New York Physical Therapy Association Ethics Committee Procedure Manual

New York Physical Therapy Association Ethics Committee Procedure Manual APPROVED 10/26/00 Edited 01/02 Amended 10/06 Edited 12/07 Edited 12/10 Edite...
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New York Physical Therapy Association

Ethics Committee Procedure Manual

APPROVED 10/26/00 Edited 01/02 Amended 10/06 Edited 12/07 Edited 12/10 Edited 9/11 Amended 10/14

TABLE OF CONTENTS

PART 1

I.

Organization A. Creation ........................................................................................................................... B. Purpose ............................................................................................................................ C. Accountability .................................................................................................................. D. Constituency .....................................................................................................................

2 2 2 2

II.

Committee Operations A. Records ............................................................................................................................. 2 B. Meetings ........................................................................................................................... 3 C. Duties of the Committee ................................................................................................... 4

III.

Appendix Job Descriptions Committee Chairperson ...................................................................................................... 5 Committee Member ............................................................................................................ 6 SAMPLE LETTERS ................................................................................................................................ 7-19

PART 2 I.

Operations Common to all Committees A. Voting Power .......................................................................................................................... 20 B. Appointments .......................................................................................................................... 20 C. Vacancies ................................................................................................................................ 20 D. Appeal ..................................................................................................................................... 21 E. Meeting Attendance ................................................................................................................ 21 F. Minutes.................................................................................................................................... 21 G. Reports / Newsletter Articles .................................................................................................. 22 H. Reimbursement ....................................................................................................................... 22 I. Policy and Procedure Manuals ............................................................................................... 22 J. Orientation of New Members ................................................................................................. 23

ETHICS COMMITTEE PROCEDURE MANUAL PART 1

I.

COMMITTEE ORGANIZATION A. Creation Formed in May 1994 by the Delegate Assembly approving a bylaw change (JC 03-94) to participate in the investigation of all complaints of violations of the Code of Ethics. B. Purpose To serve as a resource and provide guidance to members on issues relating to the ethical practice of physical therapy and to participate in the investigation of all complaints of violations of the Code of Ethics. C. Accountability This committee is accountable to Board of Directors, Delegate Assembly and Executive Committee. D. Constituency The Ethics Committee consists of three members. The chairperson is appointed by the Executive Committee. The following qualifications are deemed requisite for membership on the committee: 1. Must be a PT member in good standing of the New York Physical Therapy Association for at least two years (Bylaws). 2. Should be familiar with the Procedural Document on Disciplinary Action of the APTA; Code of Ethics; Guide for Professional Conduct; Standards of Ethical Conduct for the Physical Therapist Assistant; Standards of Practice of the APTA and the New York State Practice Act; APTA documents on Professional Behaviors of the Physical Therapist and Value-Based Behaviors of the Physical Therapist Assistant.

II.

COMMITTEE OPERATIONS A. Committee Records 1. Committee Member Record Policy: Each committee member will maintain an up to date committee file. Procedure: a. Upon assuming committee membership, the new member shall receive from Chapter office, a current file which should contain: a committee directory, Ethics Committee Procedure Manual, minutes of the Committee meetings for the previous two years, reports to the Board of Directors and Delegate Assembly for the previous two years, APTA Bylaws, Chapter Bylaws, The Procedural Document on Disciplinary Action of the APTA, Guide for Professional Conduct, APTA Standards of Practice, NYS Practice Act; APTA Judicial Committee Compendium of Interpretations and Opinions and pertinent correspondence. b. Upon receipt of new minutes, directories, and other pertinent documents, the committee member will file them appropriately 2. Chapter Office Ethics Committee Records Policy: Chapter Office will maintain an up to date committee file. Records pertaining to ethical complaints will be separate from the Ethics Committee file (see #3 below). Procedure: The chapter office will keep a current file, which should contain a committee directory, committee procedure manual, minutes of the committee meetings, reports to the Board of Directors and Delegate 2

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Assembly and pertinent correspondence. 3.

Chapter Office Policy for Active Ethical Complaints: These records must be in keeping with APTA Policies and Procedures. Procedure: a. Each record pertaining to an ethical complaint shall be kept in a separate file marked confidential. b. The file is to be accessed only by the Executive Director, the President and members of the Ethics Committee. c. When the case is closed, the originals, under direction of the committee chairperson, are sent to the APTA Judicial Committee. Upon receipt, APTA Judicial Committee will notify chairperson to destroy all duplicate files.

B. Committee Meetings Meetings (at least one per year) shall be in accordance with the budgetary allocation to the committee to complete its activities. The chairperson in consultation with members of the committee determines dates for meetings. Meetings dealing with violations of the Code of Ethics will be held as necessary to comply with The Procedural Document on Disciplinary Action of the APTA. 1.

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3.

Notice: a. When meeting as the Chapter Ethics Committee, the chairperson will notify the Executive Director. b. Notice to committee members is the responsibility of the chairperson. Location: Meetings will be held at a site recommended by the chairperson in consultation with the committee members. Locations of meetings cannot be in contradiction to the budget and program established by the committee and approved by the Board of Directors. Agenda: The agenda for the committee meeting is the responsibility of the chairperson and should be distributed to the members at least 10 days prior to the meeting. Routine items for the agenda should include: a. b.

Report on status of current charges, objectives, and ongoing activities Review of Board of Directors and Delegate Assembly actions for new policies, duties, or charges for the committee c. Develop procedures by which policies, duties and charges of the Board or Assembly can be fulfilled d. Preparation of committee minutes and chairperson's report to the Board of Directors (or Assembly) e. Preparation of motions for Board or Assembly action f. Make recommendations to Board or appropriate body Annually, the following are to be included on the agenda: g. Determine budgetary needs for Finance Committee consideration prior to the Fall Board Meeting. (See Orientation Handbook for general information on preparing budgets.) h. Review and update procedure manual for Winter Board of Directors Meeting i. Determination of possible meeting dates for the following year As necessary, j. Consider recommendations for new committee members k. For ethical complaints, the agenda shall be in keeping with The Procedural Document on Disciplinary Action of the APTA C. Duties of the Committee 1.

Investigate all complaints of violations of the Code of Ethics. 3

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a.

Policy: The CEC must respond to all complaints of alleged ethical violation. Complaints may be received directly by the CEC, from Chapter Office or from the Chapter President. The Procedural Document on Disciplinary Action of the American Physical Therapy Association will be followed when a signed complaint relating to a member of the Association or otherwise becomes aware of information indicating that a member has violated the Code of Ethics or the Standards of Performance. Procedure: Upon receipt of a signed complaint alleging that a member has acted in violation of the ethical principles of the APTA, the following should occur: 1. President notifies the APTA Judicial Committee of the complaint and forwards a copy of the complaint. (See Appendix, Ethics 01) 2. President shall give the complainant written acknowledgement of receipt of signed complaint within 15 days of receipt, which acknowledgement shall enclose a copy of the Procedural Document and shall advise the complainant of the respondent’s right to learn the identity of the complainant. (Ethics 02) 3. President notifies the CEC Chairperson of the complaint. After consultation with the CEC, the President determines that a complaint is actionable and warrants referral to the CEC, he/she shall initiate a disciplinary proceeding against the member (respondent) by promptly sending a notice of charges to the respondent. (Ethics 03) 4. The President notifies the complainant that the case has been referred to the CEC. 5. CEC Appoints Investigator  Does not have to be an association member.  May not know the respondent, complainant, or be at all familiar with the case involved.  CEC may establish a pool of investigators from which to select investigators from. 6. Chairperson of the CEC sends the investigator the following: (Ethics 04)  A copy of the signed complaint.  Procedural Document on Disciplinary Action  Code of Ethics  Investigation Guidelines for Chapter Ethics Committees  Letter to Respondent  Self addressed return envelope to Chapter Office 7. Chairperson notifies respondent of appointment of investigator. (Ethics 05) 8. Investigator follows the Procedural Document and the instructions sent by the CEC. 9. Investigator completes the investigation and types investigative summary. 10. Investigator returns investigative file to the CEC in the enclosed envelope. 11. CEC Reviews Investigative File  If case is dismissed, notify the APTA Judicial Committee with accompanying rationale for dismissal. Notify Respondent and the complainant of the dismissal. (Ethics 06)  If case not dismissed, notify respondent of his/her right to a hearing. (Ethics 07)  Refer to Procedural Document on Disciplinary Action for time frames. 12. Hearing (Ethics 08)  Refer to Procedural Document on Disciplinary Action. 13. Conclusions and Recommendations  CEC issues conclusions to Judicial Committee, including complete investigative file (Ethics 09)  CEC mails a copy of its decision to the respondent. (Ethics 10) or (Ethics 11)  All notifications are to be mailed certified return receipt. 14. Upon verification by the APTA Judicial Committee that the original file has been received, all duplicate copies should be destroyed. b.

Policy: On a monthly basis, the Executive Director will receive a copy of the “News Release” from the New York State Board of Regents regarding disciplinary action taken against licensed 4

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professionals in the State of New York. Procedure: 1. The Executive Director will review the document for inclusion of physical therapist(s). 2. In the event that a physical therapist appears on the report, the Executive Director will ascertain as to whether the individual is a member of the APTA. 3. Upon determination that an APTA member is in violation, the Executive Director sends a Freedom of Information request to New York Board of Regents for the Commissioner’s Order. 4. Upon receipt of the Commissioner’s Order, the Executive Director will forward a copy of the Commissioner’s Order the CEC Chairperson. 5. Upon receipt of the Commissioner’s Order the CEC Chairperson will notify the Chapter President to initiate the disciplinary process according to the Procedural Document on Disciplinary Action of the American Physical Therapy Association (as outlined above). III.

APPENDIX

A. COMMITTEE JOB DESCRIPTIONS 1.

COMMITTEE CHAIRPERSON General Description Directs the members and activities of the committee to ensure that it meets the goals, objectives, and charges as directed by the Delegate Assembly, Board of Directors, and Executive Committee. Represents the committee at Board of Directors meetings (as budgeted).

Duties, Responsibilities and Authority 1. Assists in developing the committee objectives. 2. Informs committee members of the objectives and their expected individual contributions and responsibilities. 3. Assists the Executive Committee in making committee member appointments. 4. Prepares meeting agendas and distributes relevant information to all members prior to the meeting. 5. Presides at committee meetings. 6. Insures that a recorder is appointed to record minutes. 7. Approves final draft of minutes. 8. Prepares required written reports to be submitted in timely manner for inclusion in the Board of Directors packet. 9. Prepares motions to Board of Directors based on report. 10. Submits a minimum of one article per year for the Chapter newsletter for the membership recruitment issue. 11. Prepares required annual report to be submitted in timely manner for inclusion in the Delegate Assembly packet. 12. Prepares motions to Delegate Assembly. 13. Attends Chapter BOD meetings or appoints a designee to attend in his/her absence (as budgeted). 14. In consultation with the committee members, prepares an annual budget and submits it in a timely fashion as requested by the treasurer. 15. Oversees the budget of the committee. 16. Follows policies and procedures of the New York Physical Therapy Association. 17. Orients the new Chairperson upon vacating the chairmanship. 18. Accepts referral of complaint from Chapter President. Follows Procedures in Procedural Document on Disciplinary Action.  Initiates the process for investigating ethical complaints.  Obtain legal consultation from Association headquarters, when appropriate.  Receives the investigative file.  Appoints investigator.  Conducts a hearing, if requested. 5

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   

Notifies Respondent that the investigation is complete. Notifies Respondent of the right to a hearing. Mails copy of the conclusions and actions of the CEC to Respondent. Mails entire original record, investigative file, and Disciplinary Action Work sheet to Judicial Committee with the conclusions and recommendation of the CEC.  Destroys all duplicate records.  Receives notification of decision of Judicial Committee. 19. Acts as a resource for membership regarding issues of ethical nature. Relationships: Maintains close contact with the President and Chapter Office personnel associated with the Committee activities. When appropriate, establishes contact with corresponding department or Judicial Committee at APTA. 2. ETHICS COMMITTEE MEMBER General Description In accordance with the bylaws, the duties are to investigate all complaints of ethics violations. Duties, Responsibilities and Authority (from the Appendix of the Procedural Document on Disciplinary Action of the American Physical Therapy Association.) 1. Assist the Committee Chair in processing ethical complaints 2. Assist Chapter President in determining dismissal of frivolous complaint. 3. Assist in recommending potential investigator. 4. Assist in conducting a hearing, if requested. 5. Issue conclusions and recommend actions. 6. Destroy all duplicate records. 7. Act as a resource for membership regarding issues of ethical nature. 8. Assist in developing articles for Chapter newsletter. (See reports section.) Relationships: Maintains close contact with the Committee Chair.

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B. SAMPLE LETTERS (Ethics 01)

[Letter by which President transmits copy of complaint to Judicial Committee and requests assignment of case number]

Judicial Committee American Physical Therapy Association 1111 North Fairfax Street Alexandria, VA 22314 Attention: General Counsel Re:

Receipt of Complaint

Dear Judicial Committee: On [date] I received a written complaint alleging that [respondent's name] acted in violation of the APTA's ethical principles. [Respondent's name] is an APTA member assigned to the New York Chapter. In accordance with the APTA's Procedural Document on Disciplinary Action, I am enclosing a copy of the complaint. I understand that I should send the complainant an acknowledgment within 15 days after my receipt of the complaint. Please advise me promptly of the case number assigned to this proceeding so that I may use it in all future correspondence relating to this case. Sincerely,

[President's name] President, NYPTA

Enclosure

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(Ethics 02) [Letter by which President acknowledges receipt of signed complaint] [complainant's name] [complainant's address] Re:

[Case No.]1 Acknowledgment of Receipt of Complaint

Dear [complainant's name]: On [date] I received your written signed complaint alleging that [respondent's name] acted in violation of the APTA's ethical principles. For your information, I am enclosing a copy of the APTA's Procedural Document on Disciplinary Action, which sets forth the procedures the APTA and its Chapters follow in connection with ethical complaints. In accordance with the Procedural Document, I will consult with the Chair of the [State] Chapter Ethics Committee (CEC) and decide whether your complaint alleges an ethical violation and warrants referral to the CEC. If my decision is affirmative I will refer the case to the CEC for further processing and advise you. If my decision is negative I will dismiss the complaint and advise you by a letter specifying the grounds. Please note that if I decide to refer the case to the CEC the respondent will have the right to obtain a copy of your complaint and thereby to learn your identity. If you do not want me to proceed, for this (or any other) reason, please contact me immediately. Sincerely,

[President's name] President, [State] Chapter - APTA Enclosure

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[The APTA Procedural Document on Disciplinary Action provides that the Chapter President will forward a copy of any complaint to the Judicial Committee "immediately" and that staff then will assign a case number, so the Chapter President very well can have the case number in advance of acknowledging receipt of the complaint. If the Chapter President has not received a case number at the time he/she acknowledges receipt of the complaint, the space for the case number may be left blank.] 8

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(Ethics 03) [Notice of charges by which President notifies respondent of allegations of complaint against him/her and relationship of alleged conduct to Code of Ethics and refers proceeding to CEC]

[respondent's name] respondent's address] Re:

[Case No.]2 Notice of Charges and Referral to Chapter Ethics Committee

Dear [respondent's name]: On [date] I received a written ethical complaint against you dated [date]. The complainant alleged that [here describe in the President's words what the respondent allegedly did in language detailed enough to tell the reader what the case is about, e.g., "you delegated physical therapy activities to supportive personnel in violation of the New York State practice act and failed to provide the supervision required by law" "you violated the physical therapist's duty to maintain adequate patient records by chronically failing to keep timely, accurate, and/or complete records" "you engaged in sexual misconduct with a patient" "you violated the physical therapist's duty to respect the rights and dignity of all individuals by making inappropriate comments of a sexual nature to an employee, making unwanted advances to [him/her], and by creating a hostile work environment."] Under the APTA's Procedural Document on Disciplinary Action (copy enclosed), my responsibility as Chapter President upon receiving a complaint is to determine whether the conduct in which you allegedly engaged would constitute a violation of the APTA's ethical principles and, if so, whether referral to the CEC is warranted. After consulting with the Chair of the [State] Chapter Ethics Committee (CEC) I have determined that the conduct in which you allegedly engaged would, if substantiated, constitute a violation of Principles [number] and [number] of the Code of Ethics3 [as interpreted by the APTA Judicial Committee in Sections [number] and [number] of the Guide for Professional Conduct].4 I am enclosing a copy of the Code and Guide for your information.

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[The APTA Procedural Document on Disciplinary Action provides that the Chapter President will forward a copy of any complaint to the Judicial Committee "immediately" and that staff then will assign a case number, so the Chapter President usually should have the case number in advance of sending the notice of charges to the respondent. If the Chapter President has not received a case number at the time he/she sends the notice of charges, the space for the case number may be left blank.] 3 [This form refers to the documents applicable to a physical therapist, i.e., the Code of Ethics and the Guide for Professional Conduct. If the respondent were a physical therapist assistant, the Chapter President would refer instead to the Standards of Ethical Conduct for the Physical Therapist Assistant and the Guide for Conduct of the Affiliate Member.] 4 [The Chapter President must specify which Principle(s) of the Code the alleged conduct would violate, since the proceeding involves a charge that the respondent violated one or more of the APTA's ethical principles, as adopted by the House of Delegates. The Guide for Professional Conduct represents the APTA Judicial Committee's interpretation of the Code. If any portion of the Guide is applicable to the case the Chapter President may (but need not) refer to it in the notice of charges to the respondent.] 9

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(Ethics 03 continued) This notice does not represent a determination that you violated any ethical principle, but only that the conduct in which you allegedly engaged would, if substantiated, violate the Code. In accordance with the Procedural Document, I am hereby referring the complaint against you to the CEC, which shall have the responsibility for conducting an investigation and either dismissing the charges against you or recommending to the APTA Judicial Committee that it impose some form of disciplinary action. The Chair of the CEC is: [name of Chair of CEC] [address of Chair of CEC] [telephone number of Chair of CEC] The CEC will appoint an investigator to look into the circumstances, and both you and the complainant will have the opportunity to submit a statement of position or other evidence. You may expect to hear from the CEC or its investigator in due course. Please note that you have the right to obtain a copy of the complaint against you. In addition, the Appendix to the Procedural Document has a list of the rights and responsibilities of a respondent. If you have questions about the proceeding you may contact the Chair of the CEC. In addition, you may contact the APTA's General Counsel at (703) 706-3107. Sincerely,

[President's name] President, NYPTA

Enclosures (Procedural Document on Disciplinary Action, Code of Ethics, Guide for Professional Conduct) By Certified Mail, Return Receipt Requested cc:

[name of CEC Chair], Chair, [State] Chapter Ethics Committee - APTA APTA Judicial Committee

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(Ethics 04) [Letter by which CEC appoints investigator] [investigator's name] [investigator's address] Re:

[Case No. (respondent's name)]5 Appointment as Investigator

Dear [name of investigator]: The NYPTA Ethics Committee (CEC) hereby appoints you as investigator in the above referenced proceeding, which the Chapter President referred to us. [Alternative 1] This proceeding is based upon a complaint alleging that the respondent engaged in conduct which, if substantiated, would constitute a violation of the APTA's ethical principles. A copy of the complaint and of the President's notice of charges to the respondent are enclosed. [Alternative 2] The Chapter President initiated this proceeding on the basis of information indicating that the respondent engaged in conduct which, if substantiated, would constitute a violation of the APTA's ethical principles. A copy of the information upon which the President relied and of the President's notice of charges to the respondent are enclosed. Also enclosed are copies of the Code of Ethics (the "Code"), the Guide for Professional Conduct (the "Guide"),6 the Procedural Document on Disciplinary Action (the "Procedural Document") and the Chapter Ethics Committee Investigation Guidelines. Under the Procedural Document, your responsibility as investigator is to conduct an appropriately comprehensive and unbiased review of the circumstances surrounding the alleged violation(s) of the Code specified in the notice to the respondent and to assemble and submit to this Committee an investigative file. Your responsibility is limited to collecting and organizing information, and you shall not make any recommendation regarding this Committee's disposition of the case. In conducting the investigation you must give [the complainant and] 7 the respondent opportunity to submit a statement of position or other evidence with respect to the allegations. You should take due precautions to ensure that you do not disclose the existence of this disciplinary proceeding to any person other than the respondent, [the complainant,]8 any witnesses from whom you may obtain testimony or other evidence, and any individual to whom disclosure is necessary in order to carry out your investigation (e.g., a transcriptionist). You will

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[Any proceeding should have been assigned a case number before being referred to the CEC. If the Chapter President refers a case to which no number has been assigned, the Chair of the CEC should contact obtain a case number immediately by contacting the office of the APTA's General Counsel.] 6 [This form letter refers to the documents that apply to physical therapists, i.e., the Code of Ethics and the Guide for Professional Conduct. If the respondent were a physical therapist assistant, the CEC would insert instead the Standards of Ethical Conduct for the Physical Therapist Assistant and the Guide for Conduct of the Affiliate Member.] 7 [The letter should refer to the complainant in cases based on the President's receipt of a written complaint, but not in cases initiated by the President on the basis of publicly available information.] 8 [See above footnote concerning the existence of a complainant.] 11

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make all efforts to avoid any actual or perceived improprieties involving the respondent[, complainant,]9 or witnesses during this proceeding. You will transmit the investigative file to this Committee within ninety days of this letter. In case a hearing is held before this Committee, you will be available to clarify the contents of the investigative file. Please confirm your acceptance of this appointment by signing the enclosed copy of this letter and returning it to the Committee. Yours truly,

[CEC Chair's name] Chair, NYPTA Ethics Committee Enclosures [complaint/information on which President relied] Notice of Charges Code of Ethics Guide for Professional Conduct Procedural Document CEC Investigation Guidelines

Acceptance I hereby consent to serve as investigator in the above-referenced proceeding.

[investigator's name]

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Date

[See above footnote concerning the existence of a complainant.] 12

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(Ethics 05) [Letter by which CEC advises respondent of appointment of investigator]

[respondent's name] [respondent's address] Re:

[Case No. (respondent's name)]10 Appointment of Investigator

Dear [name of respondent]: The New York Chapter Ethics Committee has appointed the following person to serve as investigator in the referenced proceeding: [investigator's name] [investigator's address] [investigator's telephone number] The Chapter President opened this proceeding by sending you a notice of charges dated [date]. If you have not received this notice, please contact me immediately at [phone number]. Under the APTA's Procedural Document on Disciplinary Action, the investigator's responsibility is to conduct an appropriately comprehensive and unbiased review of the circumstances surrounding the alleged violation(s) of the Code of Ethics specified in the notice of charges and to assemble and submit to this Committee an investigative file. In conducting the investigation the investigator must give you opportunity to submit a statement of position or evidence with respect to the allegations. You may expect to be contacted by the investigator in due course. Please note that the Appendix to the Procedural Document has a list of the rights and responsibilities of a respondent. If you have questions about the proceeding you may contact me. In addition, you may contact the APTA's General Counsel at (703) 706-3107. Yours truly,

[CEC Chair's name] Chair, NYPTA Ethics Committee

cc:

[investigator's name]

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[Any proceeding should have been assigned a case number before being referred to the CEC. If the Chapter President refers a case to which no number has been assigned, the Chair of the CEC should contact obtain a case number immediately by contacting the office of the APTA's General Counsel.] 13

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(Ethics 06) [Letter by which CEC dismisses charges summarily upon review of investigative file]

[respondent's name] [respondent's address]

Re:

[Case No. (respondent's name)]11 Summary Dismissal of Charges

Dear [name of respondent]: The New York Chapter Ethics Committee (CEC) on [date] received the investigative file in the referenced proceeding from the investigator. In accordance with the APTA's Procedural Document on Disciplinary Action, the CEC has reviewed the investigative file. The CEC determined that the file does not substantiate the charges against you because [here state briefly the CEC's rationale, e.g., "the evidence collected by the investigator did not corroborate the allegations against you" or "the CEC believed that your actions in [here specify what the respondent did] did not amount to a violation of the Code of Ethics."] The CEC hereby dismisses the charges against you without further proceedings. Pursuant to the Procedural Document, the CEC will transmit the entire record of this proceeding to the APTA Judicial Committee. Yours truly,

[CEC Chair's name] Chair, NYPTA Ethics Committee By Certified Mail, Return Receipt Requested

cc:

APTA Judicial Committee Complainant12

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[Any proceeding should have been assigned a case number before the appointment of an investigator and conduct of an investigation. If a proceeding before the CEC has not been assigned a case number, the Chair of the CEC should obtain a case number immediately by contacting the office of the APTA's General Counsel.] 12 [If the proceeding is one based on a written complaint to the President (rather than one initiated by the President on the basis of reliable information), the CEC should send a copy of this summary dismissal letter to the complainant. If the complainant's identity has not been revealed to the respondent there is no need to do so at this stage, since a summary dismissal terminates the Chapter-level proceedings. Therefore, in such a case the CEC should refer to the complainant as "Complainant" rather than using his/her name in a summary dismissal letter.] 14

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(Ethics 07) [Letter by which CEC advises respondent of right to demand a hearing and obtain a copy of the investigative file] [respondent's name] [respondent's address]

Re:

[Case No. (respondent's name)]13 Right to Hearing and Access to File

Dear [respondent's name]: The New York Chapter Ethics Committee (CEC) on [date] received the investigative file in the referenced case. This Committee has conducted a preliminary review of the file and has determined that it contains evidence that could substantiate the charges against you specified in the [date] notice of charges that the Chapter President sent to you. Under the APTA's Procedural Document on Disciplinary Action, you have the rights (i) to have a hearing before this Committee and/or (ii) to obtain a copy of the investigative file. If you wish to exercise either or both of these rights, you must submit a written request for a hearing or for a copy of the investigative file within fifteen (15) days of your receipt of this notice. A hearing before the CEC would be conducted in accordance with the APTA's Procedural Document on Disciplinary Action (a copy of which has been sent to you), which provides that you are entitled to at least thirty (30) days' advance written notice of the date, time, and place of the hearing. If no hearing is held, the CEC will issue its conclusions in accordance with the Procedural Document. Sincerely,

[CEC Chair's name] Chair, NYPTA Ethics Committee By Certified Mail, Return Receipt Requested cc:

APTA Judicial Committee

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[Any proceeding should have been assigned a case number before the appointment of an investigator and conduct of an investigation. If a proceeding before the CEC has not been assigned a case number, the Chair of the CEC should obtain a case number immediately by contacting the office of the APTA's General Counsel.] 15

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(Ethics 08) [Notice of hearing before the CEC] [respondent's name] [respondent's address] Re:

[Case No. (respondent's name)]14 Notice of Hearing

Dear [respondent's name]: The New York Chapter Ethics Committee (CEC) by letter dated [date] advised you that you had the right to have a hearing before the CEC in the referenced proceeding and that you could exercise that right by notifying the CEC within fifteen (15) days of your receipt of that letter. Thereafter, you made a timely request to have a hearing. The hearing in your case will be held at [time of day] on [day of week], [date], 15 at [complete address of location]. The purpose of the hearing is for the CEC to review the pertinent facts, including hearing any witness(es) that may be called and reviewing any new documentary evidence. Attendance at the hearing shall be limited to the members of the CEC, you, your legal counsel (if any), the Chapter's legal counsel, a transcriber, any witnesses who may be called by the CEC or by you, and any other persons whose presence is agreeable to you and the CEC. At the hearing you will be entitled to present and examine witnesses you have called and to cross-examine any other witnesses. Witnesses will be asked to make an oral affirmation of truthfulness. Witnesses shall be allowed to be present during the hearing only as necessary to receive their testimony. At the hearing you will have the right to examine documentary evidence. The participation of legal counsel (whether yours or the Chapter's) shall be restricted to consulting with his/her client. The CEC shall not be bound by rules of evidence, but it shall exclude irrelevant or unduly repetitious evidence. The hearing will be recorded by audiocassette or otherwise. Sincerely,

[CEC Chair's name] Chair, New York Ethics Committee

By Certified Mail, Return Receipt Requested

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[Any proceeding should have been assigned a case number before the appointment of an investigator and conduct of an investigation. If a proceeding before the CEC has not been assigned a case number, the Chair of the CEC should obtain a case number immediately by contacting the office of the APTA's General Counsel.] 15 [Under the Procedural Document, the CEC must notify the respondent at least 30 days in advance of the hearing. Because the Procedural Document imposes a 30-day requirement, the CEC should send the notice by certified mail return receipt requested (or by some other method that will generate a record of the date of receipt).] 16

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(Ethics 09) [Letter by which CEC transmits entire original record to Judicial Committee, with attached checklist] Judicial Committee American Physical Therapy Association 1111 North Fairfax Street Alexandria, VA 22314 Attention: General Counsel Re:

[Case No. (respondent's name)] Transmittal of Record

Dear Judicial Committee: The NYPTA Ethics Committee (CEC) is enclosing the entire original record of the referenced proceeding, following [Alternative 1] the CEC's decision to recommend that the APTA Judicial Committee impose disciplinary action against the respondent. [Alternative 2] the CEC's decision to dismiss the charges against the respondent. [Alternative 3] the CEC's collection of all available information to facilitate a later reactivation of the proceeding in case the respondent should rejoin the APTA. In accordance with the APTA's Procedural Document on Disciplinary Action, I will destroy the CEC's copy of the record upon verification that the original record has been received by the Judicial Committee. Sincerely,

[CEC Chair's name] Chair, NYPTA Ethics Committee Enclosure

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(Ethics 10) [Letter by which CEC advises respondent of its dismissal of charges]

[respondent's name] [respondent's address]

Re:

[Case No. (respondent's name)]16 Dismissal of Charges

Dear [name of respondent]: The New York Chapter Ethics Committee (CEC) has reviewed the investigative file in the referenced proceeding [as well as the evidence received at the hearing before it on [date]]. Upon consideration of all the evidence of record, the CEC has decided to dismiss the charges against you. [Here CEC may give an explanation of its decision, and should give an explanation if the record contains evidence of an ethical violation, e.g., "The CEC weighed the conflicting testimony concerning your alleged failure to supervise supportive personnel and determined that there was insufficient evidence to warrant a recommendation of disciplinary action against you."] In accordance with the APTA's Procedural Document on Disciplinary Action, the CEC will transmit the entire record of this proceeding to the APTA Judicial Committee. Yours truly,

[CEC Chair's name] Chair, NYPTA Ethics Committee By Certified Mail, Return Receipt Requested cc:

APTA Judicial Committee

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[Any proceeding should have been assigned a case number before the appointment of an investigator and conduct of an investigation. If a proceeding before the CEC has not been assigned a case number, the Chair of the CEC should obtain a case number immediately by contacting the office of the APTA's General Counsel.] 18

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(Ethics 11) [Letter by which CEC advises respondent of its decision to recommend disciplinary action and respondent's rights before Judicial Committee] [respondent's name] [respondent's address] Re:

[Case No. (respondent's name)]17 -- Chapter Ethics Committee Recommendation of Disciplinary Action

Dear [respondent's name]: The New York Chapter Ethics Committee (CEC) has reviewed the investigative file in the referenced proceeding, [as well as the evidence received at the hearing before it on [date]]. Upon consideration of all the evidence of record, the CEC has decided to recommend to the APTA Judicial Committee that it [reprimand you/place you on probation subject to the conditions set forth below/suspend you/expel you]. The CEC found that you [here state the behavior of the respondent that the CEC believed to be unethical] The CEC determined that the activity described constituted a violation of Principle(s) [number] and [number] of the APTA's Code of Ethics [, as interpreted by Section(s) [number] and [number] of the Judicial Committee's Guide for Professional Conduct]. Under the APTA's Procedural Document on Disciplinary Action, this Committee has authority to recommend but not to impose disciplinary action. The APTA's Judicial Committee has authority to impose the disciplinary action recommended by this Committee, to impose less severe disciplinary action, or to dismiss the charges against you. You have thirty (30) days after your receipt of this letter in which (i) to request in writing a hearing before the Judicial Committee and/or (ii) to make a written submission to the Judicial Committee for its consideration. You may direct your request to make a submission or to have a hearing to: Judicial Committee, American Physical Therapy Association, 1111 North Fairfax Street, Alexandria, VA 22314, Attention: General Counsel. The APTA Judicial Committee ordinarily meets in January and July of each year. Under the Procedural Document, the Judicial Committee will consider the CEC's recommendation at its next meeting (or the one thereafter if your timely written submission reaches the Judicial Committee less than 40 days before the start of the next meeting). If you have any questions with respect to this proceeding you may contact the APTA's General Counsel at (703) 7063107. Sincerely, [CEC Chair's name] Chair, NYPTA Ethics Committee By Certified Mail, Return Receipt Requested cc: APTA Judicial Committee 17

[Any proceeding should have been assigned a case number before the appointment of an investigator and conduct of an investigation. If a proceeding before the CEC has not been assigned a case number, the Chair of the CEC should obtain a case number immediately by contacting the office of the APTA's General Counsel.] 19

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ETHICS COMMITTEE PROCEDURE MANUAL PART 2 I. OPERATIONS A.

Voting Power Each member shall have one vote.

B.

Appointments Terms of Appointment are 3 years with expiration in alternate years to facilitate continuity within the committee structure. (Appointments may be longer or shorter to initiate this policy.) Appointments by the Executive Committee will be made annually on July 1 st to allow for vacancies to be filled on the committee in a timely manner (10-90-12). The procedure for appointments to committees is found in the Executive Committee Procedure Manual.

C. Vacancies Policy: If a vacancy occurs on the committee, due to death, incapacitation, resignation or dismissal, the Executive Committee will appoint an individual to serve the remainder of the term. The procedure for filling vacancies is found in the Executive Committee Procedure Manual. 1. Resignation Procedure: a. All resignations shall be sent by the individual in writing to the chapter president. b. In the case of committee members, copies of the resignation are to be sent to the committee chairperson and the Executive Director. c. In the case of the committee chairperson, copies should be sent to the Executive Director and committee members. d. Notifications should be sent as soon as possible, and preferably 90 days prior to the effective date. e. The president will initiate the procedure to fill the vacancy. 2. Dismissal Policy: Grounds for dismissal are: a. Noncompliance with chapter policies and procedures. b. Failure to perform assigned tasks and fulfill required responsibilities. c. Failure to attend required meetings, workshops, etc. Procedure for Dismissal: When a committee member or any chapter member has reason(s) to call for the dismissal of an appointee, a. A written request shall be submitted to the president. b. A copy is to be sent to the secretary. c. The president shall initiate a review and the Executive Committee shall make final determination of appropriate action. d. Should dismissal be recommended, the committee member will be notified in writing of the decision and grounds for dismissal. 20

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D.

Appeal Policy: An appointee who has been dismissed by the Executive Committee has the right to appeal the decision within two weeks. Procedure: 1. The appeal of dismissal must be submitted in writing to the president. 2. A copy should be sent to the secretary and Executive Director. 3. The president will initiate a review by the Executive Committee. 4. If the Executive Committee reverses its decision, the member will be reinstated for the remainder of his/her term. 5. If the Executive Committee upholds its decision, it will make a recommendation to the board, with the Board of Directors making the final determination. To insure timely resolution, vote may be by mail, phone, or at a Board meeting.

E. Meeting Attendance 1. Committee Member Policy: It is the expectation of the chapter that committee members attend all meetings of the committee. Notification of the committee chairperson is required if attendance is impossible. Failure of a member to attend three successive committee meetings may be considered cause for dismissal. Procedure: a. If a member is unable to attend, he/she should notify the committee chairperson. b. The member should be prepared to provide requested input prior to meeting. c. If a member has not notified the chairperson, the chairperson should contact the member and remind them that attendance is expected and notification must be given if they cannot attend. 2. Guest Policy: When the Ethics Committee meets to discuss complaints under investigation, only invited guests may attend. Chapter members are encouraged to attend other meetings of the committee; however, all guests attending committee meetings shall each be responsible for his/her own expenses. Procedure: a. Those desiring to attend the committee meeting who are not committee members or consultants should request permission of the chairperson. b. The Chairperson, with consideration given to space limitations (or The Procedural Document on Disciplinary Action of the American Physical Therapy Association in the case of meetings on ethical complaints), may grant permission to attend the meeting. c. Generally, written materials prepared for the committee meeting will not be distributed to guests at these meetings. d. The committee may limit attendance during discussion of confidential matters. F. Minutes Policy: Minutes are to be recorded and kept for each committee meeting and distributed within 30 days. Procedure: 21

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1. 2. 3.

4. 5. 6.

A recorder is appointed. Time is allotted at each meeting for preparation and review of a rough draft of the minutes. Minutes should include the date, time of meeting, location of meeting, attendance, absences, and summary of business. (Records for the Chapter Ethics Committee must be in compliance with The Procedural Document on Disciplinary Action of the American Physical Therapy Association.) The recorder finalizes the minutes. The final draft of the minutes is mailed to the chairperson for approval. The chairperson forwards the minutes to the Chapter office for filing and distribution to committee members and appropriate others.

G. Reports/Newsletter Articles Policy: All Committees shall be required to present 1. A written report to be included in the packet for the Board of Directors meetings (10-77-29). 2. An Annual Report to the Chapter Office for inclusion in the Delegate Assembly Handbook. 3. Annually, a minimum of one article to the newsletter (01-07-18) which may be submitted for the membership recruitment issue of the Empire State Newsletter. In an attempt to educate physical therapists, physical therapist assistants, and students of APTA membership services, the article should address the function and activities of their committee (1-95-25). Procedure for reports: 1. Chapter Office will notify committee chairperson of the deadline for submitting reports. 2. Reports should be written following the format outlined in Tab 4 of the Chapter Operations Manual. 3. If the committee is recommending Board/Assembly action, motions should be written on motion forms following the guidelines for making motions, and submitted in time for inclusion in the packet. Questions on writing motions should be addressed to the chairperson or members of the Judicial Committee. 4. Reports and motions are submitted to Chapter office by the deadline. 5. When received by the deadline, Chapter office will include them in the packet. 6. When the deadline has not been met, it is the responsibility of the chairperson to provide sufficient copies of reports and motions for the Board or Delegate Assembly. Procedure for newsletter articles: 1. Purpose of articles is to help educate colleagues of the functions and accomplishments of the Committee, and to keep members well informed of pertinent issues. 2. Committees are to work with the Communications Director to have articles published. H. Reimbursement Committee members are expected to follow Chapter financial policies for reimbursement of expenses incurred as related to the committee. Expense vouchers with receipts are to be submitted to the Chapter Office within 30 days of the close of the meeting. I. Policy and Procedure Manuals Policy: 22

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The Policy and Procedural Manuals shall be updated and reviewed by the Board of Directors at least once a year (10-77-13). Procedure: 1. Chapter Office will send a reminder to the committee chairperson of the need to review the policy and procedure manuals. 2. Any changes to be made should be in the form of a motion to amend the policy or the procedure, using the appropriate motion format. 3. These motions should be sent to chapter office in time for inclusion in the Board packet for the winter board meeting. J. Orientation of New Members Policy: New committee chairpersons and members will receive an orientation (4-77-15). Procedure: 1. The Executive Committee will send to the member whose term of service is completed, the name and address of the individual who is to replace him/her on the committee. 2. The outgoing committee chairperson or member will contact the person replacing him/her and review the policies and procedures of the committee and answer questions. In the event that person is unable to orient the new member, the Vice-President is responsible. 3. The Chapter office will send to the new member all appropriate records and files (see Committee Records, Part 1).

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