Abstract
These Enforcement Procedures help ensure compliance with the Code, objectivity, and fundamental fairness to all persons who may be parties in an ethics complaint. The Code and the Enforcement Procedures are not intended to address private business, legal, or other disputes for which there are other, more appropriate forums for resolution. Whenever feasible and appropriate, AOTA members should first pursue other corrective steps within the relevant institution or setting and discuss ethical concerns directly with persons perceived to be violating the Code before resorting to AOTA’s ethics complaint process. However, the EC will review complaints of unethical conduct that it receives.
This public document articulates the procedures followed by the members of the Ethics Commission (EC) as they carry out duties to enforce the American Occupational Therapy Association (AOTA) Occupational Therapy Code of Ethics (the Code).
Introduction
This public document articulates the procedures followed by the members of the Ethics Commission (EC) as they carry out duties to enforce the American Occupational Therapy Association (AOTA) Occupational Therapy Code of Ethics (the Code; AOTA, 2020). These Enforcement Procedures help ensure compliance with the Code, objectivity, and fundamental fairness to all persons who may be parties in an ethics complaint. The Code and the Enforcement Procedures are not intended to address private business, legal, or other disputes for which there are other, more appropriate forums for resolution. Whenever feasible and appropriate, AOTA members should first pursue other corrective steps within the relevant institution or setting and discuss ethical concerns directly with persons perceived to be violating the Code before resorting to AOTA’s ethics complaint process. However, the EC will review complaints of unethical conduct that it receives.
Jurisdiction
Enforcement of the Code applies to persons who are or were AOTA members at the time of the conduct in question. Later nonrenewal or relinquishment of membership does not affect AOTA jurisdiction.
Confidentiality and Disclosure
The EC develops and adheres to strict rules of confidentiality in every aspect of its work. These rules require that all participants in the enforcement process refrain from any communication relating to the existence and subject matter of the complaint other than with those directly involved in the process. The same rules of confidentiality apply to Complainants (persons who file a complaint), Respondents (those who are the subject of a complaint), their attorneys, and witnesses involved with the EC’s investigatory process. Any person who breaches these rules of confidentiality may become subject to AOTA action, including notification of the appropriate licensure and certification boards.
The EC may request information from a variety of sources, including state licensing agencies, academic councils, courts, employers, and other persons and entities. It is within the EC’s purview to determine what disclosures are appropriate for particular parties in order to effectively implement its investigatory obligations.
Conflict of Interest
EC members adhere to AOTA’s conflict of interest policy (see Appendix A). If a conflict of interest is determined to exist, members will recuse themselves in accordance with AOTA’s policies and procedures.
Enforcement Process
Step 1: Filing a Complaint
A complaint is a report of an alleged violation of the Code against a member of AOTA, filed in accordance with AOTA procedures as described in this document.
1.1 Complaints
Complaints stating an alleged violation of the Code may originate from any individual, group, or entity within or outside the Association. The EC itself may initiate a complaint (“self-initiated complaint”) based on information from any internal or external source indicating that a person subject to its jurisdiction may have committed acts that violate the Code.
1.2 How to File a Complaint
Complainant’s full name and contact information (anonymous submissions will not be accepted) Respondent’s full name and contact information when available Alleged violations of Standards of Conduct from the Code Signature or e-signature Supporting documentation.
1.3 When a Complaint Is Received
Does the complaint contain the full name and contact information, when available, of the Complainant and Respondent? Did the Complainant include the Code of Ethics Standard(s) that they allege the Respondent violated? Does the complaint contain evidence of a violation of the Code? If the complaint is incomplete, then it shall not be considered by the EC. The Ethics Office will notify the Complainant upon receipt of a complaint that is deemed incomplete.
Step 2: Ethics Commission Review, Investigation, and Decision
2.1 Regular Complaint Process
2.2 Review
2.3 Dismissal of Complaints
The EC may dismiss a complaint at any time for any of the following reasons:
2.4 Investigation
Appoint the AOTA Ethics Office staff as the Investigator to investigate the complaint. Instruct the AOTA Ethics Office to notify the Respondent by secure delivery (digital and/or courier) with delivery confirmation that a complaint has been received and an investigation is being conducted. A copy of the complaint and supporting documentation shall be enclosed with this notification. Ask the AOTA Ethics Office to notify the Complainant by secure delivery (digital and/or courier) with delivery confirmation that the complaint is being investigated.
2.5 Investigation Timeline
2.6 AOTA EC Self-Initiated Complaint Process
2.7 Decision
Educative Letters: If the EC determines that the alleged conduct is not a violation of the Code, does not warrant any of the disciplinary actions set forth in Section 2.7.3, or is not completely in keeping with other standards of practice or professionalism, the EC may send a private letter to educate the Respondent and/or Complainant, if appropriate, about relevant standards of practice and/or appropriate professional behavior related to the complaint.
Advisory Opinions: The EC may issue general advisory opinions on ethical issues to inform and educate Association members. These opinions shall be disseminated to the membership via official publications of the Association.
Private Disciplinary Actions
Reprimand: A formal expression of disapproval of conduct, communicated privately by letter from the EC Chairperson, that is nondisclosable and not communicated to another body (e.g., SRB, NBCOT). Reprimand is not publicly reported.
Publicly Reported Disciplinary Actions: When the EC imposes a public sanction, the EC will report the sanction and Standards of Conduct that were violated in Association official publications and to any appropriate persons or entities.
Censure: A formal expression of disapproval that is publicly reported with an end date specified.
Probation of Membership: Continued Association membership is conditional and may or may not include specific terms. Probation is publicly reported with an endpoint specified. Consideration will be given on a case-by-case basis for specific membership benefits, including but not limited to service on Association committees and other volunteer opportunities.
Suspension: Removal of Association membership and eligibility to obtain or renew membership during a specified period. Suspension is publicly reported with an endpoint specified.
Revocation: Permanent denial of Association membership. Revocation is publicly reported.
Remedial activity applicable to the violation, with proof of satisfactory completion by a specific date, and Corrected behavior, which is expected to be maintained.
2.8 Respondent’s Response
Accept the Decision: Accept the decision of the EC (as to both the Code violation and the sanction) and waive any right to an Appeal Panel hearing.
Request Mitigation or Reduction of Sanction: Accept the decision that they violated the Code but, within thirty (30) calendar days, submit a statement to the EC (with any supporting documentation) setting forth the reasons why the sanction should not be imposed or should be mitigated or reduced.
Request a Hearing: Advise the EC Chairperson in writing that they want to contest the EC’s decision and sanction and request a hearing before the Appeal Panel.
Decide Not to Respond: Failure of the Respondent to take one of the above actions within the time specified will be deemed to constitute acceptance of the decision and sanction.
Acceptance: If the Respondent accepts the decision and sanction, the EC will notify all relevant parties and impose the sanction.
Request for Mitigation or Reduction of Sanction: If the Respondent submits a statement to the EC with reasons why a sanction should not be imposed or should be mitigated or reduced, the EC will consider the Respondent’s statement at its next meeting. The EC will determine by majority vote whether to impose, dismiss, mitigate, or reduce the sanction.
Request for a Hearing: If the Respondent requests an Appeal Panel hearing, the AOTA Ethics Office staff will schedule it. Step 3 describes the Appeal Panel process.
2.9 Referral of Complaint
The EC may at any time refer a matter to NBCOT, the appropriate SRB, the Accreditation Council for Occupational Therapy Education, or other recognized authority for appropriate action. Even in the case of referral, the EC shall retain its authority to investigate the complaint. At the discretion of the EC, the following may occur:
2.10 Case Closure
Once the EC has completed all actions, imposed any sanctions, and notified all parties and the appeal process has concluded (if applicable), the EC will vote by majority to close the case.
Step 3: Appeals Process
3.1 Purpose
The purpose of the Appeal Panel (the Panel) hearing is to provide the Respondent an opportunity to present evidence and witnesses to answer and refute the decision and/or sanction decided on by the EC and to permit the EC Chairperson or designee to present evidence and witnesses in support of the EC decision. The Panel is convened upon written request by the Respondent. The Panel shall consider the matters alleged in the complaint; the matters raised in defense; the EC decision; and other relevant facts, ethical principles, and federal or state law, if applicable. The Panel may question the parties concerned and determine ethical issues arising from the factual matters in the case, even if those specific ethical issues were not raised by the Complainant. The Panel may also choose to apply Principles or other language from the Code not originally identified by the EC. The Panel may affirm the decision of the EC, reverse or modify it, or remand it to the EC for review if its written procedures were not followed.
3.2 Appeals
An appeal shall be written, signed by the Respondent, and sent by secure delivery (digital and/or courier) with delivery confirmation to the Association’s Executive Director, in care of the AOTA Ethics Office. The grounds for the appeal shall be fully explained by the Respondent in this written document.
3.3 Grounds for Appeal
Appeals shall generally address only the issues, procedures, or sanctions that are part of the record before the Panel. However, in the interest of fairness, the Panel may consider newly available evidence that is directly related to the original complaint.
3.4 Criteria for Selection of the Appeal Panel
The three (3) members of the Panel (an AOTA Board member, an OT practitioner, and a public member) are selected from a pool of qualified candidates who meet the following criteria:
3.5 Members of the Appeal Panel
The three (3) members of the Panel shall be appointed as follows:
3.6 Appeal Process
Participants in the appeal process shall be limited to the Respondent and legal counsel (if so desired), the EC Chairperson, the Association legal counsel, and others approved in advance by the Panel as necessary to the proceedings. The AOTA Ethics Office shall initiate the appeal process as follows:
The AOTA Ethics Office shall notify the EC Chairperson immediately upon receipt of a formal written appeal. The Panel members shall be appointed within fifteen (15) calendar days of receipt of a formal written appeal. The AOTA Ethics Office shall forward the Respondent’s letter of appeal and supporting documentation to the Panel members within fifteen (15) calendar days of receipt. The AOTA Ethics Office shall schedule the hearing date in coordination with the Panel Chairperson. Within thirty (30) calendar days after receipt of the appeal, the AOTA Ethics Office shall give the parties notice of the hearing. The hearing date will be scheduled no less than forty-five (45) calendar days after official notice of the hearing is provided. The AOTA Ethics Office will send notice of the hearing and any related documentation including case materials to all parties by secure delivery (digital and/or courier) with delivery confirmation.
3.7 Hearing Witnesses, Materials, and Evidence
Within thirty (30) calendar days of notification of the hearing, the Respondent shall submit to the Panel a written response to the decision and sanction, including a detailed statement as to the reasons that he or she is appealing the decision and a list of potential witnesses (if any) and the subject matter they will address.
3.8 Counsel
The Respondent may be represented by legal counsel at their own expense. Association legal counsel shall advise and represent the Association at the hearing. Association legal counsel may also advise the Panel regarding procedural matters to ensure fairness to all parties. All parties and the Association legal counsel shall have the opportunity to question witnesses.
3.9 Hearing
3.10 Decision
Step 4: Reports, Records, and Publications
4.1 Notifications
All notifications referred to in these Enforcement Procedures shall be in writing and shall be delivered by secure delivery (digital and/or courier) with delivery confirmation.
4.2 Records and Reports
The investigative case files shall include the complaint and any documentation the EC relied on in initiating the investigation. At the completion of the enforcement process, the written records and reports that state the initial basis for the complaint, material evidence, and the disposition of the complaint shall be retained by the AOTA Ethics Office for a period of at least seven (7) years.
4.3 Publication
Sanctions of Censure will remain published for three (3) years. Sanctions of Probation and Suspension will remain published for the duration of the sanction plus three (3) years. Sanctions of Revocation will remain published indefinitely.
4.4 Modification
The Association reserves the right to (a) modify the time periods, procedures, or application of these Enforcement Procedures for good cause consistent with fundamental fairness in each case and (b) modify its Code and/or these Enforcement Procedures, with such modifications to be applied only prospectively.
Footnotes
1
Unless otherwise specified, “AOTA Ethics Office staff” refers to one or more Ethics Office staff members.
Authors
The Ethics Commission:
Brenda S. Howard, DHSc, OTR, Chairperson (2020–2023)
Leslie E. Bennett, OTD, OTR/L, Member-at-Large (2019–2021)
Brenda Kennell, MA, OTR/L, Education Representative (2018–2021)
Barbra Elleman, OTD, OTR/L, C/NDT, Practice Representative (2020–2023)
Marita Hensley, COTA/L, OTA Representative (2020–2023)
Donna Ewy, MD, FAAFP, MTS, Public Member (2019–2022)
Roger Alan Ritvo, PhD, Public Member (2018–2021)
Rebecca E. Argabrite Grove, MS, OTR/L, FAOTA, AOTA Liaison
Adopted by the Representative Assembly August 2021 (RAM01-08162021)
Reviewed by BPPC 1/04, 1/05, 9/06, 1/07, 9/09, 9/11, 9/13, 9/15, 7/19
Adopted by RA 4/96, 5/04, 5/05, 11/06, 4/07, 11/09, 12/13, 11/19, 8/21
Revised by SEC 4/98, 4/00, 1/02, 1/04, 12/04, 9/06
Revised by EC 12/06, 2/07, 8/09, 9/13. 9/15, 2/19, 6/21
Note. This document replaces the 2019 document Enforcement Procedures for the AOTA Occupational Therapy Code of Ethics and Ethics Standards, previously published and copyrighted in 2019 by the American Occupational Therapy Association in the American Journal of Occupational Therapy, 73(Suppl. 2), 7312410003.
Copyright © 2021 by the American Occupational Therapy Association.
Appendix A. Association Policy A.13—Conflict of Interest
Appendix B. Procedure for the Appeal Panel to Hear an Appeal Involving a Member of the Board of Directors
When an appeal of a proposed disciplinary action involves a member of the Board of Directors, an alternate Appeal Panel will be selected from former Ethics Commission (EC) members according to the criteria and procedures outlined below.
Criteria for Appeal Panel membership: The Appeal Panel will be composed of four members: two Association members, one public member, and one alternate member. The Appeal Panel will be composed of former EC members whose terms ended a minimum of 2 years and no more than 10 years from the date of the formation of the Appeal Panel; and who did not serve during the time the specific case was deliberated. No former Board member may serve on the Appeal Panel. Members with previous disciplinary action against them may not serve on the Appeal Panel.
The procedure will be as follows: In the event of an appeal to the EC, the AOTA Ethics staff will develop a list of potential Appeal Panel members who meet the criteria for Appeal Panel membership. The Appeal Panel members will be randomly selected from the list by the AOTA Ethics staff. The AOTA Ethics staff shall secure a signed Consent to Serve form in compliance with Policy A.13—Conflict of Interest, from each Appeal Panel member. If a conflict of interest, or potential conflict of interest, exists for any selected Appeal Panel member, the alternate member shall serve.
