POLICIES AND PROCEDURES FOR PROCESSING COMPLAINTS OF  ETHICAL VIOLATIONS

 

General Index

A: General
B: Committee Members
C: Role & Function
D: Responsibilities of Committee Members
E: Responsibilities of Co-Chair

F: Jurisdiction
G: Eligibility to File Complaint
H: Timelines

I: Nature of Communication
J: Filing Complaints
K: Notice to Charged Counselor
L: Disposition without Hearing
M: Withdrawal of Complaints
N: Possible Sanctions
O: Hearings
P: Hearing Procedures
Q: Notification of Results
R: Appeals
S: Substantial New Evidence
T: Records
U: Legal Actions Related to Complaints

 

Section A: General

1.                  The Arkansas Substance Abuse Certification Board, hereafter referred to as the “Board” or “ASACB” is dedicated to enhancing human development and promoting the counseling profession.

2.                  The Board, in furthering its objectives, administers the Code of Ethics and Standards of Practice developed and approved by the ASACB.

3.                  The purpose of this document is to facilitate the work of the ASACB Ethics Committee by specifying the procedures for processing cases of alleged violations of the ASACB Code of Ethics, codifying options for sanctioning members, and stating appeals procedures. This document is to be used as a supplement to the ASACB Code of Ethics, not as a substitute. The intent of the Certification Board is to monitor the professional conduct of counselors to promote sound ethical practices. The ASACB does not, however warrant the performance of any individual.

Section B: Ethics Committee Members

1.                  The ASACB Ethics Committee, a standing committee of the Certification Board, consists of seven (7) members of the ASACB, the elected officers (President, Vice-President, Treasurer, and Secretary) and two (2) Co-Chairs appointed by the President, and one (1) member-at-large appointed by the President.

2.                  One (1) of the Committee Co-Chairs is appointed annually by the President-Elect from among the Certification Board members who have two (2) years of service remaining and serves as Co-Chair for two (2) years.

Section C: Role and Function

1.                  The Ethics Committee is responsible for

a.      Educating those registered with the ASACB as to the Code of Ethics;

b.      Periodically reviewing and recommending changes in the Code of Ethics of the ASACB, as well as Policies and Procedures for processing complaints of ethical violations;

c.      Receiving and processing complaints of alleged violations of the Code of Ethics of the ASACB;

d.      Receiving and processing requests for interpretations.

2.                  The Committee shall meet monthly in person, or in cases of emergency by telephone conference for processing complaints or for interpretations.

3.                  In processing complaints about alleged ethical misconduct, the Ethics Committee will compile an objective, factual account of the dispute in question and make the best possible recommendation of the resolution of the case. The Ethics Committee, in taking any action, shall do so only for cause, shall only take a reasonable degree of disciplinary action, shall utilize these procedures with objectivity and fairness, and in general shall act only to further the interests and objectives of the ASACB and the public.

4.                  Of the seven (7) voting members of the committee, a vote of four (4) is necessary to conduct business. In the event a Co-Chair or any other member of the Committee has a personal interest in the case, he or she shall withdraw from reviewing the case. The Co-Chair administering the complaint shall abstain from the vote.

5.                  In the event an Ethics Committee member recuses themselves from a complaint and insufficient voting members are available to conduct business, the President may appoint another ASACB Board member(s) (ad hoc) to maintain the Quorum.

Section D: Responsibilities of the Ethics Committee Members

1.                  The Ethics Committee members have an obligation to act in an unbiased manner, to work expeditiously, to safeguard the confidentiality of the Committee’s activities, and to follow procedures established to protect the rights of all individuals involved.

Section E: Responsibilities of the Co-Chairs Administering the Complaint

1.                  In the event that one of the Co-Chairs administering the complaint has a conflict of interest in a particular case, the other Co-Chair shall administer the complaint. The Co-Chair administering the complaint shall not have a vote in the decision.

2.                  In addition to the above guidelines for members of the Ethics Committee, the Co-Chairs, with the assistance of the ASACB administrator (and legal counsel where necessary) have the responsibilities of:

a.      Receiving complaints;

b.      Determining whether the alleged behavior(s), if true, would violate the ASACB’s Code of Ethics and whether the Ethics Committee should review the complaint under these rules;

c.      Notify the complainant and the charged counselor of the case by certified mail, return receipt requested;

d.      Notifying the members of the Ethics Committee of the case;

e.      Requesting additional information from the complainants, charged counselors and others;

f.        Presiding over meetings of the Ethics Committee;

g.      Preparing and sending, by certified mail, communications to the complainant and charged counselor on the recommendations and decisions of the Ethics Committee; and

h.      Arrange for legal advice with the assistance and financial approval of the ASACB.

Section F: Jurisdiction

1.                  The Ethics Committee will consider whether individuals have violated the ASACB Code of Ethics if those individuals:

a.      Are currently Certified by the ASACB;

b.      Are registered with the ASACB, in the process of becoming certified as an alcohol and drug counselor,

c.      Were certified or registered when the alleged violations occurred.

Section G: Eligibility to File Complaints

1.                  The Ethics Committee will receive complaints that counselors have violated one or more sections of the ASACB Code of Ethics from the following individuals:

a.      Any individual who has reason to believe that a counselor has violated the ASACB Code of Ethics.

b.      Registered or Certified counselors, or members of other helping professions, who have reason to believe that a counselor has violated the ASACB Code of Ethics.

c.      The Co-Chair of the Ethics Committee on behalf of the ASACB when the Co-Chair has reason to believe through information received by the Committee that a counselor has violated the ASACB Code of Ethics.

2.                  If possible, individuals should attempt to resolve complaints directly with charged counselors before filing ethical complaints.

Section H: Time Lines

1.                  The time lines in these standards are guidelines only and have been established to provide a reasonable time framework for processing complaints.

2.                  Complainants or charged counselors may request extensions of deadlines when appropriate and when requested prior to the existing deadline. Extensions of deadlines will be granted by the Ethics Committee only when justified by unusual circumstance.

Section I: Nature of Communication

1.                  Only written communications regarding ethical complaints against counselors will be accepted. If telephone inquiries are received regarding the filing of complaints, responding to complaints, or providing information regarding complaints, the individuals will be informed of the written communication requirement and asked to comply.

2.                  All correspondence related to an ethical complaint must be addressed to:

 

Arkansas Substance Abuse Certification Board

UALR-Mid-South Center

2801 S. University Ave.

Little Rock, AR 72204

Attn: Ethics Committee

 

Section J: Filing Complaints

 

1.                  Only written complaints, signed by complainants, will be considered.

 

2.                  Individuals eligible to file complaints will send a letter outlining the nature of the complaint to the Committee at the ASACB office. The complaint shall include, if possible,

 

a.      The name and address of the complainant;

b.      The name and address of the charged counselor;

c.      The names and addresses of any other persons who have knowledge of the facts involved; and

d.      A brief description of the reason why the complaint is being filed.

 

3.                  The ASACB administrator or Ethics Committee designee will communicate in writing with complainants. Receipt of the complaint and confirmation of registration or certification status of the charged counselor as defined in Section F.1 above will be acknowledged to the complainant.

 

4.                  If the complaint does not involve a registered or certified counselor as defined in F.1, above, the administrator or Ethics Committee designee will notify the complainant.

 

5.                  The complaint will be assigned to one of the Committee Co-Chairs to determine whether the complaint, if true, would violate one or more sections of the Code of Ethics or if the complaint could be properly decided if accepted. If not, the complaint will be forwarded to the other Co-Chair for review, as if a new complaint. If both Co-Chairs determine that a complaint would not violate one or more sections of the Code of Ethics or if the complaint could not be properly decided if accepted, then the complaint will not be accepted and the complainant shall be notified.

The complainant will be notified of the decision of the Ethics Committee Co-Chair within thirty (30) days from receipt of the complaint.

 

6.                  If the Co-Chair administering the complaint determines that there is insufficient information to make a fair determination of whether the behavior alleged in the complaint would be cause for action by the Ethics Committee, the ASACB administrator or Committee designee may request further information from the complainant or others. They shall be given thirty (30) days from receipt of request to respond.

 

7.                  When complaints are accepted, complainants will be informed that copies of the formal complaints plus evidence and documents in support of the complaint will be provided to thecharged counselor and that the complainant must authorize release of such information to the charged counselor before the complaint process may proceed.

 

8.                  The ASACB administrator or Ethics Committee designee, after receiving approval of the Committee Co-Chair administering a complaint, will formulate a formal complaint which will be presented to the complainant for his or her signature.

 

a.      When the correspondence from complainants is received, and the ASACB administrator or the Ethics Committee designee and Committee Co-Chair administering the complaint will identify all ASACB Code of Ethics that might have been violated if the accusations are true.

 

b.      The formal complaint will be sent to complainants with a copy of the Policies and Procedures, a copy of the ASACB Code of Ethics, a verification affidavit form and an authorization to release of information form. Complainants will be asked to sign and return the completed complaint, verification affidavit and authorization to release of information forms. It will be explained to complainants that sections of the codes that might have been violated may be added or deleted by the complainant before signing the formal statement.

 

c.      If complainants elect to add or delete sections of the Code of Ethics in the formal complaint, the unsigned formal complaint shall be returned to the ASACB office, and a revised formal complaint will be sent for their signature.

 

9.                  When the completed formal complaint, verification affidavit form and authorization to release information form are presented to the complainant for signature, he or she will be asked to submit all evidence and documents he or she wishes to be considered by the Committee in reviewing the complaint. The complainant shall submit all evidence and documentation in support of the claim within thirty (30) days of filing the formal complaint. The Committee may accept, at its discretion, evidence or documentation submitted late if good cause is shown.

 

Section K: Notice to Charged Counselor

 

1.                  Once signed formal complaints have been received, charged counselors will be sent a copy of the formal complaint by U.S. mail, certified, with return receipt requested, a copy of these Policies and Procedures, a copy of the Code of Ethics, notification of their right to request a hearing, (including the time limit within which to request a hearing, and that the failure to request a hearing within the time limit constitutes a waiver of the hearing), ASACB’s policy of disclosing adverse actions to its members and/or informing state and national boards of a counselor’s suspension or revocation, and copies of all evidence and documents submitted in support of the complaint.

 

2.                  Charged counselors will be asked to respond to the complaint against them by addressing each section of the ASACB Code of Ethics they have been accused of having violated. They will be informed that if they wish to respond they must do so in writing within sixty (60) days of receipt of the complaint.

 

3.                  Charged counselors will be informed that they must submit all evidence and documents they wish to be considered by the Committee in reviewing the complaint within sixty (60) days of receipt of the complaint.

 

4.                  After charged counselors have received notification that a complaint has been brought against them, they will be given sixty (60) days to notify the Committee Co-Chair (via the ASACB office) in writing, by certified mail, if they wish to request a formal, face-to-face hearing before the Committee. Charged counselors may waive their right to a formal hearing before the Committee and shall sign a waiver of the right to a hearing. (See Section O: Hearings).

 

5.                  If the Committee Co-Chair determines that there is insufficient information to make a fair determination of whether the behavior alleged in the complaint would be cause for action by the Ethics Committee, the ASACB administrator or Committee designee may request further information from the charged counselor or others. They shall be given thirty (30) days from the receipt of the request to respond.

 

6.                  All requests for additional information from others will be accompanied by a verification affidavit form which the information provider will be asked to complete and return.

 

7.                  The Committee may, in its discretion, delay or postpone its review of the case with good cause including if the Committee wishes to obtain additional information. The charged member may request in writing that the Committee delay or postpone its review of the case for good cause.

 

Section L: Disposition of Complaints Without Hearing

 

1.                  After receiving the responses from the charged counselors, Ethics Committee members will be provided copies of (a) the complaint, (b) supporting evidence and documents sent to charged counselors, (c) the response from the charged counselor, and (d) supporting evidence and documents provided by the charged counselor and others.

 

2.                  Decisions will be rendered based on the evidence and documents provided by the complainant and the charged counselor or others.

 

3.                  The Committee Co-Chair administering a complaint will not participate in the decision regarding that particular complaint.

 

4.                  At the next meeting of the Ethics Committee, the Committee members will discuss the complaint, response, and supporting documentation, if any, and determine the outcome of the complaint.

 

5.                  The Ethics Committee will determine whether each Code of Ethics the counselor has been accused of having violated was violated based on the information provided.

 

6.                  After deliberations, the Ethics Committee may recommend to the Board to dismiss the complaint or to dismiss charges within the complaint or continue the complaint, requesting further information or schedule a hearing on the complaint.

 

7.                  In the event it is determined that any of the ASACB Code of Ethics has been violated, the Ethics Committee will recommend to the Board, for the entire complaint, one or a combination of the possible sanctions allowed.

 

Section M: Withdrawal of Complaints

 

1.                  If the complainant and charged counselor both agree to discontinue the complaint process, the Ethics Committee may, at its discretion, complete the adjudication process if available evidence indicates this is warranted. The Co-Chair of the Ethics Committee, on behalf of the ASACB, shall act as the complainant.

 

Section N: Possible Sanctions

 

Discretion of the Board: The following factors may be considered by the Board in determining the nature and severity of the disciplinary sanctions to be imposed:

A.        The relative seriousness of the violation as it relates to assuring citizens of this state a high standard of professional service and care;

            B.            The facts of the particular violation;

            C.            Any extenuating circumstances or other countervailing considerations;

            D.            The number of complaints;

            E.            The seriousness of prior violations or complaints;

            F.            Whether remedial action has previously been taken;

G.                Or other factors which may reflect upon the competency, ethical

 standards, and professional conduct of the individual.

 

1.             Remedial requirements, such as training on specific areas or Clinical Supervision, may be stipulated by the Ethics Committee to be imposed by the Board.

 

2.            Probation for a specified period of time subject to Committee review of compliance. Remedial requirements may be imposed to be completed within a specified period of time.

 

3            Suspension of Certification or the Certification process for a specified period of time, subject to Committee review of compliance. Remedial requirements may be imposed to be completed within a specified period of time.

 

4.            Revocation of current certification or current certification process.

 

5.            Permanent revocation of certification or certification process. This requires a unanimous vote of the full Board.

 

6.         The penalty for failing to satisfactorily fulfill a remedial requirement imposed by the Board or a remedial requirement as a result of probation, will be an automatic suspension until the requirement is met. The Board could modify the requirement based on good cause.

 

7.         The penalty for failing to satisfactorily fulfill a remedial requirement imposed as a result of a suspension sanction will be an automatic revocation unless the Board determines that the remedial requirement should be modified based on good cause shown prior to the end of the suspension period.

 

8.         Other corrective action.

 

Section O: Hearings

 

1.                  At the discretion of the Ethics Committee, a hearing may be conducted when the results of the Committee’s preliminary determination indicate that additional information is needed.

2.                  When charged counselors, within sixty (60) days of notification of the complaint, request a formal face-to-face hearing before the Ethics Committee, a hearing will be conducted. (See section K.4.)

3.                  The charged counselor shall bear all their expenses associated with attendance at hearings requested by the charged counselor.

4.                  The Ethics Committee Co-Chair administering the complaint shall schedule a formal hearing on the case at the next scheduled Committee meeting and notify both the complainant and the charged counselor of their right to attend the hearing. (See P.2.a.)

5.                  The hearing will be held before a panel made up of the Ethics Committee and if necessary because any Committee member or Co-Chair excuses themselves because of personal interest in the case, the President of the ASACB may appoint another Board member(s) (ad hoc) to fill the necessary positions.

Section P: Hearing Procedures

1.                  Purpose

a.                  A hearing will be conducted to determine whether a breech of the ASACB Code of Ethics has occurred, and if so, to determine appropriate disciplinary action to be recommended to the Board.

b.                  The Ethics Committee will be guided in its deliberations by principles of basic fairness and professionalism and will keep its deliberations as confidential as possible except as provided herein.

2.                  Notice

a.                  The charged counselor shall be advised in writing by the Co-Chair administering the complaint of the time and place of the hearing, the list of any witnesses expected to testify at the hearing against the charged counselor, and the charges involved at least thirty (30) days prior to the hearing. A copy of the notification will be sent to the complainant. Notices shall be sent by certified mail with return receipt requested. Notice shall include a formal statement of the complaints lodged against the charged counselor and supporting evidence.

b.                  The charged counselor is under no duty to respond to the notice, but the Ethics Committee will not be obligated to delay or postpone its hearing unless the charged counselor so requests in writing with good cause received at least fifteen (15) days in advance. In the absence of such 15-day advance notice of postponement and the charged counselor fails to appear at the hearing, the Committee shall decide the complaint on record. Failure of a charged counselor to appear at the hearing shall not be viewed by the Committee as sufficient grounds alone for taking disciplinary action.

3.            Conduct of the Hearing.

a.                  Accommodations. The location of the hearing shall be determined at the discretion of the Ethics Committee. The Committee shall provide a private roomto conduct the hearing, and no observers or recording devices other than a recording device used by the Committee shall be permitted.

b.                  Presiding Officer. The Co-Chair not administering the case or Ethics Committee designee(ad hoc)             Co-Chair) shall preside over the hearing and deliberations of the Ethics Committee. At the conclusion of the hearing and deliberations, the Co-Chair presiding over the hearing shall develop a written recommendation to be presented to the Board and will notify the charged counselor and complainant of the Board’s decision in writing as provided by Section Q., Paragraphs 1 and 2 below.

c.                  Record. A record of the hearing shall be made and preserved, together with any documents in evidence, at the ASACB office for a period of five (5) years or until the complaint process is final, whichever is longer, except in the case of revocation. If credential is revoked the record will be maintained in ASACB office. The record shall consist of a summary of testimony received or a verbatim transcript at the discretion of the Committee.

d.                  Right to Counsel. The charged counselor shall be entitled to have legal counsel present to advise and represent him or her throughout the hearing. Legal counsel for the ASACB shall also be present at the hearing to advise the Committee and shall have the privilege of the floor.

e.                  Witnesses. Either party shall have the right to call witnesses to substantiate his or her version of the case.

f.                    The Committee shall have the right to call witnesses it believes may provide further insight into the matter. The Committee shall, in its sole discretion, determine the number and identity of witnesses to be heard.

g.                  Witnesses shall not be present during the hearing except when testifying and shall be excused upon completion of their testimony and any cross-examination.

h.                  The Co-Chair presiding over the hearing shall allow questions of any witness by the opposition or members of the Committee if such questions and testimony are relevant to the issues in the case.

i.                    The Co-Chair presiding over the hearing will determine what questions and testimony are relevant to the case. Should the hearing be disturbed by irrelevant testimony, the Co-Chair may call a brief recess to restore order.

j.                     All expenses associated with counsel on behalf of the parties shall be borne by the respective parties. All expenses associated with witnesses on behalf of the charged counselor shall be borne by the charged counselor when the charged counselor requests a hearing. If the Committee requests the hearing, all expenses associated with witnesses may be borne by the ASACB.

4.            Presentation of Evidence

a.                  The Co-Chair administering the complaint or the Committee designee shall be called upon first to present the charge(s) against the charged counselor and to briefly describe the supporting evidence. The person presenting the charges shall also be responsible for examining and cross-examining witnesses on behalf of the complaint and for otherwise presenting the matter during the hearing.

b.                  The complainant or the Committee Co-Chair administering the complaint or Committee designee shall then present the case against the charged counselor. Witnesses who can substantiate the case may be called upon to testify and answer questions of the charged counselor and the Committee.

c.                  If the charged counselor is present at the hearing, he or she shall be called upon after the case has been presented against them to present any evidence which refutes the charges against him or her. This includes witnesses as in Subsection (3) above. The charged counselor and the complainant may submit a written statement at the close of the hearing.

d.                  The charged counselor will not be found guilty simply for refusing to testify. Once the charged counselor chooses to testify, however, he or she may becross-examined by the complainant and members of the Ethics Committee.

e.                  The Ethics Committee will endeavor to conclude the hearing within a period of two (2) hours. The parties will be requested to be considerate of this time frame in planning their testimony. If it appears that additional time will be needed to develop the issues adequately, an extension of time may be granted.

f.                    Testimony that is merely cumulative or repetitious may, at the discretion of the Co-Chair presiding over the hearing, be excluded.

g.                  At any time during the presentation of evidence, the presiding members of the Committee may ask pertinent questions.

5.            Relevancy of Evidence.

a.                  The Hearing Committee is not a court of law and is not required to observe formal rules of evidence. Evidence inadmissible in a court of law may be admissible in the hearing before the Committee if it is relevant to the case. That is, if the evidence tends to explain, clarify, or refute any of the important facts of the case, it should generally be considered.

b.                  The Committee will not consider evidence or testimony for the purpose of supporting any charge that was not set forth in the notice of the hearing or that is not relevant to the issues of the case.

6.            Burden of Proof.

a.                  The burden of proving a violation of the Code of Ethics is on the complainant and/or the Committee. It is not up to the charged member to prove his or her innocence of any wrongdoing.

b.                  Although the charge(s) need not be proved “beyond a reasonable doubt” the Committee will not find the charged counselor guilty in the absence of substantial, objective, and believable evidence to sustain the charge(s).

7.            Deliberation of the Committee

a.                  After the hearing is completed, the Committee shall meet in a closed session to review the evidence presented and reach a conclusion. ASACB legal counsel may attend the closed session to advise the Committee if the Committee so desires.

b.                  The Committee shall be the sole trier of the facts and shall weigh the evidence presented and assess the credibility of the witnesses. The act of a majority of the members of the Committee present shall be the decision of the Committee. The Co-Chair presiding over the hearing will vote only in the case of a tie vote of other Committee members. A unanimous vote of those voting is required for recommendation to the Board of permanent expulsion from ASACB certification or certification process.

c.                  Only members of the Committee who were present throughout the entire hearing shall be eligible to vote.

8.            Decision of the Committee

a.                  The Committee will first resolve the issue of guilt or innocence of the charged counselor on each charge. Applying the burden of proof in subsection (5) above, the Committee will vote by secret ballot unless the Committee consents to an oral vote.

b.                  In the event a majority of the members of the Committee do not find the charged counselor guilty, the Committee will recommend to the Board that the charges be dismissed. If the Committee finds the charged counselor has violated the Code of Ethics, it must then determine what sanctions, in accordance with Section N: Possible Sanctions, shall be recommended to the ASACB to be imposed.

c.                  As provided in Section Q below, the Co-Chair presiding over hearing shall develop a written recommendation to be presented to the Board and notify the charged counselor and complainant of the Board’s decision and rights to appeal in writing.

Section Q: Notification of Results

1.                  Charged counselors shall be notified of the Board’s decisions regarding complaints against them within thirty (30) days of the hearing. Included inthenotification would be the right to appeal the Board’s decision. The decision shall be sent by U.S. mail, certified, with return receipt requested.

2.                  After the deadline for filing an appeal, or in the event an appeal is filed, after a decision on appeals has been rendered, and if a violation has been found and the charged counselor has been suspended or expelled, the ASACB shall issue a final decision. The final decision of the Board shall be published in the quarterly ASACB Newsletter and in any other manner deemed appropriate by the Board. The ASACB will report a disciplinary action against certified professionals to the Arkansas Department of Health, Bureau of Alcohol and Drug Abuse Prevention if that counselor is employed by a licensed program.

Section R: Appeals

1.                  Decisions of the ASACB may be appealed by the counselor found to have been in violation based on one or both of the following grounds:

a.                 The Committee violated its policies and procedures for processing complaints of ethical violations; and/or

b.                 The decision of the Committee was arbitrary and capricious and was not supported by the materials provided by the complainant and charged member.

2.                  After a counselor has received notification that they have been found in violation of one or more ASACB Code of Ethics, they will be given thirty (30) days to notify the ASACB in writing by certified mail that they are appealing the decision. If an appeal is not requested, the ASACB shall issue its decision as the final decision as soon as the time during which an appeal may be filed expires.

3.                  An appeal may consist only of a letter stating one or both of the grounds of appeal listed in subsection (1) above and the reasons for the appeal. The filing of an appeal automatically stays the execution of a decision by the ASACB until the appeal is completed.

4.                  The president of the  ASACB shall appoint a appeals panel comprised of no less than three (3) Board members, none of the three shall be Committee members from the prior hearing. The ASACB attorney shall serve as legal advisor and have the privilege of the floor.

5.                  The three (3) member appeals panel will be given copies of the materials available to the Committee when it made its decision, a copy of the hearing record if a hearing was held, plus a copy of the letter filed by the appealing member.

6.                  The appeals panel will not consider evidence that was not presented to the Committee.

7.                  The appeals panel generally will render its decision regarding an appeal requiring a majority vote within sixty (60) days of their receipt of the above materials.

8.                  The decision of the appeals panel is limited to

a.                 Upholding the decision of the Committee; or

b.                 Upholding the decision of the Committee on the finding of an ethical violation but reversing and remanding the Committee’s decision on sanctions; or

c.                  Recommending reconsideration by the Committee of the decision providing guidance to the Committee in detail in writing for considering a new decision on remand.

9.                  The decision of the appeals panel need not be unanimous.

10.             When a Committee decision is reversed and remanded, the complainant and charged counselor will be informed in writing, and additional information may be requested first from the complainant and then from the charged counselor. The Committee will then render another decision to be recommended to the Board without a hearing.

11.             Decisions of the appeals panel to uphold the Committee decisions are final and binding and not subject to further hearings or appellate review.

Section S: Substantial New Evidence

1.                  In the event substantial new evidence is presented in a case in which an appeal was not filed, or in a case for which the final decision has been rendered, the case may be reopened by the Committee.

2.                  The Committee will consider substantial new evidence and if found to be substantiated and capable of exonerating a counselor who was expelled, the Committee will reopen the case and go through the entire complaint process again.

Section T: Records

1.                  The records of the Committee regarding complaints are confidential except as provided herein.

2.                  Original copies of complaint records will be maintained in locked files at the ASACB office.

3.                  Members of the Committee will keep copies of complaint records confidential and will destroy copies of records after the case has been closed or when they are no longer a member of the Committee.

Section U: Legal Actions Related to Complaints

1.                  Complainants and charged counselors are required to notify the Committee if they learn of any legal action (civil or criminal) being filed related to the complaint.

2.                  In the event any legal action is filed regarding an accepted complaint, all actions related to the complaint will be stayed until the legal action has been concluded. The Committee will consult legal counsel concerning whether the processing of the complaint will be stayed if legal action does not involve the same complainant and the same facts complained of.

3.                  If actions on a complaint are stayed, the complainant and charged counselor will be notified.

4.                  When actions on a complaint are continued after a legal action has been concluded, the complainant and charged counselor will be notified.

 

Reprinted by permission from the American Counseling Association.  No further reproduction authorized without written permission from the American Counseling Association.