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Ethics Review Committee

Ethical Review Committee

DISCIPLINARY AND APPEAL PROCEDURES

PURPOSE


The following process is established to provide an avenue through which persons can file complaints about the professional conduct of certified alcohol and drug abuse counselors or an applicant to the CCBADC certification system. These policies and procedures are applicable only if the CA Department of Alcohol and Drug Program Administration notifies CAADAC/CCBADC that they do not have authority or jurisdiction to investigate and apply sanctions per regulations. (California Code of Regulations, Adoption of Chapter 8 (commencing with Section 13000), and Amendment of Sections 9846, 10125, and 10564, Division 4, Title 9,  §13065 a-h)


Prior to employing this process, persons are encouraged to attempt to resolve the situation through other means. If these means fail or do not satisfactorily resolve the circumstances, the ethical review process may be the appropriate vehicle for addressing the complaint.

ETHICS REVIEW COMMITTEE: POWERS AND FUNCTIONS
The convened Ethics Review Committee (ERC) has the authority to:
Investigate a complaint, mediating when possible; including forwarding all complaints to CA Department of Alcohol/Drug Programs (ADP) for review, investigation, disposition, determination and action.  If ADP lacks authority per regulations to investigate and/or apply corrective action or sanctions, the Ethics

Review Committee will implement these policies and procedures to include:
1. Determine the validity of the complaint;
2. Conduct an investigation on valid complaints;
3. Recommend a disposition on a valid complaint to the Certification Board;
4. Dismiss invalid complaints.

ETHICS REVIEW COMMITTEE: RULES AND POLICY
 
The Ethical Review Committee has access to relevant files of counselors in the CAADAC office. Ethics Review Committee (ERC) has authority to review files for investigative purposes.
Except as allowable under regulations (California Code of Regulations, Adoption of Chapter 8 commencing with Section 13000, and Amendment of Sections 9846, 10125, and 10564, Division 4, Title 9,  §13065 a-h.) all information and communications pertaining to the ethics (or administrative) review process shall be held confidential by Board members, Ethical Review Committee members, attorneys, and staff members.

The Ethical Review Committee may institute continuances on the time frames if necessary, however the Respondent, CCBADC Chair and Staff must be notified of such continuance. In the event the Complainant withdraws the complaint, the Ethical Review Committee reserves the right to proceed with an investigation and possible action in the interest of the profession.

WHO CAN FILE A COMPLAINT

Any person with a legitimate good faith complaint regarding a CCBADC certificant or registrant.

BASIS OF COMPLAINT
Complaints may be filed on current certificant or registrant or an applicant of the CCBADC certification system for a violation of the Code of Ethics.


FILING A COMPLAINT
Any individual may file a complaint by submitting a written complaint, which includes:

1. The full name and address of the individual submitting the complaint (the “Complainant”);

2. The full name, address and telephone number of the individual against whom the complaint is made (the “Respondent”); and

3. A concise statement of facts which clearly and accurately describes the allegations against the Respondent. Whenever possible, the Complainant shall identify the specific Principle in the Code of Ethics which has been violated and any witnesses to the violation.

4. The complaint must be signed by the Complainant.

The complaint shall be sent by first class, express, or priority mail to:

CCBADC
Ethics Review Committee
3400 Bradshaw Road, Suite B
Sacramento, CA 95827


Complainants must mail the complaint  using an express mail service or USPS priority mail with tracking, though first class mail is acceptable.  Once a complaint has been filed with the Ethics Review Committee, no one may attempt to influence members of the Committee (or either board; CAADAC/CCBADC or staff) regarding the complaint.


HANDLING OF THE FILED COMPLAINT
Once a written complaint is received by the Ethics Review Committee, the chairperson or his/her designate will determine if it has been filed in the proper form. If the complaint has not been filed in the proper form, it shall be returned to the Complainant with an explanation of why the complaint was not accepted and with recommendations of what is necessary to bring the complaint into compliance with these rules.

If the complaint has been filed in the proper form, the Ethics Review Committee chairperson will, within thirty (30) days after receipt of the complaint, assign the complaint to designated Committee members. Each complaint will also have a Committee member designated as point person. If necessary, the assigned point person may contact the Complainant to receive clarification regarding the complaint.  If not filed in proper form, the case may be immediately dismissed by the Ethics Review Committee Chairperson and the Complainant will receive notification of such.

If the complaint is properly filed, the Respondent will be notified within 15 days, in writing that a complaint has been filed against him/her.  The Committee shall meet within thirty (30) days after receipt of the complaint. The purpose of this first meeting will be to determine if the complaint merits consideration and investigation. If the Committee determines the complaint does not merit consideration or investigation, the Committee will dismiss it.  The Respondent and Complainant will be informed in writing that the case was dismissed. If the case warrants consideration or investigation, the public database will be updated to indicate the registrants or certificants status as pending administrative review.  (Per state regulations §13075) 

Committee meetings may be held via electronic means such as web-cast, teleconferences etc. Additionally, communications to Complainant and/or Respondents may be sent via email, fax, postal service, delivery service or other like services.  The Ethics Review Committee will do its best to accommodate Complainant’s and Respondent’s preferred communication method if reasonable to do so.   

The Respondent may send written notice to the Ethics Review Committee at any time indicating the Respondent’s intent not to contest the complaint and may waive the right to undergo the investigative process. In such instance, the Ethics Review Committee will recommend a disposition and remand the case to the Chairman of the CCBADC (hereinafter “Certification Board Chair”) for ratification or other action within thirty (30) days of the receipt of the Respondent's written statement to the Ethical Review Committee.


If a Respondent refuses to cooperate with the Ethics Review Committee at any point, the Committee may rule in favor of Complainant and may choose to suspend or revoke certification/registration until such time the Respondent cooperates.  Respondent’s failure or refusal to accept mail or email communications or to report address changes or contact information will result in the Respondent being placed on suspension until contact is made (and confirmed) by the Ethics Review Committee or office staff.  In such cases, the suspension will be upheld until such investigation and determination is completed, including appeal (if applicable.).


INVESTIGATION PROCEDURE
The Complainant and Respondent also shall be notified of their rights in relation to the investigation process. To include:


1. The right to testify and to present evidence verbally and/or by written statement signed under the following statement:  “I declare and certify the foregoing to be true and correct under penalty of perjury and the laws of the State of California”. (The Ethics Review Committee may require testimony face to face, by written document, or telephonically.)

2. The right to have witnesses present testimony or provide evidence.

3. The right to be represented by counsel at one's own expense. (Legal counsel is not allowed to speak on behalf of the Respondent, but may be present to advise his/her client.)

4. The right to request a postponement or a rescheduling of a hearing to give testimony. The Ethics Review Committee retains the right to deny postponement or rescheduling in its sole discretion; however, the Committee may offer a reasonable alternative if the Committee deems it is warranted, such as allowing written testimony.

INVESTIGATION POLICY
All written materials related to the complaint shall be maintained in the CCBADC office.
Failure of the Complainant to participate in the investigation may result in the dismissal of the complaint.


The Ethical Review Committee reserves the right to interview any person in reference to the complaint, whether or not such person is referenced in the original complaint or in the Respondent’s response. The Ethical Review Committee shall comply with federal confidentiality laws in relation to client/patients.

The Ethical Review Committee shall not be bound by the common law or statutory rules of evidence.


ETHICAL REVIEW COMMITTEE RESPONSIBILITIES POST INVESTIGATION
No less than 30 days from the conclusion of the investigation, the Ethical Review Committee shall forward to the chairperson of the Certification Board its written report. Their report shall include the following:


1. A summary of the case to include findings (violations of code of ethics if applicable;)
2. The rationale for the recommended determination and sanctions (if applicable);
3. The Ethical Review Committee’s recommendation(s) for the case may include the following:

a. Dismissal of the charge(s);

b. Reprimand and recommendation that certification/registration be granted;

c. Recommendation certification/registration be denied; suspended or revoked;

d. Recommendation certification/registration be denied, but with a specified time period for new applications to be considered.  

e. Apply sanctions or other corrective action as deemed by the Ethics Review Committee.


THE CERTIFICATION BOARD CHAIR AND THE DISPOSITION OF COMPLAINTS


The Certification Board Chair shall review the report(s) and recommendation(s) of the Ethics Review Committee.  (Such review(s) may be conducted via electronic means, i.e. email, web-forums, teleconferences etc.)

The Certification Board Chair shall within thirty (30) days after receipt of Ethics Review Committee recommendations, issue written final disposition of the complaint to the Ethics Review Committee which may be one of the following actions:

1. Ratify (uphold) Ethics Review Committee’s findings, recommendations and sanctions.
2. Deny, suspend or revoke certification/registration;
3. Deny certification (new applicants or expired certification/registration only), but with a specific time period for a new application to be considered;
4. Return the report to the Ethical Review Committee for further consideration with specific directives.
The Respondent will be notified in writing by the Ethics Review Committee (as per directives of the CCBADC Chair) of findings, and sanctions. Additionally, the Respondent shall be notified in writing that the decision may be appealed.          

APPEALS PROCESS
The Respondent may appeal the final Ethics Review Committee (as ratified by the CCBADC Chair-if applicable) decision (hereinafter “the Decision”) according to the "Appeal Process" as outlined below. The Respondent who files such an appeal is referred to as the “Appellant.”

The Appellant must submit a written request for an appeal to the CCABDC office within thirty (30) days from the date of the Decision.


Upon receipt of an appeal request, the CAADAC President shall appoint an Appeals Panel to review the Decision.  The members of the Appeals Panel shall be full members and/or CCBADC certificants who were not part of the original Ethics Review Committee.


When hearing the appeal, the Appeals Panel may take any of the following actions:

1. Uphold the decision of the Ethics Review Committee’s decision as ratified by the Certification Board chair;
2. Rule that the Ethics Review Committee’s decision is valid, yet impose a lesser/greater form of censure;

3. Overrule the Ethics Review Committee’s decision, while still affirming the validity of the process;


The appeal process is for individuals who were denied registration/certification, for those denied certification/registration renewal, for individuals whose certification was suspended or revoked, or for any other ruling as made by the Ethics Review Committee and ratified by the CCBADC Chair.
The purpose of appeal is solely to determine if the Ethics Review Committee has accurately, adequately reviewed the applicant's complaint as per the aforementioned procedures and rendered a reasonable decision. 

The President or his/her designate, shall, within thirty (30) days, transmit the appeal request to the appointed Appeals Panel which shall conduct a formal appeals hearing.  The Appeals Panel shall schedule that hearing to occur within ninety (90) days of the receipt of the appeal request,
Notification of the time, place and date of the Appeals Panel hearing shall be sent via email, fax, postal service, delivery service or other like services), to the Appellant not less than 30 days prior to the hearing date.

The Appellant has the right to appear at the hearing, has the right to counsel, and has the right to have witnesses present. (Legal counsel is not allowed to speak on behalf of the Respondent, but may be present to advise his/her client.)

The appellant may choose to submit written testimony in lieu of his/her presence at the hearing; written testimony must be submitted at least five days prior to the hearing date. Failure to show up for the hearing or provide timely written testimony will automatically result in the appeal being dismissed and the Ethics Review Committee’s determination being upheld.

The Appeals Panel decision shall be made by majority vote.  The Appeals Panel has ninety (90) days from the date it receives the appeal request to come to a final decision.  The Appellant shall be notified in writing of the Appeal Panel’s decision within 15 days of the final decision. The findings and decision of the Appeals Panel are final. 

The status of certification status (suspension/revocation/sanctions etc) will be posted on the public database (website registry); and will be posted until all sanctions are satisfactorily completed and submitted in writing and verified  (if applicable.)

In compliance with state regulations and CCBADC policies, all complaints filed under these procedures are publically documented on the database (website) as “pending” until such time the case is resolved and/or decided upon; at such time the status of the certificant/registrant will be listed.  Additionally, employers may be contacted per regulations as well. All certificants/registrants are required to cooperate as a condition of certification/registration.  Failure to cooperate may result in immediate suspension of certification or registration; with no ability to appeal.  Additionally, all registrants and certificants are required to comply with all state regulations including code of conduct.

A complete copy of CA State regulations regarding counselor certification can be found at: http://www.adp.ca.gov/Licensing/pdf/Final_Regulations.pdf 
 
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