APTA | Disciplinary Action Procedural Document Part 2 BOD R03-04-11-23

Disciplinary Action Procedural Document Part 1
Disciplinary Action Procedural Document Part 3

DISCIPLINARY ACTION PROCEDURAL DOCUMENT BOD R03-04-11-23 (Program 17) [Amended BOD 11-99-05-11; BOD 03-96-04-07; BOD 11-94-05-11; BOD 03-92-33-119; BOD 11-90-19-73; BOD 11-89-29-117; BOD 11-88-24-97; BOD 03-87-15-55; BOD 03-86-13-52; BOD 11-84-07-33; BOD 03-84-12-43; BOD 03-82-07-26; BOD 11-79-06-20] [Procedure]

6. APPEAL TO BOARD OF DIRECTORS

(a) Time for Taking Appeal; Notification of Finality If No Appeal. Within thirty (30) days after receiving the final decision of the Ethics and Judicial Committee, the respondent may appeal the decision by delivering a notice of appeal to (i) the Association’s Board of Directors and (ii) the Ethics and Judicial Committee. If the Ethics and Judicial Committee does not receive a notice of appeal within thirty (30) days the decision shall become final and unappealable, and the Ethics and Judicial Committee shall forward a copy of its decision and a notice that the decision is final to the Chapter President, the CEC, the complainant (if any), and the Board of Directors.

(b) Time of Board Consideration. If the Ethics and Judicial Committee receives a timely notice of appeal, then the Committee shall assemble the record of the proceeding and forward it to the Association’s Board of Directors. The Board of Directors shall hear the appeal at its next regularly scheduled meeting which is not scheduled concurrently with the Annual Conference, provided that meeting begins thirty-five (35) or more days after the date of delivery of the notice of appeal to the Board of Directors. Otherwise, the Board of Directors shall hear the appeal at the immediately succeeding regularly scheduled meeting which is not scheduled concurrently with the Annual Conference.

(c) Notice of Board Consideration. The Board of Directors, at least thirty (30) days prior to the date of its consideration of the appeal, shall mail the respondent a notice, by certified mail, return receipt requested, stating the date, time, and place of the consideration of the appeal. The Board’s notice shall advise the respondent that he/she may elect to have a hearing before the Board of Directors and/or to make a written submission. The respondent must exercise any such election in such manner and within such time as the Board’s notice prescribes. If the respondent timely elects to have a hearing he/she may appear and present testimony. The hearing shall be limited to one hour.

(d) Decision on Appeal. The Board shall base its decision on appeal upon the record before the Ethics and Judicial Committee and any newly available information which the Board may decide to consider. The Board of Directors shall restrict its consideration of the appeal to the question whether the decision of the Ethics and Judicial Committee is appropriate.

The decision of the Board of Directors on initial appeal shall be to:

affirm the Ethics and Judicial Committee’s decision;
modify the decision by dismissing the charges or by imposing less severe disciplinary action than imposed by the Ethics and Judicial Committee; or
remand to the Ethics and Judicial Committee with appropriate directives.

If the Board of Directors does not remand the case to the Ethics and Judicial Committee, then its decision to affirm or modify the Ethics and Judicial Committee’s decision shall be final.

(e) Remand to Ethics and Judicial Committee. If the Board of Directors remands the case the Ethics and Judicial Committee shall follow the procedures (if any) prescribed by the Board in its remand. In the absence of any such prescription of procedures, the Ethics and Judicial Committee on remand shall afford the respondent the opportunity to elect to have a hearing before the Committee and/or to make a written submission. If the respondent elects to have a hearing, the hearing shall be limited to one hour. The Ethics and Judicial Committee shall make its decision on remand and give notice thereof to the respondent as in Section 5(c).

(f) Appeal From a Decision on Remand. The respondent shall have thirty (30) days after the receipt of the Ethics and Judicial Committee’s decision on remand in which to appeal to the Board of Directors, in the same manner as in subsection (a).

(1)No Appeal From Decision on Remand. If the Ethics and Judicial Committee does not receive a copy of a notice of appeal within thirty (30) days, its decision on remand shall become final and unappealable, and it shall forward copies of its decision on remand to the Chapter President, the CEC, the complainant (if any), and the Board of Directors.

(2)Board Action on Appeal From Decision on Remand. If the Ethics and Judicial Committee receives a timely notice of appeal from its decision on remand it shall forward the record to the Board of Directors. On an appeal following a remand the Board of Directors shall either (i) affirm the Ethics and Judicial Committee’s decision on remand or (ii) modify the decision on remand by dismissing the charges or by imposing less severe disciplinary action than imposed by the Ethics and Judicial Committee. No further remand shall be ordered, and the Board of Directors’ decision shall be final.

(g) Notice of Board’s Final Decision. The Board of Directors shall notify the respondent of its decision, on initial appeal and upon appeal after remand, by certified mail, return receipt requested. The Board shall forward copies of a final decision (ie, one to affirm or modify the Ethics and Judicial Committee’s initial decision or its decision on remand) to the Chapter President, the CEC, the complainant (if any), and the Ethics and Judicial Committee.

7. POST-DECISIONAL MATTERS

(a) Probation. In any case involving probation, responsibility for monitoring the respondent’s compliance with the conditions of the probation shall lie with the CEC, which shall report to the Ethics and Judicial Committee as requested. If the Ethics and Judicial Committee determines that the period of probation has expired and that the respondent has complied with the conditions of probation, it shall send notice of the termination of the probation to the respondent by certified mail, return receipt requested, with a copy to the CEC (and appropriate notice to the staff of the Association responsible for maintaining membership records). If the CEC determines at any time that the respondent has violated the conditions of probation it shall promptly notify the Ethics and Judicial Committee in writing, with a copy to the respondent. Immediately upon receiving notification that a respondent has violated the terms of probation, the Ethics and Judicial Committee shall notify the respondent by certified mail, return receipt requested, that it will review the respondent’s case.

	(1)Notice of Review; Hearing or Written Submission; Time of Review. The notice of review shall advise the respondent that he/she may elect to appear before the Ethics and Judicial Committee (unless the Committee meets by conference call, in which case the respondent may participate in the call) and/or to make a written submission. The respondent must exercise any such election in such manner and within such time as the notice of review prescribes. If the respondent timely elects to appear before the Ethics and Judicial Committee (or participate in a conference call meeting), the hearing (or call) shall be limited to one hour. If the Ethics and Judicial Committee receives notification from the CEC forty (40) or more days before its next regularly scheduled meeting it shall review the case at that meeting. Otherwise, the Ethics and Judicial Committee shall review the case at the immediately succeeding regularly scheduled meeting or any special meeting. The Ethics and Judicial Committee shall notify the respondent of the date, time, and place of its review, by certified mail, return receipt requested.
	(2)Ethics and Judicial Committee Action Upon Review. The Ethics and Judicial Committee, on the basis of the information available to it, shall have authority to impose more severe disciplinary action, including suspension or expulsion, as the circumstances warrant. The Ethics and Judicial Committee shall prepare its decision and mail it to the respondent by certified mail, return receipt requested, with a copy to the CEC, within fifteen (15) days after the decision. The respondent may appeal the Ethics and Judicial Committee’s decision to the Board of Directors in accordance with Section 6, but only if the decision imposes more severe disciplinary action than the probation previously imposed.
	(3)Transfer of Responsibility for Monitoring Compliance. If the respondent moves or changes his chapter assignment during the period of probation, the CEC or the respondent may seek to transfer the responsibility for monitoring compliance to another CEC by mailing a request to the Ethics and Judicial Committee with a copy to the other party. The Ethics and Judicial Committee in its discretion shall grant or deny the request.

(b) Termination of Suspension. A member suspended under Section 2(f) or Section 5 may seek restoration of the affected membership rights by submitting to the Ethics and Judicial Committee, at any time after the expiration of the specified time of initial suspension, a request for termination of the suspension. If the Ethics and Judicial Committee receives the request forty (40) or more days before the start of its next regularly scheduled meeting, then it shall consider the request at that meeting. Otherwise, it shall consider the request at the succeeding regularly scheduled meeting. The Ethics and Judicial Committee shall notify the respondent of the date, time, and place of its consideration of the request to terminate suspension.

		(1)Membership in Good Standing Determination. The Ethics and Judicial Committee shall terminate the suspension of a member who complied with the conditions of Article IV, Section 5 of the Bylaws, “Good Standing,” throughout the period of initial suspension. Accordingly, a request for termination shall include an answer to each of the following questions:
			(i) Did the respondent remain a member of the Association throughout the period of initial suspension? (ii) Did the respondent comply with the ethical principles or standards applicable to his/her membership class throughout the period of initial suspension? (iii) Did the respondent make timely payment of all Association and chapter dues throughout the period of initial suspension? (iv) Was the respondent under suspension or revocation of a license or certificate of registration to practice physical therapy or to act as a physical therapist assistant in any jurisdiction at any time during the period of initial suspension?

The request for termination may contain such other information as may be relevant to the Ethics and Judicial Committee’s decision whether to extend the suspension in the event of a negative compliance determination. The Ethics and Judicial Committee, in determining whether the respondent was in compliance with the “Good Standing” conditions throughout the period of initial suspension, may rely upon the information contained in the request for termination of suspension and may make such further inquiry or investigation as it deems appropriate. If the Ethics and Judicial Committee proposes to make a negative determination based on information extrinsic to the request for termination, the Ethics and Judicial Committee first shall so notify the respondent and afford him/her reasonable opportunity to respond.

	(2)Termination Upon Affirmative Compliance Determination. If the Ethics and Judicial Committee makes an affirmative compliance determination it shall terminate the suspension immediately, effective as of the expiration of the period of initial suspension. The Ethics and Judicial Committee shall send notice of the termination of suspension to the respondent by certified mail, return receipt requested, with a copy to the CEC (and appropriate notice to the staff of the Association responsible for maintaining membership records).
	(3)Action Upon Negative Compliance Determination. If the Ethics and Judicial Committee makes a negative compliance determination it shall decide whether to terminate or extend the suspension. The Ethics and Judicial Committee in its discretion may terminate the suspension or extend it for any length of time (including an extension of less than one year). The Ethics and Judicial Committee shall mail its decision to terminate or extend the suspension to the respondent by certified mail, return receipt requested, with a copy to the CEC (and appropriate notice to the staff of the Association responsible for maintaining membership records).
	(4)Extended Suspension. If the Ethics and Judicial Committee extends the suspension its decision shall specify the period of the extended suspension. Restoration of the affected membership rights shall be dependent upon compliance with the “Good Standing” conditions during the time of the extended suspension. A member under extended suspension may seek restoration of the affected membership rights by submitting to the Ethics and Judicial Committee, at any time after the expiration of the specified time of extended suspension, a request for termination of the suspension. Any such request shall be processed in the same manner as set forth above (substituting extended suspension for the initial suspension, as appropriate).

(2) Termination Upon Affirmative Compliance Determination. If the Ethics and Judicial Committee makes an affirmative compliance determination it shall terminate the suspension immediately, effective as of the expiration of the period of initial suspension. The Ethics and Judicial Committee shall send notice of the termination of suspension to the respondent by certified mail, return receipt requested, with a copy to the CEC (and appropriate notice to the staff of the Association responsible for maintaining membership records).

(3) Action Upon Negative Compliance Determination. If the Ethics and Judicial Committee makes a negative compliance determination it shall decide whether to terminate or extend the suspension. The Ethics and Judicial Committee in its discretion may terminate the suspension or extend it for any length of time (including an extension of less than one year). The Ethics and Judicial Committee shall mail its decision to terminate or extend the suspension to the respondent by certified mail, return receipt requested, with a copy to the CEC (and appropriate notice to the staff of the Association responsible for maintaining membership records).

(4) Extended Suspension. If the Ethics and Judicial Committee extends the suspension its decision shall specify the period of the extended suspension. Restoration of the affected membership rights shall be dependent upon compliance with the “Good Standing” conditions during the time of the extended suspension. A member under extended suspension may seek restoration of the affected membership rights by submitting to the Ethics and Judicial Committee, at any time after the expiration of the specified time of extended suspension, a request for termination of the suspension. Any such request shall be processed in the same manner as set forth above (substituting extended suspension for the initial suspension, as appropriate).

APTA Ethics and Judicial Committee: March 1978; Approved, Board of Directors: April 1978; Last Amended, Board of Directors: November 1999

Disciplinary Action Procedural Document Part 1
Disciplinary Action Procedural Document Part 3