Topic / Disciplinary Action / Last Review Date / 06/23/16
CARF Standards / 1.E.1.a,b,d,e; 1.I.8.b.(1).(b) / Last Revision Date / 07/03/13
Purpose / To ensure a consistent management response to staff misconduct
- Staff misconduct falls into several categories, as follows:
- Fraud, including questionable billing and/or documentation practices
- Falsification of work times/days by hourly or salaried staff
- Confidentiality violation
- Professional boundary violation
- Unprofessional behavior
- Agency policy violations
- Insubordination (i.e., failure to comply with clear directives given by supervisor)
- Other misconduct
- Agency response to staff misconduct is determined by the immediate supervisor with feedback by the Executive Director. Responses may include the following:
- Informal feedback, either oral or written (e.g., notes in correction folder, emails)
- Formal feedback, which is written (including email) and specifies clear expectations
- Formal Corrective Action, which specifies action to be taken by the staff, consequences administered by the agency, and agency action to be taken if the misconduct occurs again in the future. Consequences may include but are not limited to the following:
1)Suspension without pay
2)Suspension from being assigned new referrals
3)Transfer of clients or reduction of caseload size
4)Increased supervision frequency, intensity, or duration
5)Retraining or specific continuing education related to the offense type
6)Verification of work beginning ending times by a secondary party
7)Restriction of work related to the offense, which may include transferring tasks to another staff, requiring prior approval to engage in a certain type/location of work, or increased monitoring of a certain type/location of work
8)Staff reimbursement to the agency, if staff was paid for services determined to be inappropriate and non-billable.
- Immediate termination
- In addition to agency consequences, serious misconduct that violates licensing, regulatory, or legal requirements will also result in notification of the appropriate authority. This notification is documented on an Incident Report.
- Illegal behavior is reported by the Program Manager to the police or sheriff, based on the location of the offense
- Unethical behavior by a licensed clinician or registered intern is reported by the Clinical Supervisor to their licensing board
- Unethical behavior by a certified behavior analyst or behavior analyst intern is reported by the Clinical Supervisor to the Behavior Analysis Certification Board
- Unethical behavior by a practicum or internship student is reported by the Clinical Supervisor to their college program
- Formal corrective action is documented on a Corrective Action form, is reviewed in a meeting between the immediate supervisor and the staff, and is signed by both. This document is maintained in the staff’s personnel file.
1.E.1.a / The organization demonstrates a process to comply with legal obligations / Corporate Compliance, Disciplinary action
1.E.1.b / The organization demonstrates a process to comply with regulatory obligations / Corporate Compliance, Disciplinary action
1.E.1.d / The organization demonstrates a process to comply with reporting obligations / Corporate Compliance, Disciplinary action
1.E.1.e / The organization demonstrates a process to comply with licensing regulation obligations / Corporate Compliance, Disciplinary action
1.I.8.b.(1).(b) / The organization implements personnel policies that address, at a minimum, employee relations, including disciplinary action / Disciplinary Action
Human Resources – Disciplinary Action