that are in the patient’s best interest. A physical therapist shall avoid underutilization of physical therapy services.
  4. When a physical therapist’s judgment is that a patient will receive negligible benefit from physical therapy services, the physical therapist shall not provide or continue to provide such services if the primary reason for doing so is to further the financial self-interest of the physical therapist or his/her employer. A physical therapist shall avoid overutilization of physical therapy services. See Section 4.1.H.
  5. Fees for physical therapy services should be reasonable for the service performed, considering the setting in which it is provided, practice costs in the geographic area, judgment of other organizations, and other relevant factors.
  6. A physical therapist shall not directly or indirectly request, receive, or participate in the dividing, transferring, assigning, or rebating of an unearned fee. See Sections 4.4.A and B.
  7. A physical therapist shall not profit by means of a credit or other valuable consideration, such as an unearned commission, discount, or gratuity, in connection with the furnishing of physical therapy services. See Sections 4.4.A and B.
  8. Unless laws impose restrictions to the contrary, physical therapists who provide physical therapy services within a business entity may pool fees and monies received. Physical therapists may divide or apportion these fees and monies in accordance with the business agreement.
  9. A physical therapist may enter into agreements with organizations to provide physical therapy services if such agreements do not violate the ethical principles of the Association or applicable laws.

7.2 Endorsement of Products or Services

  1. A physical therapist shall not exert influence on individuals under his/her care or their families to use products or services based on the direct or indirect financial interest of the physical therapist in such products or services. Realizing that these individuals will normally rely on the physical therapist’s advice, their best interest must always be maintained, as must their right of free choice relating to the use of any product or service. Although it cannot be considered unethical for physical therapists to own or have a financial interest in the production, sale, or distribution of products/services, they must act in accordance with law and make full disclosure of their interest whenever individuals under their care use such products/services.
  2. A physical therapist may receive remuneration for endorsement or advertisement of products or services to the public, physical therapists, or other health professionals provided he/she discloses any financial interest in the production, sale, or distribution of said products or services.
  3. When endorsing or advertising products or services, a physical therapist shall use sound professional judgment and shall not give the appearance of Association endorsement unless the Association has formally endorsed the products or services.

7.3 Disclosure

A physical therapist shall disclose to the patient if the referring practitioner derives compensation from the provision of physical therapy.

Principle 8

A physical therapist shall provide and make available accurate and relevant information to patients/clients about their care and to the public about physical therapy services.

8.1 Accurate and Relevant Information to the Patient

  1. A physical therapist shall provide the patient/client accurate and relevant information about his/her condition and plan of care. See Section 2.4.
  2. Upon the request of the patient, the physical therapist shall provide, or make available, the medical record to the patient or a patient-designated third party.
  3. A physical therapist shall inform patients of any known financial limitations that may affect their care.
  4. A physical therapist shall inform the patient when, in his/her judgment, the patient will receive negligible benefit from further care. See Section 7.1.C.

8.2 Accurate and Relevant Information to the Public

  1. A physical therapist shall inform the public about the societal benefits of the profession and who is qualified to provide physical therapy services.
  2. Information given to the public shall emphasize that individual problems cannot be treated without individualized examination and plans/programs of care.
  3. A physical therapist may advertise his/her services to the public. See Section 2.2.
  4. A physical therapist shall not use, or participate in the use of, any form of communication containing a false, plagiarized, fraudulent, deceptive, unfair, or sensational statement or claim. See Section 2.2.
  5. A physical therapist who places a paid advertisement shall identify it as such unless it is apparent from the context that it is a paid advertisement.

Principle 9

A physical therapist shall protect the public and the profession from unethical, incompetent, and illegal acts.

9.1 Consumer Protection

  1. A physical therapist shall provide care that is within the scope of practice as defined by the state practice act.
  2. A physical therapist shall not engage in any conduct that is unethical, incompetent or illegal.
  3. A physical therapist shall report any conduct that appears to be unethical, incompetent, or illegal.
  4. A physical therapist may not participate in any arrangements in which patients are exploited due to the referring sources’ enhancing their personal incomes as a result of referring for, prescribing, or recommending physical therapy. See Sections 2.1.B, 4, and 7.

Principle 10

A physical therapist shall endeavor to address the health needs of society.

10.1 Pro Bono Service

A physical therapist shall render pro bono publico (reduced or no fee) services to patients lacking the ability to pay for services, as each physical therapist’s practice permits.

10.2 Individual and Community Health

  1. A physical therapist shall be aware of the patient’s health-related needs and act in a manner that facilitates meeting those needs.
  2. A physical therapist shall endeavor to support activities that benefit the health status of the community. See Section 3.

Principle 11

A physical therapist shall respect the rights, knowledge, and skills of colleagues and other healthcare professionals.

11.1 Consultation

A physical therapist shall seek consultation whenever the welfare of the patient will be safeguarded or advanced by consulting those who have special skills, knowledge, and experience.

11.2 Patient/Provider Relationships

A physical therapist shall not undermine the relationship(s) between his/her patient and other healthcare professionals.

11.3 Disparagement

Physical therapists shall not disparage colleagues and other healthcare professionals. See Section 9 and Section 2.4.A.

Source: APTA, 2004.
 
BOX 4 APTA GUIDE FOR CONDUCT OF PTAs

Purpose

This Guide for Conduct of the Physical Therapist Assistant (Guide) is intended to serve physical therapist assistants in interpreting the Standards of Ethical Conduct for the Physical Therapist Assistant (Standards) of the American Physical Therapy Association (APTA). The Guide provides guidelines by which physical therapist assistants may determine the propriety of their conduct. It is also intended to guide the development of physical therapist assistant students. The Standards and Guide apply to all physical therapist assistants. These guidelines are subject to change as the dynamics of the profession change and as new patterns of healthcare delivery are developed and accepted by the professional community and the public. This Guide is subject to monitoring and timely revision by the Ethics and Judicial Committee of the Association.

Interpreting Standards

The interpretations expressed in this Guide reflect the opinions, decisions, and advice of the Ethics and Judicial Committee. These interpretations are intended to guide a physical therapist assistant in applying general ethical principles to specific situations. They should not be considered inclusive of all situations that a physical therapist assistant may encounter.

Standard 1

A physical therapist assistant shall respect the rights and dignity of all individuals and shall provide compassionate care.

1.1 Attitude of a Physical Therapist Assistant

  1. A physical therapist assistant shall recognize, respect, and respond to individual and cultural differences with compassion and sensitivity.
  2. A physical therapist assistant shall be guided at all times by concern for the physical and psychological welfare of patients/clients.
  3. A physical therapist assistant shall not harass, abuse, or discriminate against others.

Standard 2

A physical therapist assistant shall act in a trustworthy manner towards patients/clients.

2.1 Trustworthiness

  1. The physical therapist assistant shall place the patient’s/client’s interest(s) above those of the physical therapist assistant. Working in the patient’s/client’s best interest requires sensitivity to the patient’s/client’s vulnerability and an effective working relationship between the physical therapist and the physical therapist assistant.
  2. A physical therapist assistant shall not exploit any aspect of the physical therapist assistant–patient/client relationship.
  3. A physical therapist assistant shall clearly identify him/herself as a physical therapist assistant to patients/clients.
  4. A physical therapist assistant shall conduct him/herself in a manner that supports the physical therapist–patient/client relationship.
  5. A physical therapist assistant shall not engage in any sexual relationship or activity, whether consensual or nonconsensual, with any patient entrusted to his/her care. Termination of patient/client care does not eliminate the possibility that a sexual or intimate relationship may exploit the vulnerability of the former patient/client.
  6. A physical therapist assistant shall not invite, accept, or offer gifts, monetary incentives or other considerations that affect or give an appearance of affecting his/her provision of physical therapy interventions. See Section 6.3.

2.2 Exploitation of Patients

A physical therapist assistant shall not participate in any arrangements in which patients/clients are exploited. Such arrangements include situations where referring sources enhance their personal income by referring to or recommending physical therapy services.

2.3 Truthfulness

  1. A physical therapist assistant shall not make statements that he/she knows or should know are false, deceptive, fraudulent, or misleading.
  2. Although it cannot be considered unethical for a physical therapist assistant to own or have a financial interest in the production, sale, or distribution of products/services, he/she must act in accordance with law and make full disclosure of his/her interest to patients/clients.

2.4 Confidential Information

  1. Information relating to the patient/client is confidential and shall not be communicated to a third party not involved in that patient’s care without the prior consent of the patient, subject to applicable law.
  2. A physical therapist assistant shall refer all requests for release of confidential information to the supervising physical therapist.

Standard 3

A physical therapist assistant shall provide selected physical therapy interventions only under the supervision and direction of a physical therapist.

3.1 Supervisory Relationship

  1. A physical therapist assistant shall provide interventions only under the supervision and direction of a physical therapist.
  2. A physical therapist assistant shall provide only those interventions that have been selected by the physical therapist.
  3. A physical therapist assistant shall not provide any interventions that are outside his/her education, training, experience, or skill, and shall notify the responsible physical therapist of his/her inability to carry out the intervention. See Sections 5.1 and 6.1(B).
  4. A physical therapist assistant may modify specific interventions within the plan of care established by the physical therapist in response to changes in the patient’s/client’s status.
  5. A physical therapist assistant shall not perform examinations and evaluations, determine diagnoses and prognoses, or establish or change a plan of care.
  6. Consistent with the physical therapist assistant’s education, training, knowledge, and experience, he/she may respond to the patient’s/client’s inquiries regarding interventions that are within the established plan of care.
  7. A physical therapist assistant shall have regular and ongoing communication with the physical therapist regarding the patient’s/client’s status.

Standard 4

A physical therapist assistant shall comply with laws and regulations governing physical therapy.

4.1 Supervision

A physical therapist assistant shall know and comply with applicable law. Regardless of the content of any law, a physical therapist assistant shall provide services only under the supervision and direction of a physical therapist.

4.2 Representation

A physical therapist assistant shall not hold him/herself out as a physical therapist.

Standard 5

A physical therapist assistant shall achieve and maintain competence in the provision of selected physical therapy interventions.

5.1 Competence

A physical therapist assistant shall provide interventions consistent with his/her level of education, training, experience, and skill. See Sections 3.1(C) and 6.1(B).

5.2 Self-assessment

A physical therapist assistant shall engage in self-assessment in order to maintain competence.

5.3 Development

A physical therapist assistant shall participate in educational activities that enhance his/her knowledge and skills.

Standard 6

A physical therapist assistant shall make judgments that are commensurate with his/her educational and legal qualifications as a physical therapist assistant.

6.1 Patient Safety

  1. A physical therapist assistant shall discontinue immediately any intervention(s) that, in his/her judgment, may be harmful to the patient/client and shall discuss his/her concerns with the physical therapist.
  2. A physical therapist assistant shall not provide any intervention(s) that are outside his/her education, training, experience, or skill, and shall notify the responsible physical therapist of his/her inability to carry out the intervention. See Section 3.1(C) and 5.1.
  3. A physical therapist assistant shall not perform interventions while his/her ability to do so safely is impaired.

6.2 Judgments About Patient Status

If in the judgment of the physical therapist assistant there is a change in the patient/client status, he/she shall report this to the responsible physical therapist. See Section 3.1.

6.3 Gifts and Other Considerations

A physical therapist assistant shall not invite, accept, or offer gifts, monetary incentives or other considerations that affect or give an appearance of affecting his/her provision of physical therapy interventions. See Section 2.1(F).

Standard 7

A physical therapist assistant shall protect the public and the profession from unethical, incompetent, and illegal acts.

7.1 Consumer Protection

A physical therapist assistant shall report any conduct that appears to be unethical or illegal.

Source: APTA, 2004. Reprinted with permission.
 
BOX 5 APTA STANDARDS OF ETHICAL CONDUCT FOR THE PTA

Preamble

This document of the American Physical Therapy Association sets forth standards for the ethical conduct of the physical therapist assistant. All physical therapist assistants are responsible for maintaining high standards of conduct while assisting physical therapists. The physical therapist assistant shall act in the best interest of the patient/client. These standards of conduct shall be binding on all physical therapist assistants.

Standard 1

A physical therapist assistant shall respect the rights and dignity of all individuals and shall provide compassionate care.

Standard 2

A physical therapist assistant shall act in a trustworthy manner towards patients/clients.

Standard 3

A physical therapist assistant shall provide selected physical therapy interventions only under the supervision and direction of a physical therapist.

Standard 4

A physical therapist assistant shall comply with laws and regulations governing physical therapy.

Standard 5

A physical therapist assistant shall achieve and maintain competence in the provision of selected physical therapy interventions.

Standard 6

A physical therapist assistant shall make judgments that are commensurate with their educational and legal qualifications as a physical therapist assistant.

Standard 7

A physical therapist assistant shall protect the public and the profession from unethical, incompetent, and illegal acts.

Source: APTA, 2001. Reprinted with permission.

APPLICATION OF THEORY TO PRACTICE

CASE 1

Sam Bruno, PT, the owner of City Physical Therapy Center, placed an advertisement in the local newspaper claiming to treat people without the need for “a time-consuming, individualized examination.”

Sam is violating a specific principle of the Guide for Professional Conduct, namely 8.2.B, which requires public emphasis on individualized examination.

Discussion question: In addition to identifying the violated principle, what action should Sam’s professional colleague take, if any?

Suggested answer: As a colleague, you should address Sam about his unethical behavior. If he does not change his ad, then discuss the issue with the local APTA chapter.

CASE 2

The neighbor of Molly Soft, PTA, repeatedly complains about her painful neck and asks Molly to treat her. At first Molly refuses, but eventually she gives in and performs four manual therapy treatments on the neighbor’s cervical spine. At first the treatments help, but after the fourth one, the neighbor complains of increased neck pain.

Molly violated a specific standard in the Guide for Conduct of the PTA, namely Standard 3.1.A, which requires that PTAs work under the direct supervision of a PT.

Discussion question: What action should Molly take?

Suggested answer: Molly should refer her neighbor to a physician for examination and treatment. She should also inform the neighbor that, as a PTA, Molly is bound by ethical standards and licensure laws and she cannot treat the neighbor without the supervision of a PT. Molly has put both her neighbor and herself at risk.

CASE 3

Joe Peal, PT, an employee of the local home health agency, feels a strong sexual attraction for the daughter of one of his clients. He is considering asking her for a date and shares his thoughts and feelings with a colleague.

The specific principle of the Guide for Professional Conduct is 2.1.B, which prohibits a PT from exploiting any aspect of a client relationship.

Discussion question: If you were Joe’s colleague, what would you advise him to do?

Suggested answer: Joe should ask his supervisor to assign another PT to the client and terminate his PT/client relationship before pursuing an association with the daughter.

CASE 4

A PT just started her own business and is heavily in debt. She does not have a full caseload, but says she does not want to “start a precedent” by providing pro bono services to clients.

A specific principle of the Guide for Professional Conduct that speaks to this issue is 10.1, which recommends that PTs provide reduced- or no-fee services when possible.

Discussion question: What ethical principle could you use to appeal to your colleague?

Suggested answer: The ethical principle of beneficence, taking an action to benefit others.

CASE 5

A 33-year-old client is admitted who has severe systemic cellulitis, with weeping sores covering her legs and lower torso. Pam Newsom, a new PT graduate, is asked to administer wound care, alternating with a group of experienced PTs. Although Pam received wound care training during her schooling and knows that the treatment is within a PT’s scope of practice, she is nevertheless reluctant. Pam has never done wound care before and does not feel she has the experience or competence to treat this client.

The specific principle of the Guide for Professional Conduct that speaks to this issue is 5.1, which asserts that a physical therapist shall practice within the scope of his/her competence and commensurate with his/her level of education, training, and experience.

Discussion question: What should Pam do?

Suggested answer: Pam should not perform procedures she does not know how to do. She should communicate immediately with her supervisor.

 

Posted January 3, 2006

Expires January 23, 2009

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REFERENCES

American Physical Therapy Association (APTA). (2004). Code of Ethics. Retrieved June 06, 2005 from http://www.apta.org.

American Physical Therapy Association (APTA). (2001). Guide for Conduct of the Physical Therapist Assistant. Retrieved June 06, 2005 from http://www.apta.org.

American Physical Therapy Association (APTA). (2001). Guide for Professional Conduct. Retrieved June 06, 2005 from http://www.apta.org.

American Physical Therapy Association (APTA). (2001). Standards of Ethical Conduct for the Physical Therapist Assistant. Retrieved June 06, 2005 from http://www.apta.org.

Franken WK. (1973). Ethics. Paramus, NJ: Prentice-Hall.

Hamilton PM. (1996). Realities of Contemporary Nursing, 2nd ed. Menlo Park, CA: Addison-Wesley Nursing.

Joint Commission on Accreditation of Healthcare Organizations (JACHO). (2003). Hospital Accreditation Standards. Oakbrook Terrace, IL: author.

Raths LE, Harmin M, Simons SB. (1979). Values and Teaching, 2nd ed. Columbus: Merrill.

Rawls JA. (1971). A Theory of Justice. Cambridge, MA: Harvard University Press.

Thiroux JP. (2003). Ethics, Theory and Practice, 8th ed. New York: Macmillan.

U.S. Department of Health and Human Services ,Centers for Medicare & Medicaid Services. (2005). Medicare & You. Publication No. CMS-10050. Baltimore, MD: author.

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