Compliance Policies and Review Process

Applicants: Must submit documentation within twenty-one days of the submission of their examination application.

Candidates, Registrants, and/Certificants: Must report a violation of the APCA Compliance Policies within fourteen days of the violation.

The following documentation or information, as applicable, is required for APCA to complete the compliance review:

• A personal statement explaining the underlying circumstances that led to the matter(s) in question.
• Documentation or information regarding the matter(s), as applicable:

Criminal Conviction(s):

• Initial Charge
  • Disposition
  • Sentencing Requirements
  • Is the case closed? If no, what is still pending?
• Circumstances surrounding the matter
  • What was the situation, and what were you doing? (In full detail)
  • When did this happen?
  • Who were you with?
  • Why did this happen?
  • Where did this incident occur?
  • Is there any likelihood of recurrence, and why or why not?

Note: If documentation is no longer available in the court system’s records, you are required to submit documentation from the court verifying that these records have been purged or are otherwise no longer available.

Battery, Assault, Violent Crime(s):

• Were any injuries sustained by any of the involved parties during the altercation? If so, explain.
• Have the courts ever ordered you to seek treatment or have you voluntarily sought treatment?
• Has there been any similar circumstance/events before this matter?

Workplace Matter(s):

• What was the circumstance surrounding the matter?
• Where were you when this happened?
• What was the time of day?
• Were there any significant contributing factors?
• Was there anyone else involved (i.e., Coworkers, patients, bystanders, etc.)
• Were you working in a capacity to provide patient care?
  • Was patient care provided?
  • Was there intent to provide patient care?
• Were any patients harmed or impacted?
• Were there any disciplinary actions due to this matter (i.e., Performance Enhancement Plans, Termination, etc.)

Violations Involving Alcohol/Drug Use:

• Drug-Related:
  • What was the drug?
  • How often do you use the drug?
  • Is there a history of abuse or overuse?
  • What were/are the circumstances around the use of the drug?
  • Have the courts ever ordered you to seek treatment or have you voluntarily sought treatment?
  • How are you maintaining sobriety?
  • Has the use of the drug ever impacted your personal or professional life? If so, how?
  • Would the people in your life say that you are dependent on the drug?
  • How do you maintain sobriety?
• Alcohol-Related:
  • How often do you drink?
  • Do you drink to intoxication?
  • How are you maintaining sobriety?
  • What is the setting when consuming alcohol?
  • Is there a history of abuse or overuse?
  • What were/are the circumstances around the use of alcohol?
  • Have the courts ever ordered you to seek treatment, or have you voluntarily sought treatment?
  • Is there any likelihood of recurrence (i.e., DUI, DWI, Public Intoxication, Etc.) and why?
  • Has the use of alcohol ever impacted your personal or professional life?
  • Have you made any attempts to quit or reduce consumption?
  • How do you maintain sobriety?

Disciplinary Matters

• Have you been sanctioned/disciplined/reprimanded by another certifying or licensing organization?
• Circumstances surrounding the matter:
  • What was the situation and what were you doing? (In full detail)
  • When did this happen?
  • Who were you with?
  • Why did this happen?
  • Where did this incident occur?
  • Were patients involved?
  • Were any patients harmed during this incident?
• Is there any likelihood of recurrence and why or why not?
• Is your certification/license active-unrestricted, active-restricted, or revoked?

APCA Applicants, Candidates, Registrants, or Certificants found to have violated APCA Compliance Policies will be subject to a Compliance Review.

Compliance Review Processing Time:

A compliance review may take between thirty days and six months. If the violation is referred for the Compliance Hearing Panel, then hearings are scheduled quarterly and the process may take longer than six months.

Please note that APCA staff cannot comment on or make predictions regarding possible compliance reviews or hearing outcomes.

Compliance Review Process:

A Compliance Review is initiated upon receipt or discovery of a Compliance Violation as it relates to an Applicant, Candidate, Registrant, or Certificant. The following are possible report methods of a Compliance violation:

Self-report,
Third-party Complaint, or
APCA Discovery
The APCA Compliance Department will initiate an administrative Compliance Review regarding matter(s) that, if true, violates one or more of the Compliance Standards. Upon completion of the administrative investigation the Compliance Department will forward substantiated violations to the Compliance Review Panel for their review and determination.

Compliance Review Panel:

The Compliance Review Panel (“Review Panel”) is comprised of three APCA certified members, or such other peer professionals, as appointed by the chair of the Inteleos Board of Directors. The members will not have had any prior involvement in the cases presented and will not have any personal or professional conflict of interest relative to the cases. Should any member of the Review Panel have had prior involvement or a personal/professional conflict relative to the cases presented, the Review Panel member shall be recused. The chair of the Inteleos Board of Directors will then temporarily appoint an alternate member to serve on the Panel; the alternate will be selected from a pool of alternates appointed by the Chair of the Inteleos Board of Directors.

The Review Panel may choose to issue a determination or refer the matter to the Compliance Hearing Panel for formal review and determination of whether a sanction is appropriate. For more information regarding the Review Panel, see Section 5.4 of the APCA Compliance Policies.

Compliance Hearing Panel:

The Compliance Hearing Panel (“Hearing Panel”) will be comprised of three APCA certified members or such other peer professionals and may include public representation as appointed by the chair of the Inteleos Board of Directors. The members will not have had any prior involvement in the cases presented and will not have any personal or professional conflict of interest relative to the cases. Should any member of the Hearing Panel: 1) not be able to participate during the designated hearing date and time, or 2) have had prior involvement or a personal/professional conflict relative to the case presented, the Panel member shall be recused. The Chair of the Inteleos Board of Directors will then temporarily appoint an alternate member to serve on the Panel; the alternate will be selected from a pool of alternates appointed by the chair of the Inteleos Board of Directors.

The Hearing Panel may consider any evidence that it deems to be appropriate and relevant. The Hearing Panel will sanction the Respondent only when there is clear and convincing evidence of a violation of Compliance Policies under Section 1.1 (Compliance Violations).
The Hearing Panel may issue one of the following determinations:

A violation has not occurred;
A violation has occurred, but sanctions aren’t warranted;
They need more information before issuing a determination; or
Sanctions are appropriate according to Section 3 (Sanctions) of the APCA Compliances Policies and might include a Reprimand, Censure Probation, Suspension, or Revocation
The Hearing Panel will render its determination by simple majority vote and ordinarily issue a written Order of Findings within thirty business days of the Compliance Hearing.

The Respondent does have the right to appeal within thirty business days of receipt of the Compliance Hearing Panel’s determination. See Compliance Appeal Panel for more information.

Compliance Appeal Panel:

The Compliance Appeal Panel (“Appeal Panel”) will be comprised of three APCA certified members, or such other peer professionals, as appointed by the chair of the Inteleos Board of Directors. The members will not have had any prior involvement in the cases presented and will not have any personal or professional conflict of interest relative to the cases. Should any member of the Appeal Panel: 1) not be able to participate during the designated hearing date and time, or 2) have had prior involvement or a personal/professional conflict relative to the case presented, the Appeal Panel member shall be recused. The chair of the Inteleos Board of Directors will then temporarily appoint an alternate member to serve on the Panel; the alternate will be selected from a pool of alternates appointed by the Chair of the Inteleos Board of Directors.

The Compliance Appeal Panel will consider the appeal in a closed hearing. Neither the Respondent nor any representative on behalf of the Respondent, is permitted to participate in the appeal hearing.

In considering the appeal, the Compliance Appeal Panel will review a written record of the case developed by the Compliance Hearing Panel and any additional materials that the Respondent may submit.

If you have received a determination from the Hearing Panel and wish to appeal, the following is fee and documents are required:

Compliance Appeal Fee ($500), paid via your MY APCA portal,
Upload the following documentation to your MY APCA portal:
Written statement request for an appeal, outlining why you feel the determination needs an appeal
Any supporting documentation/information that supports your appeal that was not previously included in the Compliance Hearing File presented during your hearing, if applicable
By simple majority vote, the Appeal Panel will make one of the following determinations outlined in Section 7.5 of the APCA Compliance Policies.

Compliance Reinstatement Panel:

If the sanction imposed by the Hearing Panel does not preclude the Respondent from requesting reinstatement of their certification status or eligibility to apply for examinations, the Respondent may make a request for reinstatement of such to the Compliance Reinstatement Panel; the Reinstatement Panel reviews such requests. See Section 8 of the APCA Compliance Policies for further information.

• Compliance Review Fee: $150 USD
  • This fee is for all Applicants, Candidates, Registrants or Certificants going through the Compliance review process.

Additional fees will be required, depending on the level of review required to issue a final determination:

• Compliance Hearing Panel
  • Individuals may attend the Compliance Hearing virtually or in-person:
    • Virtual Attendance: $100
    • In-person Attendance: $500
• Compliance Appeal Panel
  • If the Individual wishes to appeal the Hearing Panel’s determination:
    • Appeal Hearing Fee: $500
• Compliance Reinstatement Panel
  • Should the Individual wish to request a Reinstatement Hearing:
    • Reinstatement Hearing Fee: $300