California Association of School Counselors Ethics Committee Policies and Procedures Adopted November 12, 2007 Revised August 3, 2008 I. Ethics Committee Section A: General 1. The California Association of School Counselors, hereafter referred to as the Association or CASC, is dedicated to supporting school counselors in the State of California. The Association s Board of Directors, in furthering its objectives, adopted the American School Counselor Association (ASCA) Ethical Standards for School Counselors in 2001. 2. The purpose of this document is to facilitate the work of the CASC Ethics Committee, hereafter referred to as the Committee by specifying its responsibilities, role and function, scope and authority, and policies and procedures for processing cases of alleged violations of the CASC Ethical Standards. This document is meant to be used as a supplement to the CASC Ethical Standards and the CASC Bylaws and not as a substitute. Section B: Committee Members 1. The Ethics Committee is a standing committee of the Association. The Committee consists of five (5) appointed members including two (2) current Board of Director members, two (2) members-at-large, and the CASC parliamentarian. These members are appointed for two (2) year terms by the President and appointments are subject to confirmation by the CASC Board of Directors. The Chair of the Ethics Committee will be appointed by the President to serve a one (1) year term as Chair while serving as one of five (5) appointed members. Any vacancy occurring on the Committee will be filled by the President in the same manner, and the person appointed shall serve the unexpired term of the member whose place he or she took. Committee members may not be reappointed for more than one (1) additional consecutive term. 2. The CASC Executive Director, or his/her designee, will serve as a liaison between the Ethics Committee and the CASC office. Section C: Role, Function and Responsibilities The Ethics Committee is responsible for: 1. Educating the membership as to the CASC Ethical Standards for School Counselors. This educative role is intended to be advisory in nature. 2. Annually reviewing these Policies and Procedures and make recommendations to the Executive Board for changes/additions when necessary; 1 of 10
3. Investigating complaints about alleged ethical misconduct. The Committee will obtain a thorough, factual and impartial account of the behaviors or incidents in question in order to be able to make the best possible recommendation for resolution of the case. The Committee shall consider the merits of the complaints, act in an unbiased manner, work expeditiously, to safeguard the confidentiality of the Committee s activities and to follow procedures that safeguard the rights of all individuals involved in the complaint process. The Committee, in taking any action, shall do so only for cause, shall only take the degree of action that is reasonable and in accordance with the CASC Bylaws, shall utilize these procedures with objectivity and fairness, and in general shall act only to further the interests and objectives of the Association and its membership. 4. Members of the Committee recognize that their role is an extremely important one, involving the rights of people, the reputation of the profession and the careers of individual professionals. Therefore, they must be alert to personal, social, organizational, financial and/or political situations or pressures that may lead to misuse of their influence. 5. The Committee shall assure the responsible use of all information obtained in the course of an inquiry or investigation. 6. All information concerning complaints shall be confidential, except when information must be released to protect the interests of a) the complainant or respondent; b) other investigative or adjudicative bodies; c) the Association; or d) members of the public, and will not jeopardize the confidentiality interests of those parties involved in the process. 7. The Committee shall meet in person or by telephone conference as necessary; 8. Of the five (5) voting members of the Committee, a vote of three (3) is necessary to conduct business. In the event any member of the Committee has a personal interest in the case, he or she shall withdraw from reviewing the case. 9. In the event any Committee members recuse themselves from a complaint and insufficient voting members are available to conduct business, the President shall appoint additional CASC Ethics Committee members for the case in question to decide the complaint. The Ethics Committee Chairperson (with assistance of the Executive Director and legal counsel when necessary) is responsible for: 1. Presiding over the meetings of the Committee; 2. Setting annual meetings to review and/or suggest modifications of these policies and procedures and make recommendations to the Board of Directors. 3. Receiving and processing requests for interpretations of the CASC Ethical Standards. This is typically accomplished through informal communication via telephone and/or email; 4. Receiving and investigating complaints of alleged ethical misconduct and/or violations of the CASC Ethical Standards; 2 of 10
5. Notifying individuals who petition the Ethics Committee (hereinafter referred to as the complainant) and the charged member (hereinafter referred to as the respondent) of receipt of the case by certified mail, return receipt requested; 6. Informing the complainant that copies of the formal complaints, evidence and documents submitted in support of the complaint will be provided to the respondent when complaints are accepted by the Committee; 7. Notifying the members of the Committee of formal complaints received; 8. Preparing and sending, by certified mail, communications to the complainant and respondent on the recommendations and decisions of the Committee; and 9. Arranging for legal advice with the assistance and financial approval of the CASC Executive Director. 10. In the event that the Committee Chair administering the complaint has a conflict of interest in a particular case, the Committee members shall appoint a new Chair for the case. Section D: Scope and Authority 1. The Committee shall hear complaints that address concerns about professional ethical standards including, but not limited to, alleged violations or misconduct in relation to said standards. 2. The Committee shall address issues of ethical misconduct in an investigatory, advisory, educative and/or remedial role. What constitutes ethical misconduct shall be determined on the basis of the provisions of the CASC Ethical Standards. 3. When conducting operations, the Committee shall utilize applicable governmental laws, the Bylaws of the Association, the CASC Ethical Standards for School Counselors, and these policies and procedures to formulate its actions and make decisions. 4. Complaints received by the Committee shall be reviewed and judged on the basis of the CASC Ethical Standards in force at the time of the alleged misconduct. Investigation and adjudication of ethical complaints shall be on the basis of these policies and procedures in force at the time the complaint is received by the Committee. 5. The Committee may consider a complaint against an individual if those individuals are a) current members of the California Association of School Counselors; b) were CASC members when the alleged misconduct/violation(s) occurred; c) the individual is a member of a division or charter of CASC; d) believed to be coerced to behave unethically in which he/she bears certain ethical responsibilities and failure to take appropriate action (i.e. by refusing to behave unethically) could lead to charges of misconduct against the individual involved. 3 of 10
II. Complaints and Inquiries Section A: Eligibility to File Complaints 1. The Committee shall recognize and respond to all complaints and inquires that CASC members have violated one or more sections of the Ethical Standards from a) any individual, or group of individuals, who have reason to believe that CASC members have violated the CASC Ethical Standards; b) CASC members, or members of other helping professions, who have reason to believe that CASC members have violated the CASC Ethical Standards; c) ethics committees of CASC divisions or charters. 2. When appropriate, individuals should attempt to resolve complaints directly with charged members before filing ethical complaints. 3. The complainant need not be a member of CASC; however, anonymous letters and phone calls will not be recognized. Section B: Timelines 1. The timelines set forth in these policies and procedures are intended to serve as guidelines for the Committee members to follow but may be modified or waived for good cause. 2. The Committee may consider complaints against members if the complaint is three (3) years old or less after the alleged conduct either occurred or was discovered by the complainant. Section C: Filing Complaints 1. An oral complaint or inquiry may be informally handled, referred elsewhere when appropriate, or the Committee Chairperson may request that the complaint be formally submitted through completion of an ethical complaint form. Those wishing to file a complaint need not contact the Chairperson prior to filing a formal complaint as long as the process described below is followed. 2. Formal complaints against members must be legibly printed or typed to be accepted. 3. A formal complaint shall consist of a) a completed ethical complaint form; b) a signed release authorizing that the complainant s name be revealed to the respondent (except as provided for in item four (4) below); c) relevant materials associated with the complaint and for which the complainant wishes to submit into evidence; d) names and contact information for any individuals the complainant wishes to call as witnesses. 4. In those situations in which the complainant has a subordinate relationship to the respondent, the complainant may request anonymity. The Ethics Committee shall determine the appropriateness of such confidential reporting. 5. Ordinarily the Ethics Committee will not act on an anonymous complaint. However, when the complainant is involved in a hierarchical relationship, the Committee may act on behalf of the complainant and the identity of the complainant shall remain confidential. 4 of 10
6. All correspondence related to an ethical complaint must be addressed to the Ethics Committee Chairperson at CASC Headquarters, P.O. Box 1647, Duarte, CA 91009-4647 and must be marked confidential. This process is necessary to protect the confidentiality of the complainant and the charged member. The address where information is to be sent shall be indicated in the letter. Section D: Complaint Receipt Upon receipt of the ethical complaint form, release form and related evidence, the Ethics Chairperson shall expeditiously do the following: 1. Determine if the individual against whom the complaint is made is, or has been, a member of CASC during the alleged misconduct/violation period. If the individual is not or was not a CASC member, the complainant shall be so advised and, when appropriate, referred to other agencies and/or associations that would have authority in the matter. 2. If the respondent is or was a member of CASC during the alleged misconduct/violation period, the Ethics Committee shall review the complaint. If it is determined that the alleged misconduct, even if true, would not constitute an actual violation of the CASC Ethical Standards or the complaint could not be properly decided if accepted, the Chairperson shall notify the complainant that the allegation will not be investigated by the Committee. 3. If the Committee determines that there is insufficient information to make a fair determination of whether the behavior alleged in the complaint would be cause for action by the Committee, the Chairperson may request, in writing, further information or clarification from the complainant or others. The complainant or others from whom information is requested shall be given fifteen (15) business days from receipt of the request to respond. 4. The Committee is empowered to use its judgment and to proceed on its own volition when a member appears to have engaged in ethical misconduct that has the potential to injure the Association or its membership, or to adversely affect the Association s reputation, or that is clearly inconsistent with or destructive to the goals and objectives of the Association. III. Ethics Committee Investigations Section A: Investigation Procedures 1. When the decision is made to investigate a complaint, the Committee Chairperson shall expeditiously inform the respondent, by certified mail, return receipt requested, that a complaint has been filed against him/her. The letter shall accompany the formal complaint form submitted by the complainant and copies of any and all evidence and documents submitted in support of the complaint. The Chairperson shall also provide a copy of these policies and procedures along with a copy of the CASC Ethical Standards. 5 of 10
2. The respondent shall be asked to provide a written statement outlining his/her view of the situation and provide any supporting evidence/documentation pertinent to the complaint. If the respondent does not respond to the original inquiry within fifteen (15) business days of receipt of the notice, the Committee may continue its investigation, noting in the record the circumstances of the respondent s failure to respond. The Committee Chairperson shall also inform the respondent that his/her lack of cooperation may result in actions which may eventuate in his/her membership in the Association being revoked. 3. After charged members have received notification that a complaint has been brought against them, they will be given fifteen (15) business days to notify the Committee Chair by certified mail to CASC headquarters, if they wish to request a formal face-to-face or telephone conference hearing before the Committee. In the event a formal hearing is requested before the Ethics Committee, the respondent must provide any and all written documentation, including a list of witnesses, to the Ethics Chairperson no less than fifteen (15) business days prior to the hearing date. 4. The Committee may, at its discretion, delay or postpone its review of the case with good cause including if the Committee wishes to obtain additional information. 5. The charged member may request that the Committee delay or postpone its review of the case for good cause if done so in writing. This request must be received by the Ethics Chairperson within fifteen (15) business days of receipt of the formal complaint against him/her. 6. If the complainant wishes to withdraw the complaint at any time, the inquiry is terminated except in extreme cases where the Ethics Committee feels the issue(s) in the case are of such importance as to warrant completing the investigation in its own right and in the interest of the public welfare or that of the Association. Section B: Disposition of Complaints 1. After receiving the responses from charged members, Committee members will be provided copies of (a) the complaint; (b) supporting evidence and documents sent to charged members; (c) the response; and (d) supporting evidence and documents provided by charged members and others. Decisions will be rendered based on the evidence and documents provided by the complainant, charged member or others. 2. Should the charged member fail to respond during the required time frames, the Ethics Committee may move forward with review of the complaint. Once the Committee determines it has obtained sufficient information with which to reach a decision, the Chairperson shall request that the Committee vote on the disposition of the case. 3. Should the respondent not request a formal hearing or if he/she fails to respond to the complaint within the required time frames, Committee members will meet at a mutually agreed upon date, time, and place to review and discuss the complaint, response, and supporting 6 of 10
documentation, if any, and determine whether a) the case should be dismissed; b) charges within the complaint should be dismissed; c) further investigation by correspondence is needed; d) the respondent, complainant and/or witnesses should appear before the Committee; e) it is ready to vote on the disposition of the case or if some other action or a combination thereof shall be taken. 4. A hearing may be conducted when the Committee determines that additional information is needed, or when the Committee feels verbal testimony would be useful in making a decision, or if requested by the respondent. 5. In the interest of obtaining a full and accurate record of the hearing, a tape recorder or other transcription device may be used at the discretion of the Committee. 6. Either party shall have the right to call witnesses to substantiate his or her version of the case. The Committee shall have the right to call witnesses it believes may provide further insight into the matter. 7. The Ethics Committee shall, at its sole discretion, determine the number and identity of witnesses to be heard. Witnesses shall not be present during the hearing except when they are called upon to testify and shall be excused upon completion of their testimony and any crossexamination. The Committee Chair shall allow questions to be asked of any witness by the opposition or members of the Committee if such questions and testimony are relevant to the issues in the case. The Committee Chair will determine what questions and testimony are relevant to the case. Should the hearing be disturbed by irrelevant testimony, or other occurrences, the Chair may call a brief recess until order can be restored. All expenses associated with witnesses shall be borne by their respective parties. 8. The Ethics Committee is not a court of law and, as such, is not required to provide access to legal counsel for the charged member or any witnesses called upon to testify. 9. In the event it is determined that any of the CASC Ethical Standards have been violated, the Committee will impose, for the entire complaint, one or a combination of possible sanctions allowed. 10. In a case of finding of no ethical violations, the CASC Ethics Committee may choose to offer educational advice and counsel its members to advance professional ethical practice of school counseling. Educational advice and counsel rendered by the Committee should in no way be construed as a finding of unethical conduct or sanction. 11. The Committee Chairperson, after the decision of the Committee has been rendered, shall expeditiously inform the respondent by certified mail, return receipt requested, of the Committee s determination and recommendations. The respondent shall also be notified of his/her rights to appeal the decision to the CASC Board of Directors. 12. An appeal before the Board of Directors may only be requested if the respondent has already exhausted the Ethics Committee hearing processes. 7 of 10
13. Should the respondent wish to file an appeal, said appeal must be in writing and for just cause. 14. After the deadline for filing an appeal, or after an appeal has been filed, and reviewed by the CASC Board of Directors, and a decision of violation has been rendered resulting in the charged member being suspended or expelled, the following entities will be notified of the final disposition of the case: the CASC Board of Directors and/or the American School Counselor Association s Board of Directors. 15. In severe cases when the welfare of the public is at stake and/or when the Ethics Committee deems it necessary to maintain the principles of the Association and the profession, it may also notify the American School Counselor Association and State certification boards of the final disposition of the case. Other interested parties, including the respondent s employer, may be notified of the final action when, in the opinion of the Ethics Committee, notification is necessary for the protection of the public or the profession. Section C: Sanctions The following are possible sanctions that may be imposed on a member by the Ethics Committee should they find the member is in violation of CASC s Ethical Standards: 1. Respondent take corrective measures to modify or stop certain activities or practices; 2. Censure or reprimand the respondent; this may include prohibiting the respondent from participating in CASC leadership activities for a specified period of time, representing CASC at public forums, authoring CASC publications, and/or attending CASC sponsored meetings or conferences. 3. Respondent provide restitution to, or apologize in writing to, an individual or organization harmed by the respondent s unethical conduct; 4. Suspension from CASC membership for a specified period of time subject to Committee review of compliance with requested corrective measures; 5. Permanent revocation of respondent s membership in the Association; 6. Any combination of the above. Section D: Legal Actions Related to Complaints 1. Complainants and charged members are required to notify the Committee if they learn of any type of legal action (civil or criminal) being filed related to the complaint. 2. In the event any type of legal action is filed regarding an accepted complaint, all actions related to the complaint will be stayed until the legal action has been concluded. The Committee will consult with legal counsel concerning whether the processing of the complaint will be stayed if the legal action does not involve the same complainant and the same facts within the complaint. 3. If actions on a complaint are stayed, the complainant and charged member will be notified. 8 of 10
4. When actions on a complaint are continued after a legal action has been concluded, the complainant and the charged member will be notified. Section E: Appeal Process 1. In accordance with CASC s Bylaws, decisions of the CASC Ethics Committee may be appealed, for just cause, to the CASC Board of Directors by the respondent. Said appeal must be in writing, directed to the President of the Association, and must be received at the CASC address listed in these policies within thirty (30) business days from receipt of the Ethics Committee s findings and recommendations; provided a formal hearing has already taken place before the Ethics Committee. 2. Following receipt of the request for appeal, the President of the Association shall schedule a review of the information in the appeal with the Board of Directors within sixty (60) days of receipt of the appeal or at the next scheduled Board meeting. 3. The Ethics Committee Chairperson shall provide all documents relevant to the case to the Executive Director to copy and distribute to all Board Members in advance of the appeal review. 4. The President of the Board shall preside over the appeal review and deliberations of the Board. 5. A record of the appeal review shall be made and preserved, together with any documents presented in evidence, at CASC headquarters for a period of three (3) years after the final decision is made. The record shall consist of a summary of appeal review process and the decisions of the Board regarding the case. 6. The appeal review by the Board of Directors are not a court of law and, as such, the Board is not required to provide access to legal counsel for the charged member or any witnesses. 7. At the conclusion of the appeal review, the President shall notify the respondent and complainant of the Board s decisions regarding the appeal within ten (10) working days after the conclusion of the review. The Board s decision shall be sent by certified mail, return-receipt requested. 8. The decision of the Board of Directors is limited to a) upholding the decision of the Ethics Committee; b) upholding the decision of the Committee but altering sanctions; or c) reversing the decision of the Committee. All decisions of the Board of Directors are final and binding and not subject to further hearings or appellate review. Section F: Records 1. The records of the Committee regarding complaints are confidential except as provided herein. 2. Relevant materials associated with the completed adjudication process will be stored and maintained (either on paper or electronically) by the CASC office for a period of three (3) years after the matter is closed. Adjudication materials to be maintained will include, but are not limited to, records associated with the initial complaint, all written correspondence between 9 of 10
members/designees of the Ethics Committee and complainants or respondents, summaries of meetings or phone conferences held to discuss the complaint, final Ethics Committee recommendations and decisions relative to the complaint; and summaries of final Ethics Committee activities and decisions relative to the complaint. In cases where a member loses his/her membership, these records will be kept indefinitely. All records will be maintained in secure and confidential files at CASC headquarters. 3. Members of the Committee will keep copies of complaint records confidential and will destroy their personal copies of records after a case has been closed. 10 of 10