Disciplinary Procedures

1. Grounds for Discipline. Violation of the principles of the Code of Ethics shall be deemed as grounds for discipline. These include:

A. Fraud in Procuring Certification or Fraud in Maintenance of Certification. Fraud in procuring certification or fraud in maintenance of certification includes but is not limited to:

Intentional perversion of truth in the application;
False representations of material fact, whether by word or by conduct;
Concealment of that which should have been disclosed when making application;
Attempting to file or filing any false or forged diploma, certificate, affidavit, transcript, identification or qualification;
Submitting material which is not the original work of the applicant or with the original source of the information having not been given credit; or
Knowingly assisting another to procure certification or to maintain certification in a fraudulent manner.

B. Illegal Acts, Illegal acts include but are not limited to:

Violation of federal or state discrimination statutes;
Violation of federal or state confidentiality statutes;
Conviction of a felony which would effect the individual's ability to function effectively; or
Being an accessory to, participating in or condoning dishonesty, fraud, misrepresentation or any other illegal act involving an offender or recipient.

C. Professional Incompentency -- includes but is not limited to:

A substantial lack of knowledge or ability to discharge professional obligations within the scope of responsibilities of the treatment professional.
A substantial deviation from the standards of skill ordinarily possessed and applied by professional peers in the state of Iowa acting in the same or similar circumstances.
Refusal to seek treatment for chemical dependency or mental health problems that impair professional performance.

D. Exploitation of Offender/Recipient Relationships. Exploitation of offender/recipient relationships includes but is not limited to:

Entering into a professional relationship with members of one's own family, intimate friends, close associates or others whose welfare might be jeopardized by such dual relationships.
Participating in or soliciting sexual relationships with an offender or recipient;
Entering into personal financial arrangements with an offender or recipient except in cases of professional remuneration.
Using a relationship with an offender or recipient to promote personal gain or the profit of an agency or commercial enterprise of any kind.

E. Misrepresentation. Misrepresentation includes but is not limited to:

Knowingly making misleading, deceptive, untrue or fraudulent representation in the practice of the profession;
Claiming directly or by implication professional qualifications or affiliations that the treatment professional does not possess; or
Failing to recognize the boundaries and limitations of the professional competencies demonstrated by offering services or using techniques outside of the areas of the competencies.

F. Disrespectful Interprofessional Relationships. Disrespectful interprofessional relationships include but are not limited to:

Offering professional services to an offender in counseling with another counselor, or a recipient of another treatment professional, except with the knowledge of the other professional or after the termination of the offender or recipient's relationship with the other professional.
Sending or receiving any commission or rebate or any other form of remuneration for referral of offenders or recipients for professional services;
Engaging in fee-splitting;
Accepting a private fee or any other gift or gratuity for professional work with a person who is entitled to the services through that professional's employer; or
Failure to cooperate with the investigations and proceedings of any professional ethics committee.

G.   Unethical Conduct. Engaging in unethical conduct includes, in addition to the violations enumerated herein, any other substantial violation of the IBTSA or ATSA Code of Ethics respectively, which is harmful or detrimental to the professional or to the public.

2.   Method of Discipline. The Board may impose the following disciplinary sanctions:

A.   Revocation;

B.   Suspension of certification until further order of the Board or for a specified period of time.
C.   Suspension of application privileges until further order of the Board or for a specified period of time.

D.   Reprimand; or
E.   Other sanctions which may be deemed appropriate by the Board.

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

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

B.   The facts of the particular violation;

C.   Any extenuating circumstances or other counter vailing considerations;

D.   The number of complaints;

E.   The seriousness of prior violations or complaints;

F.   Whether remedial action has previously been taken; or

G.   Other factors which may reflect upon the competency, ethical standards and professional conduct of the individual.

4.   Complaint Procedure. Any individual may file against a treatment professional by submitting a written complaint which includes:

A.   The full name and address of the complainant;

B.   The full name, address and telephone number (if known) of the respondent; and

C.   A concise statement of the facts which clearly and accurately describes the allegations against the respondent. Whenever possible, the complainant shall identify the specific Grounds for Discipline violated.

1. The complaint shall be sent by first class mail to:
Chair
Iowa Board for the Treatment of Sexual Abusers
510 East 12th Street
Des Moines, IA 50319
2. The Board Chair shall acknowledge receipt of the complaint in writing, forward complaint procedures to complainant and shall refer it to the Committee on Ethics and Appeals.
3. Any member of the Board, the Committee on Ethics and Appeals or the Committee on Certification may make recommendations for internal investigation of a violation of the Grounds for Discipline Code of Ethics.

INVESTIGATION

5.   Investigation of Allegations. The Committee on Ethics and Appeals shall, upon receipt of an official complaint, or may upon its own motion, pursuant to other evidence received by the Board or the Committee, review and investigate alleged acts or omissions which the Committee believes constitute cause for discipline under this chapter.

A.   The chairperson of the Committee on Ethics and Appeals, or a committee staff member designated by the chairperson, shall investigate the allegations of the complaint.

B.   Both the respondent and the complainant shall be furnished with information concerning the investigation of the complainant and shall be given the opportunity to informally present a position concerning the allegations of the complaint. This position may be submitted either in writing or through personal conference with the committee investigator.

C.   The committee investigator shall make a written report to the Committee on Ethics and Appeals as to whether there is probable cause for a disciplinary hearing.

D.   The Committee on Ethics and Appeals shall review the report of the investigator and make a determination to either:

Recommend to the Chair of the Board that a disciplinary hearing be held;
Dismiss the complaint; or
Remand the matter to the investigator in order to obtain additional evidence sufficient upon which to base a decision.

E.   If a determination is made by the Committee on Ethics and Appeals to dismiss the complaint, the complainant shall be notified in writing of the determination, including a statement specifying the reasons for dismissal. A letter of explanation shall also be sent to the respondent.

DISCIPLINARY HEARING

6.   Order for Hearing. Upon recommendation of the Committee on Ethics and Appeals, the Chair shall issue an order fixing a time and place for a disciplinary hearing and shall appoint a hearing panel for the proceeding.

A.   The hearing panel shall be comprised of five members of the Board, excluding the Chair and any other member having a conflict of interest in the matter. At least four of the five members of the hearing panel shall be certified.

B.   A written notice shall be sent by certified mail to both the respondent and the complainant at least ten days prior to the hearing.

C.   The notice of the hearing shall state:

The date, time and location of the hearing;
That the respondent may, at his/her expense, be represented by legal council at the hearing; and
The rules by which the hearing shall be governed.

7.   Conduct of Hearing. The hearing shall be conducted in compliance with the following rules:

A.   The hearing shall be conducted by the Chair, or by an impartial administrative law judge, attorney or other person designated by the Chair.

B.   The Chair of the Committee on Ethics and Appeals, or a representative designated by the Committee on Ethics and Appeals, shall present evidence in support of the complaint before the hearing panel. The complainant shall not be a party to the hearing, although the complainant may be called upon to present evidence.

C.   The hearing panel shall not be bound by common law or statutory rules of evidence, and may consider all evidence having probative value.

D.   No discovery shall be permitted, and no access to Board files shall be allowed by either the respondent or the complainant.

E.   There shall be no contact prior to the hearing between the complainant or the respondent and any member of the hearing panel or member of the Board for the purpose of discussing the complaint.

F.   The members of the hearing panel shall have the right to ask questions to obtain the information necessary to make an accurate determination of the facts of the case.

F.   The decision of the hearing panel shall be based solely upon the testimony and evidence presented at the hearing.

G.   The hearing shall be closed to the public, unless otherwise specified in the original notice.

8.   Failure by Respondent to Appear. If a respondent, upon whom proper notice of hearing has been served, fails to appear either in person or represented by counsel at the hearing, the respondent shall be bound by the results of the hearing to the same extent as if the respondent had been present.

9.   Recommendation of the Hearing Panel. The hearing panel shall make a recommendation in writing to the Board which shall include:

A concise statement of the findings of fact;
A conclusion as to whether the Grounds for Discipline have been violated;
If the hearing panel concludes that a violation has occurred, a recommendation for disciplinary sanction to be imposed.

10.   Final Decision. At its next regularly scheduled meeting, the Board shall consider the recommendation of the hearing panel and shall issue a final decision in the matter. The decision shall be sent by certified mail to both the respondent and the complainant. Each member of the Board shall also receive a copy of the decision. The decision of the Board shall be final.

11.   Confidentiality. At no time prior to the release of the final decision by the Board shall any portion or the whole thereof of any action be made public or be distributed to any persons other than the members of the Board, its Committee on Ethics and Appeals and its staff.

12.   Publication of Decisions. The final decision of the Board in any disciplinary proceeding shall be published in whatever manner deemed appropriate by the Board. The employer, if any, shall be notified by certified mail of the final decision of the Board.

INTERNAL INVESTIGATION

13.   Internal Investigation. Upon the recommendation of any member of the Board or member of the Committee on Certification, an internal investigation may be initiated by the Chair of the Committee on Ethics and Appeals. The request for investigation shall be in writing and shall state the specific Grounds for Discipline which have been violated:

A.   The Chairperson of the Committee on Ethics and Appeals, or a committee or staff member designated by the chairperson, shall investigate the allegations by contacting the party or parties involved and obtaining information in any other appropriate manner which will provide documentation upon which a decision for order of hearing may be based.

B.   The respondent shall be given the opportunity to informally present a position concerning the allegations of the complaint. This position may be submitted either in writing or through personal conference with the committee investigator.

C.   If the recommendation for internal investigation was filed by a member of the Board or a committee member, the identity of that individual shall not be revealed to the respondent nor to any other party insofar as the member's anonymity can be reasonably be protected.

D.   The committee investigator shall make a written report to the Committee on Ethics and Appeals as to whether there is probable cause for a disciplinary hearing.

E.   The Committee on Ethics and Appeals shall review the report of the investigator and make a determination to either:
1.   Recommend to the Chair of the Board that a disciplinary hearing be held;
2.   Provide a written response to the individual who requested the internal investigation explaining that no probable cause was found to recommend a disciplinary hearing; or
3.   Remand the matter to the committee investigator in order to obtain additional evidence sufficient upon which to base a decision.

REINSTATEMENT

14.   Reinstatement. An individual who has received a sanction for suspension of certification or of application privileges for certification may apply to the board for reinstatement in accordance with the terms and conditions of the order of sanction.

A.   If the order of sanction did not establish terms and conditions for reinstatement, an initial application for reinstatement may not be made until one year has lapsed from the date of the Board's final decision.

B.   A request for reinstatement shall be initiated by the respondent. A letter of application for reinstatement shall present facts which, if established, will be sufficient to enable the Board to determine that basis for sanction no longer exists.

15.   Possible Reinstatement Following Revocation. It is recognized that there may be mitigating circumstances which could warrant granting permission to apply for certification following revocation.

A.   Permission to apply for certification following revocation may be considered only after twenty-four (24) months have lapsed from the date of the Board's final decision.

B.   Permission to seek certification following revocation is granted solely within the discretion of the Board.

IBTSA

510 E. 12th. Street
Des Moines, Iowa 50319
515-564-9625
ibtsainfo@gmail.com

Disciplinary Procedures

IBTSA

Email Us