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Professional Practice and Discipline Guidelines and Procedures VERSION 2.6 - PUBLISHED NOVEMBER 2019 IMPLEMENTED JANUARY 2020 RE-RELEASED JULY 2023PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 2 Table of Contents INTRODUCTION 2 SECTION 1: PROFESSIONAL PRACTICE AND DISCIPLINE COMMITTEE 3 SECTION 2: INVESTIGATION 4 SECTION 3: CHARGE 5 SECTION 4: CONSENT AGREEMENTS 6 SECTION 5: CONVICTION OF A CRIME OR PROFESSIONAL DISCIPLINE 7 SECTION 6: HEARINGS 9 Introduction The BOC Professional Practice and Discipline Guidelines and Procedures are intended to inform BOC Certified Athletic Trainers, BOC exam applicants, consumers of athletic training services and members of the public of the disciplinary guidelines and procedures. SECTION 7: APPEALS 10 SECTION 8: FORMS OF DISCIPLINE 11 SECTION 9: IMPAIRED PRACTITIONER 12 SECTION 10: REQUIRED ACTION AFTER SUSPENSION 15 SECTION 11: STATUS DEFINITIONS 15 SECTION 12: REINSTATEMENT 16 SECTION 13: CONFIDENTIALITY OF PROCEEDINGS 18 SECTION 14: GENERAL PROVISIONS 19PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 3 \ Section 1: Professional Practice and Discipline Committee 1.1 FUNCTION AND JURISDICTION OF THE PROFESSIONAL PRACTICE AND DISCIPLINE COMMITTEE The Professional Practice and Discipline Committee (referred to herein as PPD Committee) is responsible for the oversight and adjudication of the “BOC Professional Practice and Discipline Guidelines and Procedures” (referred to herein as Procedures) and the “BOC Standards of Professional Practice,” which consists of the Practice Standards and the Code of Professional Responsibility. The PPD Committee has jurisdiction over all BOC Certified Athletic Trainers (referred to herein as AT or ATs) and both current and prospective BOC exam applicants. 1.2POWERS AND DUTIES OF THE PPD COMMITTEE The PPD Committee shall be authorized and empowered to: 1.2.1 1.2.2 1.2.3 1.2.4 1.2.5 Review and decide cases involving alleged violations of the “BOC Standards of Professional Practice” and impose sanctions as appropriate; Review sanctions imposed for failure to comply with certification maintenance requirements pursuant to Section 10; Regularly report to the BOC chief executive officer on the operation of the PPD Committee; Propose amendments to the Procedures, subject to review and approval of the BOC chief executive officer and BOC legal counsel, and adoption by the BOC Board of Directors; and Adopt such other rules or procedures as may be necessary or appropriate to govern the internal operations of the PPD Committee. 1.3SELECTION AND TERM LIMITS The BOC Board of Directors, by a majority vote, shall appoint five persons who are ATs in good standing and two members of the public for a three year term to the PPD Committee with the ability to serve no more than a maximum of three consecutive terms. The terms shall be staggered. The BOC Board of Directors shall designate one AT member to serve as the Chair of the PPD Committee. The term for the Chair will be three years with the ability to serve no more than a maximum of two consecutive terms as Chair. The Chair must have previously served on the PPD Committee. The Chair will only vote when there is a tie vote among the other PPD Committee members. When a vacancy on the PPD Committee occurs as a result of resignation, unavailability or disqualification, the BOC chief executive officer shall designate a new member. PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 4 \ Section 2: Investigation 2.1FILING A COMPLAINT Individuals shall report possible violations of the “BOC Standards of Professional Practice” in a written and signed statement addressed to the BOC. This statement shall identify the persons alleged to be involved and the facts concerning the alleged conduct in as much detail as possible and should include any available documentation. You may file a complaint on the BOC website or you may contact the BOC office to obtain a complaint form. The BOC may undertake an investigation or initiate a disciplinary proceeding without a complaint in the event it receives or discovers information indicating that a violation of the “BOC Standards of Professional Practice” may have occurred. 2.2 PROCEDURES FOR INVESTIGATION 2.2.1 Preliminary Review The BOC shall review all complaints and information concerning a possible violation of the “BOC Standards of Professional Practice.” In making a determination of whether to proceed, the BOC shall make such inquiry regarding the underlying facts as it deems appropriate. If the BOC chooses not to investigate a complaint, no file shall be opened and the Complainant shall be notified of the BOC’s decision. 2.2.2 Investigation If, upon completion of its preliminary review, the BOC determines that the information and allegations, if true, describe facts that would constitute a violation of the “BOC Standards of Professional Practice,” the BOC shall initiate an investigation. Notice: Upon initiation of an investigation, the BOC shall notify the Respondent as well as the Complainant that it has decided to conduct an investigation. This notification shall be in writing and shall include a description of the allegations or information received by the BOC and may request additional information from the Respondent and/or Complainant. The identity of the Complainant will remain confidential to the extent consistent with a proper and thorough investigation. The Respondent and/or Complainant shall have 15 calendar days from the date notification is sent to respond in writing to the complaint. The BOC may extend this period up to an additional 15 calendar days upon request, provided sufficient justification for the extension is given prior to the expiration of the original deadline. 2.2.2.1Response: Upon receipt of a response admitting the allegations in the complaint, the BOC shall refer the matter to the PPD Committee and the Respondent may request, or be requested to, enter into a Consent Agreement as outlined in Section 4. All other responses will be considered in the investigation. 2.2.3Probable Cause Determination Procedures Upon the completion of its investigation, the BOC shall determine if there is probable cause to believe grounds for discipline exist and shall either: 2.2.3.1Dismiss the case due to insufficient evidence, the matter being insufficiently serious, or other reasons as may be warranted; 2.2.3.2Begin preparation and processing of a Charge against the Respondent in accordance with Section 3; or 2.2.3.3Offer a Consent Agreement as outlined in Section 4. PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 5 \ Section 3: Charge 3.1CHARGE A Charge letter shall be prepared by the BOC. The Charge letter shall contain a statement of the factual allegations constituting the alleged violation and the standard or code allegedly violated. The Charge letter shall also include a recitation of the Respondent’s rights and shall enclose a copy of these Procedures. 3.2SERVICE OF THE CHARGE LETTER The Charge letter shall be transmitted to the Respondent by certified mail or tracked courier, return receipt requested, or by secure electronic delivery with receipt verification (e.g. Eversign). 3.3RESPONSE The Respondent shall have 30 calendar days from the date of receipt or delivery of the Charge in which to respond to the allegations, provide comments regarding appropriate sanctions or request a hearing. The BOC may extend this period up to an additional 15 calendar days upon request, provided sufficient justification for the extension is given prior to the expiration of the original deadline. All responses shall be in writing. Hearings are available only if the Respondent disputes the truth of the factual allegations underlying the Charge. 3.4FAILURE TO RESPOND If the Respondent fails to respond within the period provided by Section 3.3, the Respondent shall be deemed to be in default and the allegations set forth in the Charge shall be deemed admitted. In such circumstance, the BOC shall serve upon the Respondent a notice of default specifying the form of discipline (see Section 8), if any, to be imposed and informing the Respondent of his/her right of appeal. 3.5CONSENT AGREEMENT If the Respondent does not dispute the factual allegations outlined in the Charge letter, the Respondent shall be requested to enter into a Consent Agreement as outlined in Section 4.PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 6 \ Section 4: Consent Agreements 4.1CONSENT AGREEMENT At any time during a disciplinary proceeding, the BOC may execute a Consent Agreement with the Respondent. A Consent Agreement is a voluntary and legally binding agreement between the BOC and the Respondent which formally resolves a Charge or investigation without further proceedings. Consent Agreements may be initiated by either the BOC or a Respondent. Consent Agreements may be entered into only with the consent of the Respondent, the PPD Committee and the chief executive officer. Any remedy, penalty or sanction that is otherwise available under these Procedures may be achieved by Consent Agreement, including long-term suspension. A Consent Agreement is not subject to review or appeal and may be modified only by a writing executed by all parties to the original Consent Agreement. A Consent Agreement may be enforced by either party in an action at law or equity. 4.2OFFER OF CONSENT AGREEMENT The BOC may propose entry into a Consent Agreement at any time during the disciplinary process, including but not limited to the conclusion of an investigation, at the time of service of a Charge letter, upon receipt of the Response to the Charge letter, or during the Hearing or Appeals process. Every Consent Agreement shall contain and describe in reasonable detail: 4.2.1The act or practice which the Respondent is alleged to have engaged in or omitted; 4.2.2The standard(s) or code(s) that such act, practice or omission to act is alleged to have been violated; 4.2.3A statement that the Respondent does not contest the factual allegation(s) and violation(s) as outlined by 4.2.1 and/or the BOC’s findings regarding the factual allegations; 4.2.4The proposed action to be taken and a statement that the Respondent consents to the proposed action; and 4.2.5The Respondent’s waiver of all right of appeal within the BOC or the judicial system or to otherwise challenge or contest the validity of the Consent Agreement. 4.3PUBLICATION Although Consent Agreements typically remain confidential, the BOC may determine that circumstances exist in which publication is warranted. The terms of each Consent Agreement will specify the degree of confidentiality accorded with each agreement. PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 7 \ Section 5: Conviction of a Crime or Professional Discipline 5.1DUTY TO REPORT CRIMINAL CHARGE, CONVICTION OR PROFESSIONAL DISCIPLINE 5.1.1Duty to Report Criminal Charge An AT or BOC applicant who is charged with a serious crime as defined in Section 5.3.1 below, shall notify the BOC of such charge within 10 calendar days after the date on which the Respondent is notified of the charge. 5.1.2Duty to Report Criminal Conviction or Professional Discipline An AT or BOC applicant who is convicted of any crime (with the exception of misdemeanor traffic offenses or traffic ordinance violations that do not involve the use of alcohol or drugs), or who becomes subject to any professional discipline, shall notify the BOC in writing of such conviction or professional discipline within 10 calendar days after the date on which the Respondent is notified of the conviction or professional discipline. 5.2COMMENCEMENT OF DISCIPLINARY PROCEEDINGS UPON NOTICE OF CHARGE, CONVICTION OR PROFESSIONAL DISCIPLINE Upon receiving notice that an AT or BOC applicant has been charged with a serious crime (as defined in Section 5.3.1) or convicted of a crime other than a serious crime or has been subject to professional discipline other than suspension (as defined in Section 5.3.2), the BOC shall commence an investigation. If the conviction is for a serious crime or if a Respondent has received a professional suspension, the BOC shall obtain the record of conviction or proof of suspension and initiate disciplinary proceedings against the Respondent as provided in Section 3. If the Respondent’s criminal conviction or professional suspension is either admitted or proved as provided in Section 5.4, the Respondent shall have no right to a hearing before the Hearing Panel. 5.3CONVICTION OF SERIOUS CRIME OR PROFESSIONAL SUSPENSION – IMMEDIATE SUSPENSION Upon receiving notification of a Respondent’s conviction of a serious crime or professional suspension, the BOC may, at its discretion, issue a notice to the convicted or suspended AT or BOC applicant directing that the Respondent show cause why the Respondent’s right to use the ATC ® certification mark should not be immediately suspended or BOC exam eligibility be denied pursuant to Section 8. PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 8 Section 5: Conviction of a Crime or Professional Discipline 5.3.1Serious Crime Defined The term serious crime as used in these rules shall include: 1) any felony; 2) a misdemeanor related to public health, patient care, athletics or education. This includes, but is not limited to: rape; sexual or physical abuse of a child or patient; actual or threatened use of a weapon of violence; the prohibited sale or distribution of controlled substance, or its possession with the intent to distribute; or the use of the position of an AT to improperly influence the outcome or score of an athletic contest or event or in connection with any gambling activity; and/or an attempt, conspiracy, aiding and abetting, or solicitation of another to commit such an offense. 5.3.2Definition of a Professional Suspension A professional suspension as used herein shall mean the Respondent’s license to provide athletic training or other healthcare services has been suspended or barred by a governmental or industry self-regulatory authority. 5.4PROOF OF CONVICTION OR PROFESSIONAL DISCIPLINE Except as otherwise provided in these Procedures, an original or authenticated copy of a certificate or other writing from the clerk of any court of criminal jurisdiction indicating that an AT or applicant has been convicted of a crime in that court, or an original or authenticated copy of a letter or other writing from a governmental or industry self-regulatory authority to the effect that an AT or applicant has been subject to professional discipline or suspension by such authority, shall constitute conclusive proof of the existence of such conviction or such professional discipline for purposes of these disciplinary proceedings. 5.5 APPLICANTS WITH PRIOR CRIMINAL CONVICTION OR PROFESSIONAL DISCIPLINE A BOC applicant who has a prior conviction of any crime (with the exception of misdemeanor traffic offenses or traffic ordinance violations that do not involve the use of alcohol or drugs), or who has been subject to any professional discipline, shall select “Yes” to Question 1 and/or Question 2 of the Affidavit section of the BOC Exam Application. 5.5.1Commencement of Disciplinary Proceedings upon Notice of Prior Conviction or Professional Discipline to Determine Exam Eligibility The BOC Applicant shall submit an explanation of the events that led to the conviction and copy of court document(s), including, but not limited to, an arrest report, sentence recommendation, proof of compliance of all court requirements and proof of payment for all related fines. The Committee may request additional documentation at any time during the proceedings. 5.5.1.1The Committee will review each case to determine exam eligibility. 5.5.1.2The Committee may grant exam eligibility and if necessary, may impose discipline once the Applicant is certified. Possible forms of discipline are outlined in Section 8. 5.5.1.3The Committee may deny exam eligibility. If exam eligibility is denied the Applicant has 30 calendar days to appeal. See Section 7 for appeal procedures. 5.5.2Predetermination of Applicant Eligibility Individuals with a conviction and/or professional discipline may request a predetermination of eligibility at any time by submitting documentation, as outlined in 5.5.1, prior to submitting an application. Upon review, the Committee will provide the individual written notification of exam eligibility. In the event that additional information is discovered regarding the conviction and/or professional discipline the notification is null and void. The notification does not guarantee exam eligibility. PROFESSIONAL PRACTICE AND DISCIPLINE GUIDELINES AND PROCEDURES BOCATC.ORG 9 \ Section 6: Hearings Hearings are conducted only in cases where the Respondent disputes the truthfulness of the facts underlying the Charge. Respondents wishing to have a hearing must request a hearing in writing in Response to the Charge Letter. Hearings are conducted orally by telephone conference call. A hearing may be conducted in person at the BOC office in Omaha, Nebraska, if the BOC determines that exceptional circumstances exist which warrant such a hearing. 6.1NOTICE The BOC shall: 6.1.1Forward any Response containing a valid request for a hearing and the Charge letter to the Hearing Panel; 6.1.2Schedule a hearing before the Hearing Panel; and 6.1.3Send by certified mail or tracked courier, return receipt requested or by secure electronic delivery with receipt verification (e.g. Eversign), a Notice of Hearing to the Respondent. 6.1.3.1The Notice of Hearing shall include a statement of the date and time of the hearing. The BOC will endeavor to schedule the hearing on a mutually agreeable time and date. 6.2DESIGNATION OF A HEARING PANEL Upon receipt of a request for a hearing that complies with the requirements of Section 3.3, above, the BOC chief executive officer shall appoint a Hearing Panel. The Panel shall comprise five members, including three ATs and two members of the public. The BOC chief executive officer shall designate one of the AT members to serve as the Chair for the Hearing Panel. The Chair shall only vote in the event of a tie among the other Hearing Panel members. 6.2.1The Hearing Panel may be established as a standing Panel. 6.2.2The BOC chief executive officer may also appoint up to eight non-voting substitute members. 6.2.3When a vacancy of a full member occurs in the Hearing Panel as a result of resignation, unavailability or disqualification, the BOC chief executive officer shall designate a substitute member to serve in the full member’s place. 6.3PROCEDURE AND PROOF 6.3.1The Hearing Panel shall maintain an audio-taped or written transcript of the proceedings. 6.3.2The BOC and the Respondent or their agent(s) may make opening statements, present documents and testimony, examine and cross-examine witnesses under oath, make closing statements and present written briefs as scheduled by the Hearing Panel. 6.3.3The Hearing Panel shall determine all matters relating to the hearing by majority vote. The hearing shall be conducted on the record. Formal rules of evidence shall not apply. Relevant evidence may be admitted. 6.4DECISION 6.4.1Decisions by the Hearing Panel shall be in writing and shall include, as appropriate, factual findings, conclusions of law and any form(s) of discipline applied. 6.4.2Decisions by the Hearing Panel shall be transmitted to the Respondent by certified mail or tracked courier, return receipt requested, or by secure electronic delivery with receipt verification (e.g. Eversign). 6.5EXPENSES Each party shall bear its own travel, legal and other expenses related to the hearing. Next >