Occupational Therapy Association of the Philippines, Inc.

EnforcementProcedure ForOccupational

TherapyCode of Ethics

I. PREAMBLE

A. This material is an official document of the AmericanOccupational Therapy Association (AOTA). It has been adoptedwith minor revisions for use by the Occupational TherapyAssociation of the Philippines and its members.

The Occupational Therapy Association of the Philippinesand its members are committed to improving individual’s abilityto function fully within their total environment. To this end, theoccupational therapy practitioner renders services to clients in allphases of health and illness, to institutions, to other professionalsand colleagues, and to the general public.

The occupational Therapy Association of the PhilippinesCode of Ethics is a public statement of the values and principles touse as a guide in promoting and maintaining high standards ofbehavior in occupational therapy. OTAP and its members arecommitted to improving people’s ability to function within theirtotal environment. To this end, occupational therapy personnelprovide services to individuals in any stage of illness, toinstitutions, to other professionals and colleagues, to students, andto the general public.

The Occupational Therapy Code of Ethics is a set ofprinciples that applies to occupational therapy personnel at alllevels. The roles of practitioner (registered occupational therapistand certified occupational therapy technician), educator,supervisor, administrator, consultant, fieldwork coordinator,faculty program director, researcher/scholar, entrepreneur, student,and support staff are assumed.

Any action that is in violation of the spirit and purpose ofthis code shall be considered unethical. To ensure compliance withthe code, enforcement procedures are established and maintainedby the Committee on Standards and Ethics (CSE). Acceptance ofmembership in the OTAP commits members to the Code of Ethicsand its enforcement procedures.

As preamble to the official procedures, the CSE urgesparticular attention to the following issues:

B. Professional Responsibility – All occupational therapypersonnel have an obligation to maintain the standards of ethics oftheir profession and to promote and support these same standardsamong their colleagues. Each member must be alert to practices,which undermine these standards and be obligated to takewhatever remedial action is required. At the same time, membersmust carefully weigh their judgments of unethical practice toensure that they are based on objective evaluation and not onpersonal bias or prejudice.

C. Jurisdiction – The Occupational Therapy Association of thePhilippines shall have jurisdiction over all members of theAssociation in the monitoring and enforcement of theOccupational Therapy Code of Ethics. The Code applicable to anycompliant shall be that version or edition in force at the time thealleged act or omission was committed. If the date of the allegedact or emission cannot be determined, then the act or omissionshall be judged by the code in force on the date of the complaint.

D. Disciplinary Action

Disciplinary action for the members of the Association shall belimited to reprimand, censure, suspension, or revocation from theassociation. These are defined as follows:

Reprimand – a formal expression of disapproval ofconduct communicated privately by letter from theChairperson of the CSE.

Censure – a formal expression of disapproval that ispublic.

Suspension – removal of membership for a specifiedperiod of time.

Revocation – denial of membership

E. Dismissal of Complaints

CSE may dismiss a complaint for any of the following:

1. No Violation. The CSE finds the individual against whomthe complaint is filed has not violated the OccupationalTherapy Code of Ethics, (e.g., accusing a person of beingrude.)

2. Corrected Violation. The CSE determines that anyviolation it might find has been or being corrected.

3. Insufficient Evidence. The CSE determines there isinsufficient fact, evidence, or detail to support a finding ofan ethics violation.

4. Absolute Time Limit/Not Timely Filed. The CSEdetermines that the alleged violation of the OccupationalTherapy Code of Ethics occurred more than ten (10) yearsprior to the filing of the complaint.

5. Lack of Jurisdiction. The CSE determines that it has nojurisdiction over the defendant or complaint. (e.g.,complaint against a non-member.)

6. Subject to Jurisdiction of Another Authority. The CSEdetermines that the complaint is based on matters whichare already covered by another authority, jurisdiction or areregulated by law, (e.g., accusing a superior of sexualharassment at work; accusing someone of anti-competitivepractices.)

7. Advice of Counsel. On the Advice of counsel, or otheradvice, that no further action should be taken on thecomplaint.

F. Advisory Opinions

1. The CSE may issue advisory opinions on certain issues toinform and educate the membership. These opinions shallbe publicized to the membership.

Ethics. The original records and reports, which form the initialbasis for the complaint, actual evidence, and disposition of thecomplaint, shall be filed in the confidential file of the President ofthe Association. All others copies shall be destroyed.

IX. PUBLICATION

Final Decisions of the Judicial Council will be publicized onlyafter all appeals have been exhausted.

Created in September 2003 forOccupational Therapy Association of the Philippines

Approved and Adopted by the Board of Directors,March 1998

2. Educative letter

The CSE determines that the allegations in the complaint arenot unethical, however they do not fall completely into theprevailing standards of practice or good professionalism, theCSE may send a letter to educate the complainant andrespondent regarding standards of practice and/or goodprofessionalism.

G. Confidentiality

Strict confidentiality shall be maintained by all who are involvedin the reporting, monitoring, reviewing, and enforcing of allegedinfractions of the Occupational Therapy Code of Ethics. Themaintenance of confidentiality, however, shall not interfere withthe provision of proper notice to all parties involved in thedisciplinary proceedings as determined by the Committee onStandards and Ethics. Likewise, final decisions of the JudicialCouncil and the Appeals Panel will be publicized as described inthe procedures.

II. DISCIPLINARY PROCEDURES

A. Complaint

Complaints stating an alleged violation of the Association’sOccupational Therapy Code of Ethics may originate from anyindividual or group within or outside the association. Allcomplaints must be in writing, signed by the complainant(s), andsubmitted to the Chairperson of the Committee on Standards andEthics at the address of the Association’s National Office. Allcomplaints shall be timely and shall identify the person againstwhom the complaint is directed (hereafter, the respondent), theethical principles, which the complainants believe have beenviolated, and, an explanation of the alleged violations. If available,supporting documentation should be attached.

B. Grounds for Appeal

The appeal must relate to issues and procedures that are part of therecord of the hearing before the Judicial Council. The appeal mayalso address the substance of the disciplinary action.

1) The President shall forward any letter of appeal to theAppeals Panel within fifteen (15) days of receipt.

2) Within forty-five (45) days after the appeals are receivedby the Appeals Panel, the Panel shall determine whether ahearing is required. If the Panel decides that a hearing isnecessary, timely notice for such hearing shall be given tothe appealing party. Participants at the hearing shall belimited to the appealing party and legal counsel (if sodesired), legal counsel for the Association, and any othersapproved in advance by the Appeals Panel.

C. Decision

Within forty-five (45) days after receipt of the appeal, if there isno hearing, or within fifteen (15) days after the appeals hearing,the Appeals Panel shall notify the President of the Association ofits decision. The President shall immediately notify the appealingparty, the original complainant, and appropriate bodies of theAssociation, and any other notifications deemed necessary.

For Association purposes, the decision of the Panels shall be final.

VII. NOTIFICATION

All notification referred to in this procedure shall be in writing andshall be registered, return-receipt mail.

VIII. RECORDS AND REPORTS

At the completion of this procedure, all records and reports shallbe returned to the Chairperson of the Committee on Standards and

B. Sua Sponte Complaints

1. The CSE may file a sua sponte complaint and therebyinitiate a disciplinary inquiry against a member of theOTAP whose actions violate the Code of Ethics, If theCSE receives or discovers through public records any ofthe following actions by other authorities, including butnot limited to:

a) a felony conviction;b) findings of malpractice;c) revocation, suspension, or surrender of a license to

practice;d) censure or monetary fine of an individual licensed

to practice;e) finding of academic misconduct; orf) actions by a duly authorized tribunal or

administrative hearing procedure.

2. The CSE may initiate a sua sponte complaint from otherinformation discovered.

C. Continuation of Complaint Process

If a member fails to cooperate with the ethics investigation, CSEshall continue to process the complaint noting in its report thecircumstances of the respondent’s resignation from membership orhis/her failure to cooperate. Failure to renew membership or tocooperate with the investigation shall not deprive the CSE ofjurisdiction.

D. Rules of Evidence

Formal rules of evidence, which are employed in legalproceedings do not apply to these “Procedures of disciplinaryAction”. The Judicial Council and the Appeals Panel can considerany evidence, which they deem appropriate and pertinent. TheJudicial Council may take additional material evidence at any time

D. Decision

1. Within fifteen (15) days after the hearing, the JudicialCouncil shall notify the president of the Association of itsdecision, which shall include whatever disciplinary actionmight be required.

2. Within ten (10) days of notice from the Judicial Council,the President shall notify all parties, and the originalcomplainant, of the Council’s decision. Within thirty (30)days after the notification of the Council’s decision, anyindividual or individuals judged deserving of disciplinaryaction might appeal the judgment to the Executive Boardof Association. (See below). If no appeal is filed, thePresident shall notify appropriate bodies within theAssociation and make any other notifications deemednecessary.

VI. APPEAL PROCESS

Appeals shall be written, signed by the appealing party, and sentby registered mail to the President of the Association. The basisfor the appeal shall be fully explained in this document.

A. Appeal Panel

The Vice-Presidents, Secretary, and Treasurer of the Associationshall constitute the Appeals Panel. In the event of vacancies inthese positions or the existence of a potential conflict of interest,the First Vice-President shall appoint replacements drawn fromamong the other board members. The President and theChairperson of the CSE shall not serve on the Appeals Panel.

while the matter is pending before it. In general, appeals broughtbefore the Appeals Panel shall be limited to the Judicial Councilproceedings. In the interest of fairness, the Appeals panel maytake additional material evidence not submitted to the JudicialCouncil.

III. INVESTIGATION

A. Acknowledgement and Review of Complaint

Within ninety (90) days of receipt of a complaint, the CSE shallmake a preliminary assessment of the complaint and decidewhether or not an investigation is warranted.

If, in its preliminary review of the complaint, the CSE determinethat an investigation is not warranted, the individual filing thecomplaint will be so notified. The respondent will be notified thata complaint was received. No record will be maintained.

If an investigation is required, the CSE chairperson shall, withinfifteen (15) days do the following:

(1) Notify the OTAP National Office and investigate thecomplaint.

(2) Notify the respondent (by registered, returned-receiptmail) that a complaint has been received and aninvestigation is been conducted. A copy of the complaintshall be enclosed with this notification.

(3) Notify the complainant that an investigation is beingconducted.

B. Conflict of Interest

The investigator shall (1) never have had a substantial professionalrelationship with either the complainant or the respondent; and (2)not have a conflict of interest with either the complainant or therespondent. In the event that the investigator does not meet this

The respondent can choose at this time to admit to theviolation, accept the disciplinary action, and relinquish the right toa hearing by the Judicial Council. The respondent has two (2)weeks from receipt of the CSE’s decision to notify theChairperson of his or her decision.

V. THE JUDICIAL COUNCIL

A. Panel Selection

The Judicial Council, comprised of three members in goodstanding of the Association, shall be appointed by the President ofthe Association within thirty (30) days of the notification to hearthe formal charges against the respondent and decide on the meritsof the case. Members appointed shall (1) never have had asubstantial professional relationship with either the complainant orthe respondent; and (2) not have a conflict of interest with eitherthe complainant or the respondent.

B. Hearing

Thirty (30) Days in advance of the hearing, the Judicial Councilshall notify in writing all parties of the date, time, and place for thehearing. Within twenty (20) days of notification of the hearings,the respondent charged by the Association may submit to theCouncil a response to the Association’s charges.

C. Support Personnel

Legal counsel shall represent the Association at the hearing.

The respondent may be represented by legal counsel. Fullopportunity to refute all charges shall be afforded. All parties shallhave the opportunity to confront and cross-examine witnesses.Testimony may be presented by others than those who are partiesto the charge. A record of the hearing shall be made.

Upon such referral with the appropriate authority, the CSE shall(a) retain jurisdiction; (b) stay any action until the CSE receivesnotification of a decision by that authority. A stay in conductingan investigation shall not constitute a waiver of CSE jurisdiction.

F. Notification of Stayed Action

The CSE shall send written notification of a stayed case. Suchnotification will be sent by registered mail to the complainant andthe respondent.

IV. STANDARDS AND ETHICS COMMITTEEREVIEW AND DECISION

A. The committee on Standards and Ethics shall review theInvestigator’s report and shall render a decision withinninety (90) days of receipt of the report whether a formalcharge by the Association is warranted. The CSE may, inthe conduct of its review, take whatever furtherinvestigatory actions it deems necessary.

B. Acceptance of CSE Decision

If the respondent accepts the charge and disciplinary actionas the result of the preliminary investigation, the CSEChairperson notifies all parties involved and carries out thedisciplinary action. The disciplinary action shall bepublicized.

If the respondent refutes the allegation, the President of theAssociation shall be so notified in writing by the CSEChairperson.

C. If The CSE decides that a formal charge is warranted, therespondent to the complaint is notified of the CSE’sdecision to file a formal charge and the recommendeddisciplinary action.

criteria, the CSE Chairperson shall appoint an alternateinvestigator.

C. Response to the Complaint

1. The respondent shall given thirty (30) days from thereceipt of the notification to response verbally and/or inwriting to the Investigator, and must be given theopportunity to refute all charges. Apart from thecomplainant and the charge party (respondent), no otherpersons will participate in the investigation without priorapproval of the respondent.

2. The complainant shall be made aware of any new evidencesubmitted to the investigator, be given a copy of it, andshall have fourteen (14) days in which to submit a rebuttal.Thereafter, the record shall be closed.

3. Failure to Act or Participate in Cases-Failure of therespondent to cooperate with the investigation, (1) shall notprevent continuation of the Enforcement procedures of theCode of Ethics, and (2) shall in itself constitute a violationof the Occupational Therapy Code of Ethics.

D. Investigator Timeline

The investigation process will be completed within ninety (90)days of the appointment of the investigator. The investigator shallreport to the CSE unless the CSE determined specialcircumstances, which warrant additional time for the investigation.The investigator’s report shall state findings regarding the validityof the complaint.

E. Retention and Referral of Complaint

The CSE may at any time refer the matter to the ProfessionalRegulation Commission, or other recognized authority/authoritiesfor appropriate action.