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Procedures for Handling Ethical Matters
The Board of Directors of the American Association for Marriage and
Family Therapy, pursuant to Article 2.02 of the Association's Bylaws (effective June 1,
1991) (hereafter, the Bylaws), promulgates the revised AAMFT Procedures for Handling
Ethical Matters (hereafter, the Procedures), effective May, 1997.
I. The
Role of AAMFT Divisions
1.00
Role of Divisions.
It is the policy of AAMFT that the primary role of divisions in regard to ethics is to
educate AAMFT members and the public about the AAMFT Code of Ethics (hereafter, the Code
of Ethics) and about the procedures for filing complaints.
1.01 General Public. In regard to the general
public, this role includes answering inquiries from the press about the Code of Ethics.
1.02 Complaints. Divisional officers may facilitate, educate,
and inform persons about how to follow the procedures for filing an ethical complaint.
When a person makes an initial complaint or discusses a potential complaint with a
division officer, staff person, or member, he or she should be referred to the AAMFT
Ethics Committee, 112 South Alfred Street, Alexandria, VA 22314. Phone
(703) 838-9808.
1.03 AAMFT Members. The divisional ethics role includes
disseminating copies of the Code of Ethics and the Procedures, providing workshops on the
Code of Ethics and the Procedures, and periodically disseminating information prepared by
the AAMFT Ethics Committee to AAMFT members in the division (for example, Third Party
Payor Policy, Confidentiality of Ethics Cases Policy, Appropriate Advertising in
Conformity with the Code of Ethics policies, and so forth).
2.00
Confidentiality.
All information concerning ethical complaints made against AAMFT members should be treated
in a strictly confidential manner by division officers, staff persons, and members.
Insuring that confidentiality is maintained is important in order to protect the rights of
the individual members who are the subject of complaints, and to protect AAMFT and its
divisions because of improper disclosure of information. Under the terms of these
Procedures, all information regarding complaints shall be treated in a strictly
confidential manner.
2.01 Publication or Dissemination of Information.
It is clearly inappropriate for members to disseminate any information regarding a
complaint (including the existence of a complaint) to any member of the public or to any
AAMFT member who is not directly involved in the processing of the particular complaint
under consideration. The Procedures allow the AAMFT Ethics Committee or the AAMFT Judicial
Committee, at their discretion, to publish to AAMFT members information regarding the
final disposition of an ethics complaint. The dissemination of information regarding the
outcome of complaints is made by the AAMFT Ethics Committee, and/or the AAMFT Judicial
Committee, and not by anyone else, including divisional ethics committees or divisional
officers or members.
2.02 Materials. All written materials and all copies of
materials regarding ethics complaints received in divisional offices should be sent
immediately to the AAMFT Ethics Committee in Washington, DC.
2.03 Correspondence. Correspondence concerning ethical
complaints received by divisions should be mailed as "confidential" to the AAMFT
Ethics Committee, and where appropriate, restricted to delivery to the intended recipient.
2.04 Discussion of Complaints. Any necessary discussion of cases
by division officers, staff, or members should take place where conversations cannot be
inadvertently overheard by other members of an office, or members of the public.
2.05 Divisional Staff. Secretaries and paid and volunteer
divisional staff who receive information about complaints should be instructed on the
confidential nature of the information. Consideration could be given to asking officers
and staff to sign pledges to uphold the confidentiality of any ethical case they may have
referred to the AAMFT Ethics Committee.
2.06 Division as a Complainant or Subject of a Complaint. A
division (represented by its board) may, on occasion, be a complainant or charged with a
violation in an ethical case. But in these situations, the board as an entity is treated
as a complainant or a charged group. Confidentiality should be strictly maintained in such
situations.
2.07 Questions about Disclosure. When division officers, staff,
and members have questions about whether information may properly be disclosed, these
should be referred to the AAMFT Ethics Committee.
3.00 Advisory
Ethical Opinions. It is the policy of AAMFT that its Ethics Committee
may on occasion choose to give advisory opinions about ethical issues raised by a member
of the Association (see Section II, #6.00). It remains the policy of AAMFT that divisions,
division officers, and division ethics chairs and committees do not give advisory
opinions.
II. The
AAMFT Ethics Committee
1.00
Basis and Scope of Authority of the Ethics Committee.
1.01 Responsibilities of the Ethics Committee.
The Bylaws of the Association (Article 6.04) authorize the AAMFT Ethics Committee to:
Review the AAMFT Code of Ethics and interpret it to the membership and to the public, and
consider allegations of ethical standards made against members. It shall be the specific
responsibility of the Committee to conduct investigations of alleged violations of the
AAMFT Code of Ethics, and to resolve such allegations by mutual agreement with the member,
or to make a recommendation of disciplinary action to be taken against the member and, if
the case is heard by the Judicial Committee, to prosecute the charges against the member.
1.02 Jurisdiction
1.021 Jurisdiction over Members. The Code of
Ethics is binding on Members of AAMFT in all membership categories, AAMFT Approved
Supervisors, and applicants for membership and the Approved Supervisor designation
(hereafter, AAMFT Member or member).
1.022 Jurisdiction over Resigned Members. The Association also
has jurisdiction over resigned members in relation to complaints of ethical violations
which occurred during the period of membership or prior to membership, provided the
complaint is received within one year of the date of resignation.
2.00 Membership
and Meetings of the Committee.
2.01 Membership. The Committee shall consist
of four Clinical Members of the Association and two persons not members of the Association
who shall act as public members of the Committee, all of whom shall be appointed by the
President and with the approval of the Board of Directors. The President shall receive
suggestions for membership from the Chair of the Committee.
2.011 Term of Members. Each member of the
Committee shall serve for a three-year appointment period, except that any person chosen
to fill a vacancy shall be appointed for the unexpired term for the member whom he or she
shall succeed.
2.012 Number of Terms. No Committee member who is a member of
AAMFT shall serve for more than two consecutive terms.
2.013 Appointment of the Chair. The President shall appoint the
Chair from one of the four Association members who are currently members of the Committee.
2.014 Resignation from the Committee. Any member who misses two
consecutive Committee meetings shall be deemed to have resigned from Committee membership
unless the member can demonstrate good cause to the satisfaction of the Committee.
2.02 Voting. All Committee members, including
public members, shall have full voting privileges.
2.03 Action by Majority. All actions by the Committee shall be
made by a majority of those Committee members present and voting. No Committee member
shall vote on any particular case in which he or she has a conflict of interest, whether
because of personal knowledge of the charged member, or for any other reason.
2.04 Schedule of Meetings. The Ethics Committee ordinarily meets
two (2) times each year at approximately six-month intervals. Special meetings, in person
or by conference call, may be called by the Chair if needed and funds are allocated.
3.00 Procedures
for Handling Ethical Complaints.
3.01 Role of the Committee. One role of the Ethics
Committee is to investigate complaints of violations of the Code of Ethics and, if
violations are found, to take action by mutual agreement with the member involved, or to
recommend disciplinary action.
3.02 Committee Constraints. In carrying out its
responsibilities, the Ethics Committee shall act in accordance with the articles of
incorporation and Bylaws, with the Code of Ethics, and with these Procedures. AAMFT
adjudication proceedings are not formal legal proceedings.
3.03 Subject's Use of Legal Counsel. The member under
investigation may consult with his or her legal counsel at any time, but the member
himself or herself is to be an active participant in these proceedings. The member must
respond to the charges himself or herself at all levels of the process.
3.04 Initiation and Withdrawal of Complaints.
3.041 Written Complaints by Members and Non-Members.
The Ethics Committee shall receive written complaints from both members of the Association
and non-members. The complainant must have personal knowledge of the alleged behavior
complained about or be in a position to supply relevant, reliable testimony or other
evidence on the subject. Complaints must be in writing. Complaints must be signed and
accompanied by the complainant's address.
3.042 Anonymous Complaints. Anonymous complaints shall not be
recognized as a basis for action.
3.043 Initiation of a Complaint by the Committee. The Ethics
Committee may proceed on its own initiative when it has been presented with sufficient
allegations which, if proven factual, would constitute a violation of the Code of Ethics.
For example, the Committee could proceed on information received from another professional
organization, a state regulatory agency, or from public sources. If the Committee decides
to proceed on its own initiative, it shall prepare a written statement concerning factual
allegations of a Code of Ethics violation or violations.
3.044 Withdrawal of Complaints. If the complainant wishes to
withdraw the complaint after the member has been charged, the Ethics Committee must obtain
the member's permission before terminating the inquiry. If permission is withheld, the
inquiry must be completed.
3.045 Time Factors.
3.0451 Time Limitations. The Ethics Committee
may determine, at its discretion, that a complaint cannot be investigated because the
events complained about occurred too far in the past.
3.0452 Complaints Regarding Resigned Members. A complaint will
be considered by the Ethics Committee within one year from the date of resignation of
membership or termination of membership for non-payment of dues. In such instances,
however, the Ethics Committee may decide to proceed with the case pursuant to Section II,
#3.043 of these Procedures.
3.0453 Actions Prior to Membership. An AAMFT member may be
charged with unethical behavior for actions related to his or her professional conduct
prior to the time the individual became an AAMFT member.
3.0454 Time Requirements for the Adjudication. AAMFT shall make
its best efforts to adhere strictly to the time requirements specified in these
Procedures. However, failure to do so will not prohibit final adjudication unless the
person under investigation can show that such failure was willful or unfairly prejudicial.
3.05 Initial Action by Executive Director.
3.051 Determination of AAMFT Membership. Upon
receipt of a complaint, the Executive Director or his or her designee (hereafter Executive
Director) shall determine whether the person about whom the complaint has been made is a
member or applicant for membership in the Association.
3.0511 Non-Member. If the person is not a
member, nor a recently-resigned or terminated member, nor an applicant for membership in
the Association nor for the Approved Supervisor designation, the Executive Director shall
so inform the complainant, shall explain that the Association has no authority to proceed
against the person, and may refer the complainant to another agency or association with
proper jurisdiction.
3.0512 Recently Resigned Member. If the person is a recently
resigned or terminated member, the complaint shall be referred immediately to the Chair of
the Ethics Committee who will determine whether the alleged violation occurred during the
period of the person's membership or prior to membership, provided the complaint is
received within one year from the date of resignation. If it is determined that the Ethics
Committee has jurisdiction, the investigation will proceed pursuant to Section II, #3.06
ff of these Procedures.
3.0513 Applicant for Membership or the Approved Supervisor Designation.
If the person is an applicant for membership in the Association or an applicant for the
Approved Supervisor designation, the complaint shall be referred immediately to the Chair
of the Ethics Committee. The Ethics Committee will conduct an investigation of the
complaint, pursuant to Section II, #3.06 ff of these Procedures.
3.05131 Outcome of the Investigation. Upon
completion of the investigation, the Ethics Committee will take two actions:
3.051311 Ethical Matter. If the investigation results in charges
of alleged ethical violations against the applicant, the Committee may find no violation
of the Code of Ethics and close the matter, or it may find a violation(s) of the Code of
Ethics with recommended actions to be taken against the applicant, including whether the
application shall proceed or be terminated, pursuant to Section II, #3.08 ff of these
Procedures.
3.051312 Report to Standards Committee. Upon completion of the
investigation, the Ethics Committee will make a factual report to the Standards Committee.
If no violation of the Code of Ethics is found, the decision whether to proceed with the
application is made by the Standards Committee.
3.052 AAMFT Member. If the person is a member
of the Association, the Executive Director shall forward a copy of the complaint to the
Chair of the Ethics Committee.
3.06 Preliminary Determination by Chair of Ethics Committee.
3.061 Determination if Grounds for a Complaint.
The Chair of the Ethics Committee or his or her designee (hereafter, Chair), with the
advice of the Executive Director and in consultation with staff, shall review the
complaint and shall determine whether it states allegations which, if proven factual,
would constitute (a) violation(s) of the Code of Ethics. In the event the Chair cannot
decide on such action or on any other action required of them under these rules, the
matter shall be referred to the full Ethics Committee for decision.
3.0611 Insufficient Grounds. If the complaint
does not state factual allegations which constitute (a) violation(s) of the Code of
Ethics, of if the complaint is merely technical in nature, and would be more appropriately
addressed by another administrative body, the Chair shall so notify the complainant in
writing.
3.0612 Sufficient Grounds. If the complaint states allegations
which, if proven factual, would constitute (a) violation(s) of the Code of Ethics, the
Chair shall so notify the complainant in writing and shall request the complainant's
permission to use his or her name, disclose his or her name, and provide a copy of the
complaint (or a summary) to the member in the Ethics Committee's investigation. The Chair
shall also request that the complainant agree in writing to waive any relevant
client/therapist privilege available to him or her so that the Ethics Committee may obtain
information from the member and others. All correspondence to the complainant shall be
marked "confidential" and sent by appropriate means.
3.062 Complainant Refusal of Permission. If
the complainant refuses permission for the use or disclosure of his or her name, the Chair
of the Ethics Committee may refer the matter to the full Committee or, shall decide
whether it may proceed with the complaint with an investigation on the Committee's own
initiative pursuant to #3.043 of these Ethics Committee Procedures.
3.07 Preliminary Investigation by Chair of the Ethics
Committee.
3.071 Notification of the Member. After the
Chair of the Ethics Committee receives permission for the use of the complainant's name,
or after a decision to proceed on the Committee's own initiative is made, the Chair of the
Ethics Committee shall notify the member of the complaint. The notice to the member:
(a) shall be mailed by appropriate means and marked "confidential";
(b) shall state the portions of the Code of Ethics relevant to the allegations of the
complaint;
(c) if the complainant has granted permission for the use of his or her name, shall
enclose a copy or a summary of the complaint, or if the Ethics Committee is proceeding on
its own initiative, shall state the Committee's basis for statement of the complaint;
(d) shall enclose a copy of the Code of Ethics and a copy of these Procedures;
(e) shall direct that the member respond to the allegations, in writing, within thirty
(30) days from receipt of the notification;
(f) shall inform the member that failure to respond in writing within thirty (30) days may
result in termination of his or her membership in the Association.
For the purposes of notification, the last address received from the member with the
payment of dues will be used, and mailing to that address will be deemed sufficient
notice, even if the notice is returned.
3.0711 No Response by the Member. If no
response is received from the member within thirty (30) days, the matter shall be
submitted to the full Ethics Committee. If a charged member does not respond to the
charges, or to each specific allegation, the Ethics Committee may take the lack of
response as an admission of the facts contained in the allegation.
3.0712 Response by the Member. If a response is received from
the member within thirty (30) days, or before the matter has been referred to the full
Ethics Committee, the Chair of the Ethics Committee shall either (a) close the case and
notify the complainant, the member and all members of the Ethics Committee; (b) seek
needed additional information; or (c) submit the case to the full Ethics Committee at its
next meeting.
3.0713 Resignation by the Member. If a charged member resigns
from membership in the Association at any stage of the Committee's investigation of the
complaint, the Committee will nonetheless complete its investigation, and may publicize a
proven violation in accordance with #3.086 of these Ethics Committee Procedures.
3.072 Preliminary Investigation by the Chair.
The Chair of the Ethics Committee, has the authority to gather sufficient information so
that the Committee may review the complaint. For example, the Chair may deem it necessary
to write the member or the complainant for further information, or contact state
regulatory bodies or other professional associations.
3.073 Submission to the Full Ethics Committee. If the Chair of
the Ethics Committee for the Association decides to submit the case to the full Ethics
Committee, he or she shall:
(a) forward to each member of the Ethics Committee a copy of the complaint, or his or her
statement of the complaint; a copy of his or her letter to the member; a copy of the
member's response, if one was received, or if no response was received, a statement to
that effect;
(b) present the case to the full Committee at its next meeting;
(c) notify the member and the complainant that the case has been submitted to the full
Ethics Committee.
If the Chair determines that there appears to be no factual basis to the allegations
during the course of the investigation, or that the allegations are more appropriately
heard by another body, she or he has the discretion to close the case, and to submit a
case summary to the Ethics Committee for consultation, either to confirm the decision or
to request a full Committee review of the materials.
3.08 Action by the Full Ethics Committee.
After investigation, the case is submitted to the full Ethics Committee for deliberation.
3.081 Factors Affecting Deliberation.
3.0811 Action during Litigation. Civil or
criminal litigation or actions by other regulatory bodies or organizations shall be no bar
to the consideration of complaints by AAMFT. It shall be within the discretion of the
Ethics Committee whether to proceed during the course of litigation or wait until its
completion.
3.0812 Findings of Other Professional Associations, Regulatory Bodies, and
Courts as the Basis for a Finding of Violation of Subprinciple 3.1.
According to Subprinciple 3.1 of the AAMFT Code of Ethics, it is incumbent for members to
maintain their good standing with other professional associations to which they belong and
with regulatory boards which have jurisdiction over their professional practice, as well
to avoid conduct which could lead to conviction of felonies, or misdemeanors related to
their qualifications or functions. When a member has been disciplined by another
professional association or regulatory board, or convicted of a felony, or a misdemeanor
related to his or her qualifications or functions by a court, it is the policy of the
AAMFT Ethics Committee that the Committee will presume that such findings are correct and
appropriate.
3.08121 Member's Demonstration of Evidence to Overcome
Presumption. In order to overcome this presumption, the member must prove to
the Committee's satisfaction one or both of the following:
3.081211 A Flawed Process. That the process was so flawed that
the finding of the association or board is not entitled to a presumption of correctness
(for example, demonstrated bias of one of the decision makers, failure of the body to
allow the member to be heard, etc.)
3.081212 Action Too Severe. That in the case of a disciplinary
action by an association or board, the action was far in excess of the member's conduct
(for example, having one's membership terminated for an inadvertent advertising error).
3.08122 Absent Evidence: the Committee's Recommended Action.
Absent any contention of a flawed process, the AAMFT Ethics Committee will not question or
go behind the finding of the association, board, or court, and will move on to its
decision about what disciplinary action it will recommend.
3.08123 Other Charges Based on Actions by Disciplinary Bodies.
On occasion, when a member is charged by the Ethics Committee with an alleged violation of
Subprinciple 3.1 on the basis of action by another association, board, or court, the
Committee also decides to charge the member with additional alleged violations of the
AAMFT Code of Ethics growing out of facts related to the charge of violation of
Subprinciple 3.1.
3.081231 Clear Evidence. If the evidence is clear concerning
these other alleged Code of Ethics violations, the Committee may make a finding of
violations.
3.081232 Disputed Evidence. However, if there is a dispute
concerning the facts of these other alleged Code of Ethics violations, the Committee at
its own discretion may decide to drop the other alleged Code of Ethics violations and rely
solely on the finding of the violation of Subprinciple 3.1 Since the Committee must
carefully allocate its limited resources to conduct investigations, it is appropriate for
the Committee to limit its investigations to cases where there is serious factual dispute
but no allegations of violation of Subprinciple 3.1.
3.082 Settlement by Mutual Agreement. After
review of the complaint and response of the member, the Ethics Committee may attempt to
settle the case by mutual agreement with the member.
3.0821 Possible Actions in Mutual Agreements.
In making such a settlement, the Committee may recommend to the member that he or she
agree to the Committee's request that the member cease and desist; accept censure; be
given supervision, education, and/or therapy; perform community service; agree to
suspension (holding membership in abeyance for a specific purpose, for example,
rehabilitation), resignation with or without publication, or termination of membership (a
permanent bar to readmission); suspension or termination of the Approved Supervisor
designation; publication of the terms of the settlement by mutual agreement under the
conditions specified in #3.086; or any other action which the Committee deems appropriate.
3.0822 Written Agreement. The mutual agreement shall be reduced
to writing and shall detail the facts upon which it is based and the manner in which it is
to be instituted and/or supervised.
3.0823 Supervision of the Agreement. The Agreement shall be
instituted and/or supervised by the Ethics Committee and/or any member of the Association
so designated in the agreement.
3.0824 Finalization of the Agreement. The agreement shall become
final as soon as it is reduced to writing and agreed to by the member and the Ethics
Committee or at any other time designated in the agreement.
3.0825 Failure to Meet the Terms of the Agreement.
If at any time the member fails to meet fully the terms of the agreement, the Ethics
Committee may take further action, including termination of membership.
3.083 Other Action. If the Ethics Committee
does not attempt settling by mutual agreement, or if an offer of a settlement by mutual
agreement is not accepted by the member, it will either drop the charges and close the
case, or make a formal recommendation to the Judicial Committee that action should be
taken. If the Committee recommends formal action it shall:
(a) recommend action to be taken, including an order to cease and desist; censure,
supervision, therapy, education, or rehabilitation; performing community service;
suspension (holding membership in abeyance for a specific purpose, for example,
rehabilitation) or termination of membership (a permanent bar to readmission); suspension
or termination of the Approved Supervisor designation; or any other action which the
Association is authorized to take against a member;
(b) recommend the manner in which the action will be instituted and/or supervised;
(c) notify the member of the recommendation;
(d) send the member a copy of the findings and recommendations of the Ethics Committee;
and
(e) inform the member by mail, marked "confidential" (using appropriate means),
that he or she has a right to a hearing before the Judicial Committee of the Association,
and that if he or she does not request a hearing before the Judicial Committee within
fifteen (15) days from the receipt of notification, no hearing will be held, and the
Ethics Committee's recommendation for action will become final.
The Ethics Committee may appropriately impose more stringent sanctions upon individuals
previously found to have violated the Code of Ethics, or any other relevant professional
or state regulatory code of professional conduct.
3.084 No Request for Hearing by the Member. If the member does
not request a hearing within fifteen (15) days, the Ethics Committee recommendation shall
become the final determination of the matter. The Ethics Committee Chair shall thereafter
forward a determination of the matter to the Executive Director for execution.
3.085 Reopening a Case. If additional evidence of unethical
conduct is brought to the attention of the Committee after a matter has been closed, the
case may be reopened and acted upon under these Procedures.
3.086 Publication of Sanctions.
3.0861 Termination of Membership. Whenever an
Ethics Committee recommendation for termination of membership becomes final, the Executive
Director shall publicize this fact to the Association membership, including the relevant
state or provincial division and committees and councils of the Association. Publication
will include a notice in Family Therapy News and will state the member's full name, any
earned degree, his or her geographical location, and the violation of the section of the
Code of Ethics proven. Notification of a member's termination shall be provided to other
relevant professional associations and state regulatory bodies.
3.0862 Publication of Other Sanctions. Publication of sanctions
other than termination, including notifications of relevant professional associations and
state regulatory bodies, may be directed by the Ethics Committee, within its sole
discretion, in whatever manner and to whatever extent the Committee deems appropriate.
3.0863 Resignation from Membership. In situations in which a
charged member resigned from AAMFT membership in the face of an Ethics Committee
investigation, and a violation of the Code of Ethics is subsequently proven, any
publication of the findings and actions of the Ethics Committee shall include the fact of
the member's resignation.
3.087 Allowed to Resign. If a member is
allowed to resign, or if his or her membership is suspended or terminated, he or she must
at once surrender his or her membership certificate to the Executive Director.
4.00 Request
for Hearing by the Member.
4.01 Transmittal to the Judicial Committee. If
the member requests a hearing before the Judicial Committee, then the Ethics Committee
shall prepare and transmit to the Judicial Committee the statement of the charges against
the member and the action which the Ethics Committee recommends.
4.02 Presentation of the Case to the Judicial Committee. In any
hearing of the Judicial Committee of the Association, the Ethics Committee, through its
chair or his or her designee, shall present the case against the member pursuant to the
rules established for the Judicial Committee.
5.00 Records
and Disclosure of Information
5.01 Permanent Files. The permanent files of
the Ethics Committee shall be maintained in the central office of the Association.
5.02 Confidentiality of Files. All information obtained by the
Ethics Committee and all proceedings of the Ethics Committee shall be confidential except
as follows:
5.021 Publication of Sanctions. Whenever the
Ethics Committee orders publication of sanctions pursuant to #3.086 of the Ethics
Committee Procedures, such publication shall be an exception to the rule of
confidentiality stated in #5.02 above.
5.022 Disclosure to the Complainant. The Ethics Committee shall
disclose to the complainant the disposition of a particular case.
5.023 State Regulatory Agencies and Professional Organizations.
The Ethics Committee may inform state regulatory agencies, other professional
organizations, or any other institution or organization which has disciplinary control
over the member, of any disciplinary action taken against a member for violating the Code
of Ethics.
5.0231 Inquiries from State Regulatory Agencies and
Professional Organizations. It is the policy of the AAMFT Ethics Committee
to cooperate with state regulatory agencies, other professional organizations, or any
other institution or organization which has disciplinary control over the member or former
member, when they inquire about any disciplinary action taken against a member or former
member for violating the Code of Ethics. If the member or former member has never been
found to have violated the Code of Ethics, the state regulatory agency or professional
association will be so informed. In cases where the member or former member has been found
to have violated the Code of Ethics, and when such an inquiry is received, the following
Procedures will be followed:
5.02311 Notification of the Member. The member
or former member will be notified in writing that such a request has been received and
that AAMFT intends to comply by a specific date.
5.02312 Content of Response to the Inquiry. The inquiry will be
answered with a report from the Ethics Committee Chair. The report will include the
following: (i) the principle(s)/subprinciple(s) of the Code of Ethics that were violated;
(ii) a brief statement regarding the nature of the offense; (iii) the disciplinary action
taken, if any; and (iv) the date of the event and/or finding. A copy of the report will be
sent to the member or former member.
5.024 Disclosures to the AAMFT Governance Units.
5.0241 Reports to the Standards Committee Regarding
Applicants for AAMFT Membership or the Approved Supervisor Designation. If
an applicant for AAMFT membership or the Approved Supervisor designation has been found in
violation of the Code of Ethics, the Ethics Committee will make a report to the Standards
Committee. The report of the Ethics Committee will state the principle(s)/subprinciple(s)
of the Code of Ethics violated, a brief statement regarding the nature of the offense, the
disciplinary action taken, if any, and the date of the event and/or finding.
5.0242 Reports to the Standards Committee Regarding Approved Supervisors.
When an Approved Supervisor has been found to be in violation of the Code of Ethics, and
after action, if any, by the Judicial Committee, the Ethics Committee will submit a brief
report on this violation to the Standards Committee. The report will state the section of
the Code of Ethics violated, a brief statement regarding the nature of the offense, the
disciplinary action taken, and the date of the Committee's finding.
5.0243 Reports to the Board Awards Subcommittee and the Elections Committee.
If a person is currently the subject of a complaint filed with the Ethics Committee or has
been found in violation of the Code of Ethics, the Ethics Committee will make a report to
the Board Awards Subcommittee when the member is a nominee for an honor, or to the
Elections Committee when the member is a nominee for office, provided that the person has
signed an appropriate waiver at the request of the Board Awards Subcommittee or the
Elections Committee. The report of the Ethics Committee will state the section of the Code
of Ethics violated or alleged to have been violated, a brief statement regarding the
nature of the offense, the disciplinary action taken, and the date of the event and/or the
finding.
5.025 Disclosures Required by Law. AAMFT may disclose such
information when compelled by a validly issued subpoena, or when otherwise required by
law.
5.03 Disposition of Files. Case files will be
maintained for a minimum of ten (10) years in a manner that insures confidentiality.
6.00
Advisory Opinions.
The Ethics Committee, at its discretion, may choose to give an advisory opinion about an
ethical issue raised by a member of the Association, but it is not required to do so. An
advisory opinion will be given only when actual and not hypothetical question(s) have been
asked. Such opinions will be rendered only in writing and in response to a written
request.
III.
The AAMFT Judicial Committee
1.00
Basis and Scope of Authority of the Judicial Committee.
The Bylaws (Article 6.01, effective June 1, 1991) provide for the
function of the Judicial Committee as follows:
The function of the Judicial Committee shall be to hear impeachment charges against a
member of the Board, an Officer of the Association, or members of Committees; hear charges
of violations of the AAMFT Code of Ethics which are submitted for review pursuant to the
Ethics Committee Procedures; review Standards Committee decisions which deny applications
for membership and for the Approved Supervisor designation; and hear other grievances
brought by or against the Association pursuant to the rules and regulations adopted by the
Board.
The Judicial Committee is also empowered by the AAMFT Board of Directors to hear
impeachment charges against members of the elected Committees of the Association.
2.00 Membership
of the Judicial Committee.
Article 6.02 of the Bylaws specifies the membership of the Judicial
Committee:
2.01 Membership and Term of Office. The Judicial Committee shall
consist of at least four (4) Clinical Members of the Association, all of whom shall be
appointed by the President with the approval of the Board. Each member of the Judicial
Committee shall serve for a three-year term. No member shall serve more than two (2)
consecutive terms.
2.02 Appointment of the Chair. The President shall appoint one
(1) member as Chairperson.
3.00 Procedures
for Handling Complaints.
3.01 Role of the Judicial Committee. One role
of the Committee is to hear charges of violations of the Code of Ethics which are
submitted for review pursuant to the Ethics Committee Procedures.
3.02 Judicial Committee Constraints. Article 6.01 of the Bylaws
states that the Judicial Committee shall operate pursuant to Judicial Committee Rules
which may be adopted by the Board from time to time. AAMFT adjudication proceedings are
not formal legal proceedings.
3.03 Receipt of Charges from the Ethics Committee. If the Ethics
Committee makes a formal recommendation that action be taken against a member and if,
thereafter, the member requests a hearing before the Judicial Committee, the Ethics
Committee shall transmit to the Chair of the Judicial Committee a statement of the charges
against the member and the action recommended.
3.04 Initial Action by the Chair of the Judicial Committee. Upon
receipt of the statement of charges and recommended action from the Ethics Committee, the
Chair of the Judicial Committee or his or her designee (hereafter, Chair) shall:
3.041 Inform the Member. The Chair will inform
the charged member by mail, marked "confidential" (using appropriate means) that
his or her request for a hearing has been received and enclose a copy of the charges and
recommended action; and
3.042 Appoint a Hearing Panel. The Chair will appoint at least
three members of the Judicial Committee to serve as a Hearing Panel, and will designate
one member of the Hearing Panel as Chair. A member of the Judicial Committee shall not
serve on a Hearing Panel in any case if, in the opinion of the Chair, he or she has a
clear conflict of interest or personal bias.
3.05 Hearing Date and Location
3.051 Location. Hearings will normally be held
in Washington, D.C. The Chair of the Judicial Committee can schedule meetings outside of
Washington, D.C. only when the total meeting costs (members and staff travel, hotel,
meals, etc.), would not exceed the total costs if the hearing were held in Washington. To
plan a non-Washington hearing, the Chair of the Judicial Committee must develop the
comparable cost data and submit it to the Treasurer prior to scheduling or announcing such
a meeting. If an out of town hearing would exceed the cost of a Washington-based hearing,
the Committee may make a special request to the Treasurer for an exception to this policy.
This request must include the comparable cost data and reasons why an exception should be
considered.
3.052 Hearing Schedule. The Hearing shall be scheduled within
ninety (90) days after the case was submitted to the Judicial Committee, on a date chosen
by the Chair of the Hearing Panel. An extension of this ninety (90) day deadline may be
granted by the Chair of the Hearing Panel, at his or her sole discretion, when a request
for such an extension has been made by the Chair of the Ethics Committee or by the member.
3.053 Notification of the Participants. The Chair of the Hearing
Panel shall notify the Chair of the Ethics Committee, legal counsel for the Association,
and the member of the date and location of the hearing by mail, marked
"confidential" (using appropriate means).
3.06 Pre-Hearing Disclosure by the Member. At
least thirty (30) days before the hearing, the member must submit to the Chair of the
Hearing Panel and the Chair of the Ethics Committee the following documentation:
3.061 A Statement of the Grounds for the Request for the
Hearing. The member must submit in writing which of the following grounds
are the basis for his or her request of a review, and his arguments for these contentions,
that is:
3.0611 Findings. The request is based on the
contention that the findings of the Committee were not consonant with the facts, or that
the member disputes the facts, and if so, which facts, and the member's argument for this
contention.
3.0612 Procedures. The request is based on the contention that
the Ethics Committee did not follow the Procedures for handling complaints, and the
member's argument for these contentions.
3.0613 Actions. The request is based on the contention that the
recommended actions of the Ethics Committee are inappropriate or too harsh, and the
member's argument for this contention.
3.0614 Other Grounds. The request is based on other contentions,
and the member's argument for these contentions.
3.062 List of the Witnesses and Summary of the Testimony.
The member must submit in writing a list of any witnesses he or she intends to present,
and a summary of the testimony they would present, so substantial portions of such
testimony can be stipulated and not repeated during the actual hearing.
3.063 Statements by the Member and/or the Member's Attorney, and Additional
Materials. The member and/or his or her attorney may submit any addition
written statements they may wish to make, as well as any additional materials they believe
are relevant to the case.
3.07 Pre-Hearing Disclosure by the Ethics Committee.
At least thirty (30) days before the hearing, the Ethics Committee shall furnish the
charged member and Hearing Panel with copies of all relevant documents and the names of
witnesses who will appear in support of the charges, if any. The Chair of the Ethics
Committee will also submit a summary of the testimony the witnesses would present, so
substantial portions of such testimony can be stipulated and not repeated during the
actual hearing.
3.08 Conduct of the Hearing.
3.081 Chair of the Hearing. The Chair of the
Hearing Panel shall preside over the hearing and assure that these Procedures are
followed. The Chair will have access to legal counsel for advice on procedural matters.
3.082 Role of the Ethics Committee. The Ethics Committee shall
present the charges against the member and shall have the right to:
3.0821 be assisted by staff and have access to legal counsel for advice
on procedural matters;
3.0822 present witnesses and evidence to support the charge;
3.0823 cross-examine witnesses who appear for the charged member;
3.0824 offer rebuttal evidence;
3.0825 make brief opening and closing statements.
3.083 Rights of the Member. The costs incurred
by the charged member, the member's attorney (if accompanied by legal counsel), and any
witnesses the member requests to present are not borne by the Association. The charged
member shall have the right to:
3.0831 be assisted by counsel;
3.0832 present witnesses or evidence;
3.0833 cross-examine witnesses against him or her;
3.0834 appear on his or her own behalf;
3.0835 make brief opening and closing statements.
3.084 Evidence. All evidence which is relevant
and reliable, as determined by the Chair of the Hearing Panel, shall be admissible. The
formal rules of evidence shall not apply.
3.085 Recording of the Hearing. A tape recording of the hearing
shall be made. Transcripts, if requested, may be made at the charged member's expense.
3.086 Burden of Proof. The Ethics Committee shall have the
burden of proving the charges by a preponderance of the evidence.
3.09 Decision of the Hearing Panel.
3.091 Deadline. The Hearing Panel shall issue
its decision within thirty (30) days after the hearing.
3.092 No Violation Found. If no violation of the Code of Ethics
is found, the Hearing Panel shall order that the member be cleared of all charges which
were reviewed at the hearing.
3.093 Violation Found. If a violation(s) is found, the decision
shall state:
3.0931 The Findings of Fact.
3.0932 The Code Violation(s). The Hearing Panel must affirm or
reject the Ethics Committee's finding with regard to each violation.
3.0933 The Action Ordered.
3.094 Ordered Action. If a violation or
violations of the Code of Ethics are found, the Hearing Panel shall order action to be
taken. The Hearing Panel may order that the Ethics Committee's recommended actions be
implemented, or the Panel may impose its own actions, whether more lenient or severe. In
imposing its own actions, the Hearing Panel may go beyond what the Ethics Committee
recommends. For example, when the Ethics Committee recommends supervision, the Hearing
Panel could order termination. Actions which may be ordered include an order to cease and
desist; censure; supervision, education, and/or therapy; perform community service;
suspension (holding membership in abeyance for a specific purpose, for example,
rehabilitation), resignation with or without publication, or termination of membership (a
permanent bar to readmission); suspension or termination of the Approved Supervisor
designation; or any other action which the Hearing Panel deems appropriate. The decision
shall also recommend the manner in which the action is to be instituted and/or supervised.
If a member is allowed to resign, or his or her membership is suspended or terminated, he
or she must at once surrender his or her membership certificate to the Executive Director.
3.095 Transmittal by the Judicial Committee Chair. The decision
shall be transmitted by the Chair of the Judicial Committee.
3.096 Informing the Participants. The Chair of the Judicial
Committee shall inform, in writing, the following persons of the decision: the member and
the Chair of the Ethics Committee. Notice of the decision to the member shall be sent by
mail, marked "confidential" (using appropriate means).
3.10 Appeal.
3.101 Member's Deadline. The member shall have
fifteen (15) days from receipt of the Hearing Panel's decision to appeal to the Board of
Directors.
3.102 Grounds. The only ground for appeal is that there were
violations of these procedural rules of the Judicial Committee which substantially
impaired the member's ability to defend against the charges.
3.103 Judicial Committee Transmittal to the Board. If an appeal
is made to the Board of Directors, the Judicial Committee shall transmit to the Board of
Directors the statement of the charges, the recording, and the Hearing Panel's decision.
3.104 Member's Written Statement. In order to effectuate an
appeal, the member shall state, in writing, to the Board of Directors the specific
violations of these procedural rules by the Judicial Committee and how they impaired the
member's ability to defend against the charges.
3.11 Enforcement of Recommendation.
3.111 Finalization of Decision. If no appeal
is made within fifteen (15) days after the member has been notified of the decision of the
Hearing Panel, the decision of the Hearing Panel shall become final.
3.112 Transmittal of Decision. As soon as the decision becomes
final, the Chair of the Judicial Committee shall transmit the decision to the Executive
Director, the Chair of the Ethics Committee, legal counsel of the Association, and to the
person or persons who are responsible for instituting and/or supervising the decision.
3.113 Publication of Sanctions.
3.1131 Publication of Termination. Whenever
the Judicial Committee upholds an Ethics Committee recommendation for termination of
membership, and whenever a Judicial Committee order for termination of membership becomes
final, then the provisions concerning publication found in Section II, #3.0861 of these
Procedures apply.
3.1132 Publication of Other Sanctions. Publication of sanctions
other than termination, including notifications of relevant professional associations and
state regulatory bodies, may be directed by the Judicial Committee, within its sole
discretion, in whatever manner and to whatever extent the Judicial Committee deems
appropriate.
3.1133 Resignation from Membership. In situations in which a
charged member resigned from AAMFT membership in the face of an Ethics Committee
investigation, and a violation of the Code of Ethics is subsequently proven, any
publication of a finding of the Judicial Committee shall include the fact of the member's
resignation.
4.00 Records
and Disclosure of Information.
4.01 Records. All records of the Judicial
Committee proceedings, including the decisions, recordings of hearings, and supporting
documents, shall be maintained in the central office of the Association.
4.02 Confidentiality of Files. All records of the Judicial
Committee proceedings shall be confidential except as follows:
4.021 Publication of Sanctions. Whenever the
Judicial Committee orders publication of sanctions pursuant to #3.113 of the Judicial
Committee Procedures, such publication shall be an exception to the rule of
confidentiality stated in #4.02, above.
4.022 Disclosure to the Complainant. The Chair of the Ethics
Committee shall disclose to the complainant the disposition of a particular case.
4.023 State Regulatory Agencies and Professional Organizations.
The Judicial Committee may inform state regulatory agencies, other professional
organizations, or any other institution or organization which has disciplinary control
over the member, of any disciplinary action taken against a member for violating the Code
of Ethics.
4.024 Disclosures Required by Law. AAMFT may disclose such
information when compelled by a validly issued subpoena, or when otherwise required by
law.
4.025 Disclosure to AAMFT Governance Units. The Judicial
Committee may inform AAMFT governance units of any disciplinary action taken against a
member for violating the AAMFT Code of Ethics, pursuant to these Procedures, Section II,
#5.025, ff.
4.03 Disposition of Files. Case files will be
maintained for a minimum of ten (10) years in a manner that insures confidentiality.
IV.
The AAMFT Board of Directors
1.00 Appeals
to the Board of Directors.
1.01 Grounds. The only basis for appeal to the
AAMFT Board of Directors by a member regarding the decision of the Judicial Committee is
that there was a violation of the procedural rules of the Judicial Committee, and that
this violation substantially impaired the member's ability to defend against the charges.
1.02 Written Statement of the Member. In order to effectuate an
appeal, the member shall state, in writing, to the Board of Directors the specific
violation of the Judicial Committee's procedural rules and how this violation
substantially impaired the member's ability to defend against the charges. The President
of AAMFT shall review the statement to ensure that the appeal is based on the contention
that the Judicial Committee violated its procedural rules. If not, the President may deny
the appeal. This letter must be sent to the AAMFT President at AAMFT headquarters within
fifteen (15) days from the member's receipt of the Hearing Panel's decision.
1.03 Statement of the Judicial Committee. The Judicial Committee
shall prepare a statement in response to the member's statement, to include a review of
the relevant procedural rules and any substantive materials relating to the procedural
review of the Judicial Committee's actions. The President, in consultation with Board
Officers, will ensure that sufficient materials are submitted to the Board.
1.04 Scheduling the Appeal. The Board of Directors shall
consider the appeal solely on the basis of the member's written statement and the response
of the Judicial Committee or the Association's legal counsel (which may or may not be in
writing), and there shall be no right to a personal appearance before the Board by the
member or his or her personal representative. The Board of Directors shall consider the
appeal at its next meeting after receiving the notice of the appeal. However, the
President, at his or her sole discretion, may schedule the appeal to be heard at the
subsequent Board meeting.
1.05 Vote on the Appeal. A majority vote by the Board of
Directors shall determine the appeal.
1.06 Board Decision. The Board of Directors shall issue a
written decision on the appeal and shall inform the member and the Judicial Committee of
the decision in writing within thirty (30) days of the meeting. The Board must either
affirm the Judicial Committee's decision or order a new hearing before a hearing panel of
the Judicial Committee. The only basis for ordering a new hearing is the Board's decision
that the member demonstrated there was a violation of the Judicial Committee's procedures
which did substantially impair the member's ability to defend against the charges.
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