Ethical Review Committee
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. This process is to be used to adjudicate complaints that have been found to be irreconcilable through other means. Prior to employing this process, persons are encouraged to attempt to resolve the situation through other means. If these mean fail or do not satisfactorily resolve the circumstances, the ethical review process may be the appropriate vehicle for addressing the complaint.
ETHICAL REVIEW COMMITTEE: POWERS AND FUNCTIONS
The convened Ethical Review Board has the authority to:
1. Investigate a complaint, mediating when possible;
2. Determine the validity of the complaint;
3. Conduct a hearing on valid complaints;
4. Recommend a disposition on a valid complaint to the Certification Board;
5. Dismiss invalid complaints.
ETHICAL REVIEW COMMITTEE: RULES AND POLICY
The Ethical Review Committee has access to relevant files of counselors in the CAADAC office. The respondent and complainant will be notified that the Ethical Review Board has opened their files and for what purposes.
The Ethical Review Committee may not meet or take action without the presence of a quorum. Three voting members shall constitute a quorum.
All information and communications pertaining to the administrative review process shall be held confidential by CCBADC Board members, Ethical Review Committee members and all staff members.
The Ethical Review Committee may request a continuance on the time frames from the Certification Board. The Ethical Review Committee may grant continuances to the complaint/respondent.
In the event the complainant withdraws the complaint, the Ethical Review Committee reserves the right to proceed to consider the circumstance in the interest of the profession.
BASIS OF COMPLAINT
Complaints may be filed against a Certified Alcohol and Drug Counselor or Registered Student, or Registered Recovery Worker or an applicant to the CCBADC administered certification system for a violation of the Code of Ethics.
FILING A COMPLAINT
Any individual may file a complaint against a certified alcohol and drug counselor or Registered Student, or Registered Recovery Worker or someone seeking certification by submitting a written complaint, which includes:
1. The full name and address of the complainant;
2. The full name, address and telephone number of the respondent; and
3. A concise statement of the facts which clearly and accurately describe the allegations against the respondent. Whenever possible, the complainant shall identify the specific Principle violated and any witnesses.
4. The complaint must be signed by the complainant.
The complaint shall be sent by first class mail to:
CCBADC
Ethic Review Board
3400 Bradshaw Road, Suite A-5
Sacramento, CA 95827
It is recommended that complainants send the complaint certified with return receipt requested. Once a complaint has been filed with the CCBADC board, no one must attempt to influence members of the board on the issue outside the official procedures allowed for the ethical review process.
HANDLING OF THE FILED COMPLAINT
Once a written complaint is received by the chairperson of the Ethics 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 CCBADC rules.
If the complaint has been filed in the proper form, the chairperson of the Ethics Committee will assign the complaint to committee members. The complaint will be transmitted to the assigned committee members within fifteen (15) days of the receipt of the complaint by CCBADC. Each complaint will also have a committee member designated as point person.
The Ethical Review Committee will acknowledge, in writing, to the complainant and respondent the receipt of the complaint. The Ethical Review Board shall meet within thirty (30) days of the receipt of the complaint. The purpose of this meeting will be to determine if the complaint merits consideration and investigation. The parties' right to be present will apply ONLY to the formal investigation/hearing. (Committee meetings may be held via electronic means such as web-casts, teleconferences etc.)
The Ethical Review Committee will notify the complainant, in writing, if the complaint is found to be of merit or if the complaint has been dismissed.
In the written statement, the respondent may chose to indicate that he/she does not plan to contest the complaint and may waive the right to a hearing. In such instance, the Board will recommend a disposition and remand the case to the Certification Board for action within thirty (30) days of the receipt of the respondent's written statement to the Ethical Review Board. If no written response is received, and/or if the respondent refuses to cooperate with the Ethical Review Board, the Board may rule in favor of complaint.
HEARING PROCEDURE
The hearing/investigation shall be convened at a time and place reasonable convenient to the respondent, complainant, and the Ethical Review Committee.
The complainant and respondent shall be notified in writing of the date, time, and location of the investigation/hearing.
The complainant and respondent also shall be notified of their rights in relation to the hearing. These rights include:
1. The right to be present and to present evidence.
2. The right to have witnesses present.
3. The right to be represented by counsel at one's own expense.
4. The right to file a notarized written statement in lieu of appearing at the hearing.
5. The right to request a postponement or a rescheduling of hearing.
6. The right to be notified of the outcome of the hearing process and to be notified of the disposition of the complaint.
The hearing shall be conducted and moderated by the Ethical Review Committee or designated member.
HEARING/INVESTIGATION POLICY
Parties may request that a record verbatim (transcript) be taken of the hearing. The party making the request, however, must bear the expense of having that record taken.
All written materials related to the complaint shall be maintained in the CCBADC office.
Failure of the complainant to appear or participate in the hearing may result in the dismissal of the complaint.
The Ethical Review Committee may invite additional parties to the hearing. These parties should be restricted to individuals who have first-hand knowledge of the situations that led to the complaint. If the Board makes such requests for attendance, CCBADC will bear the expense of travel costs for those individuals.
The Ethical Review Board reserves the right to interview other persons in reference to the complaint. The Ethical Review Board shall comply with federal confidentiality laws in relation to client/patients.
The Ethical Review Board shall not be bound by the common law or statutory rules of evidence.
ETHICAL REVIEW BOARD RESPONSIBILITIES FOLLOWING THE HEARING
At the conclusion of the hearing, the Ethical Review Board shall forward to the chairperson of the Certification Board its written report. Their report shall include the following:
1. A summary of the case;
2. A reconstruction of the process used by the Ethical Review Board to handle the complaint;
3. The rationale for the recommended disposition;
4. The Ethical Review Board's recommendation for the disposition of the case, which will be one of 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 application's to be considered.
e. Apply sanctions or corrective action.
THE CERTIFICATION BOARD AND THE DISPOSITION OF COMPLAINTS
The Certification Board shall review the report(s) and recommendation(s) of the Ethical Review Committee at the Certification Board's next regularly scheduled meeting. Any member of the Ethical Review Board may be present at this meeting. (CCBADC Meetings may be held via electronic means, i.e. web-forums, teleconferences etc.)
The Certification Board shall issue written findings and deposition of the complaint.
The Certification Board may take one of the following actions:
1. Dismiss the charge(s); apply sanctions/corrective actions;
2. Issue a reprimand and grant certification;
3. Deny, suspend or revoke certification/registration;
4. Deny certification, but with a specific time period for a new application to be considered;
5. Return the report to the Ethical Review Board for further consideration with specific directives;
6. Adjourn the Ethical Review Board that reviewed the complaint and convene a new Ethical Review Board to review the work of the original Board, and to report its recommendation to the Certification Board within thirty (30) days.
7. Uphold the findings and sanctions of the Ethical Review Board.
8.The respondent will be notified in writing by the Certification Board of these findings and of the disposition. Addotionally, the respondent shall be notified in writing that the Certification Board's decision may be appealed.
APPEALS
The respondent may appeal the certification boards decision to the Board of Directors according to the "Appeal Process" as outlined herein. The individual must file an appeal within thirty (30) days of the notification of the Ethics Committee decision. An individual shall be considered notified three (3) days after the relevant date of mailing by Certified Mail, Return Receipt Requested. When hearing the appeal, the Board of Directors may take any of the following actions:
1. Uphold the decision of the Certification Board.
2. Rule that the Certification Board's decision is valid, yet impose a lesser/greater form of censure.
3. Overrule the Certification Board's decision, while still affirming the validity of the process.
THE APPEAL PROCESS
The appeal process for those refused or not receiving certification, for those denied certification renewal, for those having certification suspended or revoked, or for any other Certification Board ruling, will consist of the individual petitioning and the appointed Appeals Panel. The purpose of appeal is solely to determine if the Certification Board has accurately, adequately and fully reviewed the applicant's complaint.
1. The petition requesting an appeal must be made in writing, to the chairperson of the Certification Board, within thirty (30) days of the notification of the Certification Board's action. A person shall be considered notified three (3) days after the relevant date of mailing by CAADAC by Certified Mail, Return Receipt Requested.
2. The chairperson of the Certification Board or a person designated by the chairperson, shall formally
acknowledge the receipt of the appeal request within three (3) days of its receipt in the CCBADC/CAADAC principle office.
3. The chairperson of the Certification Board, or his/her designate, shall, within thirty (30) days, transmit the appeal request to the appointed Appeal Panel of the Board of Directors, who in turn, shall conduct a formal appeals hearing. The Appeal Committee shall schedule that hearing within ninety (90) days of the receipt of the appeal request by the Appeal Committee.
4. Notification of the time, place and date of the Appeal Committee hearing shall be sent by Certified Mail, Return Receipt Requested, to the person making the appeal request. The person making the appeal request has the right to appear at the hearing, has the right to counsel, and has the right to have witnesses present. The person requesting the appeal may request that the record of the proceedings be made. It is understood, however, that the person requesting the appeal must bear the expense of having such record taken.
5. The Appeals Panel has ninety (90) days to act on the Ethics Committee recommendations. The final decision on the case rests with a majority vote of the Panel. The appeal decision must be forwarded to the Certification Chair person for ratification or denial of the decision.
6.The person making the appeal shall be notified of the Appeal Panel's decision within thirty (30) days of this action.
7. Members of the Board of Directors, serving on the Certification Board at the time the action being
appealed was made, shall not serve on the Appeal Committee or participate in any fashion in that
appeal process.
DEFINITIONS
Repeal: The Repeal of certification shall be used to indicate that certification should not have been issued initially, and, therefore, certification is being withdrawn, in essence, or retracted.
The disposition of repeal should be used only in the following instances:
1. When a respondent's certification has expired;
2. When a respondent's certification is not "in good standing" (i.e., fees have not been paid);
3. When Certification Board receives and rules on a complaint based on falsification of data submitted to obtain or retain certification.
Suspension: A single suspension shall be effective for no less than sixty (60) days and not more than one (1) year in which the dates will be designated by the Certification Board.
The Certification Board may, at its discretion, stipulate that specific conditions be met prior to the removal of the suspension. The Ethics Committee shall be responsible for documenting that these conditions have been met. In all cases, the Ethics Committee shall monitor all suspensions at least twenty (20) days prior to the end of the suspension period. In the event that a counselor's certification expires during the suspension period, the counselor may submit his/her certification for renewal form at the end of his/her suspension period.
Revocation: Revocation shall be invoked for a period of not less than twenty-four (24) months. The Certification Board may, at its discretion, stipulate that specific conditions be met prior to an individual making a reapplication for certification.
If an individual has had his/her certification revoked, the individual may reapply for certification after the minimum twenty-four (24) month period. The Certification Board's action on this reapplication shall be contingent upon the Certification Board's conviction that the situation that causes the revocation of certification had been corrected.
Sanctions/Corrective Action: Sanctions or disciplinary measures may be applied to respondents. Such examples of sanctions include but are not limited to continuing education classes, receiving clinical supervision, or other corrective action.
The Ethics Review process can be timely due to the process of investigation, deliberation and procedural duties. Please contact the Ethics Chair Person for more information.
