Qualifications and Compliance Review Information
NBCOT ®— Serving the Public Interest
WHAT’S INSIDE The National Board for Certification in Occupational Therapy, Inc. (NBCOT®) is a national credentialing body that establishes certificationspecific standards for candidates applying for certification or certified practitioners renewing their certification as OCCUPATIONAL THERAPIST REGISTERED OTR® (OTR) or CERTIFIED OCCUPATIONAL THERAPY ASSISTANT COTA® (COTA). Formerly known as the American Occupational Therapy Certification Board, Inc. (AOTCB), the organization changed its name in 1996 to reflect an important broadening of its mission to include the competency of occupational therapy practitioners over their professional careers. The NBCOT is a nonprofit corporation. The mission of NBCOT is to serve the public interest by providing high standards for the certification of occupational therapy practitioners. NBCOT develops and administers the certification examination, based on a current and valid practice analysis study that provides reliable indicators of competence for the practice of occupational therapy. All state occupational therapy regulatory agencies have specified the use of the occupational therapy certification examinations as a regulatory standard in their jurisdictions. NBCOT has also developed and implements certification renewal requirements for practitioners renewing their OTR or COTA certification. The renewal program is designed to complement and support the existing and emerging continuing competence requirements of regulatory entities, employers, and external accrediting bodies. In January 2003, the NBCOT implemented a Candidate/Certificant Code of Conduct for examination candidates and certified practitioners. This Code of Conduct is enforced through NBCOT’s Qualifications and Compliance Review program. Qualifications & Compliance Review - Policy Program Overview 1
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Code of Conduct Preamble Code of Conduct 8 Principles Character Review
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Early Determination Review Option
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DAIEN: Disciplinary Action Information Exchange Network
The Disciplinary Action Information Exchange Network (DAIEN) contains final disciplinary actions and nondisciplinary actions taken by the NBCOT, as well as disciplinary actions taken by state regulatory entities. Actions are posted to the DAIEN on a quarterly basis and removed after one year. The DAIEN is located on NBCOT’s Web site. WWW.NBCOT.ORG
NBCOT Policy on Qualifications and Compliance Review
One way NBCOT serves the public interest is through its policy that established NBCOT’s Qualifications and Compliance Review program. The NBCOT Board of Directors reaffirmed this policy during the Board of Director’s June 2002 meeting. The Qualifications and Compliance Review program includes: • A Candidate/Certificant Code of Conduct, which enables NBCOT to define and clarify the professional responsibilities for present and future NBCOT certificants; and Procedures for investigating and enforcing alleged violation(s) of the Principles that are described in the Candidate/Certificant Code of Conduct.
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2003 National Board for Certification in Occupational Therapy, Inc. “NBCOT” is a service and trademark of the National Board for Certification in Occupational Therapy, Inc., “OTR” is a certification mark of the National Board for Certification in Occupational Therapy, Inc., “COTA” is a certification mark of the National Board for Certification in Occupational Therapy, Inc., all marks are registered in the United State of America.
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Qualifications and Compliance Review Information
An Overview of the Process…
NBCOT's Qualifications and Compliance Review program
serves the public interest by helping to ensure that an OTR, a COTA, or certification examination candidate abides by the 8 Principles identified in the Candidate/ Certificant Code of Conduct. The program is not intended to be solely punitive, but is also intended to be rehabilitative, providing incentive for present and future certificants to adhere to the behaviors outlined in the Candidate/ Certificant Code of Conduct. The Qualifications and Compliance Review Committee (QCRC) may take action against an individual’s certification if one or more Principles of the Code of Conduct has been violated. NBCOT receives complaint information from regulatory/governmental entities, employers, individual practitioners, consumers, and others. Allegations are investigated and action is taken when there is clear and convincing evidence of a violation of the Code of Conduct. Final actions of the QCRC are posted on NBCOT’s Web site, and are reported to state regulatory entities, employers, and others as deemed appropriate. While the vast majority of OTR and COTA practitioners are ethical and competent, the Qualifications and Compliance Review process makes it possible to identify, discipline if necessary, and require improvements in the few who are not.
Candidate/Certificant Code of Conduct Preamble
“Practitioners who meet NBCOT’s certification standards are entitled to use NBCOT’s OTR® or COTA® certification marks.”
The National Board for Certification in Occupational Therapy, Inc. ("NBCOT," formerly known as “AOTCB”) is a professional organization that supports and promotes occupational therapy practitioner certification. This Candidate/Certificant Code of Conduct enables NBCOT to define and clarify the professional responsibilities for present and future NBCOT certificants, i.e., OCCUPATIONAL THERAPIST REGISTERED OTR® (OTR) henceforth OTR, and CERTIFIED OCCUPATIONAL THERAPY ASSISTANT COTA® (COTA) henceforth COTA.
It is vital that NBCOT certificants conduct their work in a professional manner in order to earn and maintain the confidence and respect of recipients of occupational therapy, colleagues, employers, students, and the public-atlarge. As certified professionals in the field of occupational therapy, NBCOT certificants will maintain high standards of integrity and professional conduct, accept responsibility for their actions, continually seek to enhance their professional capabilities, practice with fairness and honesty, and encourage others to act in a professional manner consistent with the certification standards and responsibilities set forth below. Where the term "certificant" is used, the term "applicant or candidate" is included in its scope.
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Qualifications and Compliance Review
Principles of the Candidate/Certificant Code of Conduct
Principle 1 Certificants shall provide accurate and truthful representations to NBCOT concerning all information related to aspects of the Certification Program, including, but not limited to, examination and certification renewal applications, ensure security and confidentiality of exam related materials i.e., examination items, etc., candidate and certificant information, and continuing professional development program reporting forms. Principle 2 Certificants who are the subject of a complaint shall cooperate with NBCOT concerning investigations of violations of the Candidate/Certificant Code of Conduct, including the collection of relevant information. Principle 3 Certificants shall act in an accurate, truthful, and complete manner in all activities relating to their education, professional work, and research. Principle 4 Certificants shall comply with the laws, regulations, and standards governing professional practice in the jurisdictions where they provide occupational therapy services. Principle 5 Certificants shall not have been convicted of a crime, the circumstances of which substantially relate to the practice of occupational therapy or indicate an inability to engage in the practice of occupational therapy safely, proficiently, and/or competently. Principle 6 Certificants shall not engage in behavior that would cause them to be a threat or potential threat to the health, well-being, or safety of recipients of occupational therapy. This behavior includes, but is not limited to, chemical dependency, physical violence (for example, murder, robbery, or rape) and other behaviors that adversely impact the delivery of occupational therapy services. Principle 7 Certificants shall not engage in conduct with recipients of occupational therapy that violates appropriate professional boundaries and that does, or reasonably could be expected to, result in harm to recipients of occupational therapy. This includes, but is not limited to, sexual exploitation or misconduct, inappropriate physical contact, financial exploitation, intrusion into the personal affairs of the recipient of occupational therapy services, and inappropriate self-disclosure. Principle 8 Certificants shall not engage in conduct which evidences a lack of knowledge of, or lack of ability to apply, the prevailing principles and/or skills of certified professionals in the field of occupational therapy.
Candidates applying for initial certification with NBCOT or certificants renewing their certification must agree to adhere to the Principles of the Code of Conduct.
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NBCOT 12 South Summit Avenue Suite 100 Gaithersburg, Maryland 20877-4150 Phone 301-990-7979 WWW. NBCOT.ORG
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Character Review: A Necessary Component of the Certification Process...
To ensure that occupational therapy practitioners meet standards of professional conduct, all applicants for certification and certification renewal are required to provide information and documentation in response to affirmative answers to character questions on the applications for the certification examination and renewal. The following questions are asked on the applications: • Have you been charged with or convicted of a felony? • Have you had any professional license, registration, or certification revoked, suspended or subject to probationary conditions by a regulatory authority or certification board? • Have you been found by any court, administrative, or disciplinary proceeding to have committed negligence, malpractice, recklessness, or willful or intentional misconduct which resulted in harm to another? NBCOT reviews the information submitted on an individual basis and determines whether the matter has a direct relationship to a potential violation of the Candidate/Certificant Code of Conduct. If it is found that there is a direct relationship to a potential violation of the Code of Conduct, the NBCOT’s Qualifications and Compliance Review Committee may impose sanctions, including, barring an individual from becoming certified by NBCOT either indefinitely or for a designated period of time. All information submitted must be reviewed by NBCOT before eligibility to take the certification examination is determined and before certification may be renewed.
Early Determination Review Available For Initial Certification…
An individual who is considering entering an educational program or has already entered an educational program can have his or her character background reviewed prior to actually applying for the exam by requesting an early determination review. The fee for this review is $100.00. In this “early determination” process, the NBCOT may give early or prior approval to take the certification exam as it relates to good moral character provided that the information reviewed is not found to be in direct violation of any of the Principles of the Candidate/Certificant Code of Conduct.