FAQ’s about Ethics
- What is the difference between an ethics complaint and a whistleblower complaint?
Answer: The Ethics Code is about individual accountability and the Whistleblower Code is about bringing attention to organizational wrongdoing so that it can be corrected. Ethics complaints are complaints about the conduct of a volunteer member or employee that generally involves private gain, self-dealing, biased decisions, or the misuse of resources. Ethics complaints may be brought by employees, members, clients or citizens. Whistleblower complaints involve alleged improper organizational actions which violate a federal, state, county, or city law or rule; abuse of authority; create a substantial danger to public health or safety; or result in a gross waste of organizational funds. The process for registering an ethics complaint or a whistleblower complaint is the same. - How are individuals notified that a complaint of an alleged code violation has been filed against them?
Answer: Once a complaint is submitted in accordance with the complaint filing procedures and is determined to be within the jurisdiction of the Ethics Committee, the Chair of the Ethics Committee sends a notification letter, on behalf of the Ethics Committee, to the individual named in the complaint (the Respondent) along with a copy of the complaint and all attachments submitted by the initiator of the complaint (the Complainant) and a copy of the Code of Ethics and Statement of Practices and Procedures of the Board of Ethics. - If I am contacted and told that an ethics complaint has been made against me, what will happen next?
Answer: EXCELSIOR does not assume, based on a complaint, that an employee or member violated the Ethics Code. When the Ethics Committee receives a complaint or information that someone may have violated the Code, the first step is to determine what happened. You will receive in advance all of the evidence that the Ethics Committee plans to use to prove the case against you. Each party has the right to representation and has an opportunity to present their case and to cross-examine witnesses. The hearing is recorded. - What are my rights during the investigation?
Answer: All employees, volunteers and members are entitled to have an attorney with them during the investigation process. Further, all information obtained by the Ethics Committee and all case proceedings are confidential with limited exceptions. At this time, termination of membership is the only sanction that is made public. Sanctions that involve mutual settlements, warnings or reprimands remain confidential and the only notification is made to the complainant. The procedures permit EXCELSIOR to provide a limited report on the case to a regulatory board or another professional association upon their request. At that time, the member is provided a copy of the report. - What do I do if I am notified that an ethics complaint has been filed against me?
Answer: You, as the Respondent in the matter, will have 45 days to submit a response to the complaint. It is very important that you submit a response to ensure that the Ethics Committee has all of the relevant information it needs in order to adjudicate the matter fairly. Even if you acknowledge that you violated the code, submitting a response indicating your awareness of the matter and, if appropriate, an explanation of any possible mitigating factors will help the board determine the appropriate sanction if it determines that there was a code violation. Failure to respond to a complaint may be construed as a violation of Principle xxx, Rule xx, of the Code of Ethics, which states, “Individuals shall comply fully with the policies of the Board of Ethics in its consideration and adjudication of complaints of violations of the Code of Ethics.” - What should my response include?
Answer: Your response should address each allegation (stated or implied) made by the Complainant. If you do not believe that you violated the code, you should provide any documentation that you believe would refute the Complainant’s claims. If you acknowledge that you did violate the code, you should let the board know of any circumstances that led to the violation and/or what steps you have taken to ensure that it will not happen again. The Ethics Committee relies on the information provided by the Complainant and Respondent in each case. Therefore, it is imperative that you provide the board with all the facts and evidence you have to support your response and wish the board to consider in its deliberations. Facts and evidence to be provided in your response may include, but are not limited to, the following:- Your response to each allegation made by the Complainant,
- Descriptions and copies of any communications with the Complainant and others regarding this incident,
- Signed and dated witness statements,
- Copies of all other materials and evidence that refute the Complainant’s claims and/or corroborate and support your response,
- Descriptions and dates of actions taken, if any, to try to mitigate or rectify the situation.
Note: If any documents containing confidential information, such as client/patient/employment records, are submitted to substantiate your response, be sure to redact all identifying information (names, social security numbers, etc.). If you need to refer to a specific record you may assign letter or number codes in place of the redacted identifying information (for example, Client A, Patient B).
- In order to facilitate our copying of documents to be provided to the members of the Board of Ethics,
- Do not use staples.
- Do not use color fonts or highlighting/shading. If you wish to emphasize specific content, we suggest you underline, circle, or box the facts or evidence you wish to draw to the board’s attention.
- Do not hole-punch the materials.
- Do not submit two-sided documents. If you have documentation that is printed on both sides, re-copy it as single-sided pages
- What happens after I submit my response?
Answer:The complaint and your response will be provided to all members of the Ethics Committee for consideration at the next scheduled Ethics Committee meeting. The board will consider all evidence submitted by the Complainant and the Respondent and reach an Initial Determination, which will be sent to you shortly after the meeting. The determination may be that there was insufficient evidence that a violation of the code occurred or that there was a violation. - Doesn’t the accused have a right to face the accuser? How can you keep secret the name of the person who complains about me?
Answer: Charges will only be filed against a Covered Individual if the Ethics Committee believes that an Ethics Code violation has occurred. The Ethics Committee chairman, then, is the person who is accusing the Covered Individual of the violation. The complaint brings awareness to the problem, and gives the Ethics Committee the opportunity to hold the individual accountable. - How does the fact that a complaint has been filed against me affect my status during the adjudication process?
Answer: There is no change in your membership or status during the time the matter is being adjudicated. A sanction affecting your status will not go into effect until the Ethics Committee issues its Final Decision in the matter, nor does the Ethics Committee provide any information about the complaint to any individuals, organizations, or agencies until after the board’s Final Decision is issued, if then. (See below for details on disclosure of information after a Final Decision is issued.) - How long does the adjudication process take?
Answer: The provision of due process, the time permitted for responses, and the right to appeal adverse decisions interact with the Ethics Committee’s meeting schedule in such a fashion that the average case takes approximately two to four months to reach conclusion (if an appeal to the Chapter’s Board of Directors is not involved). The Board of Directors issues its Final Decision after all appeals are either exhausted or waived. - What happens if the Ethics Committee finds insufficient evidence that a code violation occurred?
Answer: If, after investigation, the Ethics Committee believes that there are no reasonable grounds to believe that a violation has occurred, or that the violation was inadvertent and minor, the Chair of the Ethics Committee will dismiss the case and will notify you and the person who filed the complaint by letter. The complainant may appeal the dismissal. - What happens if the Ethics Committee’s Initial Determination is that a code violation occurred and I think the board erred or that the sanction is not appropriate for the violation?
Answer: If there is reason to believe you have violated the Code and the issue is minor, the Ethics Committee may suggest a settlement of the case. If so, you will be asked to: sign the proposed agreement, attend the Ethics Committee meeting at which the proposed agreement is presented, and respond to Ethics Committee members’ questions at the meeting. If the Ethics Committee signs the agreement, the case will be closed. The Chair of the Ethics Committee will then send a letter to the complainant and you explaining the disposition of the case. (Your copy will not include the complainant’s name or address.)If there is reason to believe you have violated the Code and the issue is major, the next step is to render an appropriate sanction based on the severity of the infraction. For the most serious violations, the Ethics Committee may recommend termination of membership with a permanent bar to re-admission. As a sanction for lesser violations, the Ethics Committee may seek rehabilitation of the member by offering a “mutual settlement” in which the member agrees to mandated education, supervision, counseling, suspension or other actions. If the complaint has been filed against an applicant for membership, the Committee makes a report to the Membership Committee recommending that the application proceed or be denied. The Ethics Committee also issues warnings or reprimands as deemed appropriate. Members found in violation of the Code have the right to an appeal hearing before the Board of Directors. If an appeal hearing is not requested, the Ethics Committee’s findings and sanctions become final.If the member files an appeal with the Board of Directors, that committee’s chair appoints a Hearing Panel to conduct a hearing. At the hearing, the Ethics Committee chair presents the charges against the member or employee and has the burden of proving these charges by a preponderance of the evidence. During the hearing, the Ethics Committee chair and the member or employee may be assisted by counsel, present witnesses, cross-examine witnesses and make brief opening and closing statements. An audiotape is made of the hearing. The Hearing Panel renders a decision within 30 days, indicating whether or not a violation was found, and if a violation is found, ordering action to be taken. - Who will be notified of the Decision?
Answer: If the Decision is a finding that there was insufficient evidence to support a finding that a violation occurred, the decision is provided to you, your legal counsel (if applicable) and the Complainant only. - If I see an EXCELSIOR employee or volunteer involved in behavior I believe to be unethical, what should I do? How do I know when to notify my supervisor or the Ethics Committee?
Answer: If you believe that an employee or member is violating the Code and you are not a supervisor, you may contact your supervisor, or the Ethics Committee whichever you believe is most appropriate. If you think your supervisor is a part of the misconduct or would not know how to correct it, you may contact the Ethics Committee. You can do this anonymously or you may identify yourself. If you are a supervisor, you should act on any employee conduct that you believe violates the Ethics Code. If you do not take action, you may be violating the Code yourself. You can deal with the violation on your own. However, the Ethics Committee is always willing to help members, employees and supervisors determine if their assessments are correct. - I’m afraid of retaliation. Can I file a complaint anonymously?
Answer: Yes. You may file a complaint anonymously, and the Ethics Committee will conduct an investigation. However, it would help the fact gathering if the investigator can interview you for the details of what leads you to believe that a violation has occurred. Your identity will not be disclosed at any point during the investigation or during the hearing if a violation is found, unless required by court order. Neither the Ethics Committee nor the person who is charged with a violation receives the identity of the person who complained.