Chapter 4783-6 Supervision

4783-6-01 Purposes of supervision.

(A) To protect the welfare of clients receiving applied behavior analysis services under the direction of a certified Ohio behavior analyst.

(B) To structure the activities of the supervisee so that competent applied behavior analysis services delivered by a non-certified person can safely be made available to clients.

(C) To ensure that non-certified persons function within the limits of his/her competence.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4783.03
Rule Amplifies: 4783.02(B)(3)

4783-6-02 Requirements pertaining to supervision.

(A) Oversight of the treatment plan. An applied behavior analysis treatment plan will typically be delivered through a tiered structure using the services of supervisees, such as behavioral technicians or assistants, acting under the authority and direction of a certified Ohio behavior analyst. Non-supervisees such as family members, community care workers, teachers, and direct care providers, might also, upon agreement by the client and based on the professional judgment of the certified Ohio behavior analyst, be included in various capacities in the treatment plan. The certified Ohio behavior analyst shall exercise and retain oversight of the implementation of the treatment plan by both supervisees and non-supervisees.

(1) If in the professional judgment of the certified Ohio behavior analyst the individuals delivering the treatment plan are not competent or are unwilling to follow the treatment plan, the certified Ohio behavior analyst is responsible for retraining on the treatment plan, modifying the treatment plan, or if necessary, discontinuing the treatment plan.

(2) The certified Ohio behavior analyst has more specific responsibilities for supervisees working directly under the authority and direction of the certified Ohio behavior analyst, pursuant to paragraph (C) of this rule.

(B) Establishment of the supervision plan. The certified Ohio behavior analyst shall develop a supervision plan as a part of each client treatment plan for applied behavior analysis services.

(1) The supervision plan as defined in paragraph (R) of rule 4783-3-01shall include the names of all supervisees and non-supervisees implementing the treatment plan, their relationship with the client and their responsibilities relative to the implementation of the treatment plan.

(2) The supervision plan shall specify the amount and type of individual and/or group training and supervision that will be provided to the individuals implementing the treatment plan.

(3) The supervision plan may incorporate any applicable professional training standards required for the supervisee to earn any national certification or state licensure or certification.

(C) Responsibilities of the supervisor

(1) The structure and process of supervision shall depend on the treatment goals, procedures and interventions, treatment setting, the training and experience of the supervisees and other providers, client caseload, treatment progress, and risk to the service recipient, either from the intervention or from the behavior(s) of concern.

(2) At a minimum, supervision shall include:

(a) Consultation with the supervisee(s) prior to the initiation of the treatment plan.

(b) Training regarding implementation of the treatment plan, data collection regarding effectiveness, and measurement of client progress.

(c) Consultation with the supervisee(s) prior to the modification of the treatment plan.

(d) Periodic direct observation of each supervisee implementing assessment and treatment procedures with clients, with performance evaluation and additional instruction as necessary.

(3) The frequency and intensity of face-to-face supervision shall be determined by the certified Ohio behavior analyst based upon the supervisee's credentials, experience, familiarity with the treatment plan, and by the responsibilities delegated, as well as any applicable professional training standards required for the supervisee to earn any national certification or state licensure or certification.

(4) The certified Ohio behavior analyst shall not delegate to any supervisee:

(a) The responsibility for completing the evaluation/assessment of the client, including direct observation.

(b) The responsibility for the development of the treatment plan, including goals, interventions, frequency and duration of treatment.

(c) The responsibility for review of data supporting the efficacy or lack of efficacy of the treatment plan, and for subsequent modifications to the treatment plan.

(d) The responsibility for ensuring that all supervisees and additional care providers who will implement the treatment plan are trained on the correct implementation procedures and the collection of data.

(e) The responsibility to maintain and retain the client's record as required in paragraph (B)(6) of rule 4783-7-01 of the Administrative Code.

(5) The certified Ohio behavior analyst shall be responsible for the outcome of the treatment plan and for providing the necessary supervision to protect the health and welfare of clients.

(6) The certified Ohio behavior analyst shall retain responsibility for referrals of clients to other professionals.

(7) A certified Ohio behavior analyst shall not assume supervisory responsibility for work that he/she is not personally competent to deliver.

(8) Before initiating applied behavior analysis services, the certified Ohio behavior analyst shall inform the client of the different roles and responsibilities of the supervisees, family members, community care workers, teachers, and direct care providers and others as to the implementation of the treatment plan.

(a) A supervisor has full responsibility to document in writing that each client is clearly informed of the roles and responsibilities of each supervisee and non-supervisee implementing the plan.

(b) The client shall be informed of the right to access the certified Ohio applied behavior analyst to discuss the treatment plan or review concerns.

(9) A certified Ohio behavior analyst is responsible for determining the competencies of the individuals implementing the treatment plan and shall not assign tasks that these individuals are not competent to perform.

(10) A certified Ohio behavior analyst shall not provide supervision to any person with whom he/she has a relationship that might impair the objectivity, judgment, and/or competence of the certified Ohio behavior analyst.

(a) A certified Ohio behavior analyst shall not designate as a supervisee any person who has administrative or funding authority over him/her. It is understood that parents or legal guardians may be part of implementing a treatment plan that is supervised by a certified Ohio behavior analyst.

(b) There should be no direct family relationship between a certified Ohio behavior analyst and a supervisee.

(11) A certified Ohio behavior analyst shall not supervise any person who he/she knows is illegally providing applied behavior analysis services to the public either within or outside of the supervisory relationship.

(12) The certified Ohio behavior analyst, under whose authority and direction the supervisee is acting under paragraphs (B)(3) and (B)(4) of rule 4783-5-01shall sign an attestation stating that the certified Ohio behavior analyst is responsible for the care provided by the individual. These attestations shall be retained as by the certified Ohio behavior analyst but should not be sent to the board unless requested.

(13) A certified Ohio behavior analyst shall keep records of supervision. These records shall include the signed attestation meeting requirements of paragraph (8) of this rule , supervision plans for each client treatment plan, dates of training on treatment plans, procedures, and interventions, and the supervision provided when treatment plans are reviewed or modified. These records shall be maintained for a period of five years following the termination of supervision and shall be made available to the board upon request.

(14) A supervisor shall not engage in sexual intercourse or other sexual intimacies with any supervisee or engage in sexual harassment or any verbal or nonverbal conduct that is sexual in nature with a supervisee, family member, community care worker, teacher, or direct care provider implementing the treatment plan.

(15) A supervisor shall not exploit a supervisee for financial gain or with excessive work demands.

(16) The violation of any statute or rule of the board by a supervisee may result in an investigation of the adequacy of the supervision.

Effective: 04/07/2014
R.C. 119.032 review dates: 04/07/2019
Promulgated Under: 119.03
Statutory Authority: 4783.03
Rule Amplifies: 4783.02(B)(4)