I. CONFIDENTIALITY of PROCEEDINGS

Except as is otherwise provided herein, all information received and all reports, decisions files, transcripts or any other documents, of any kind, generated or received during the course of a disciplinary proceeding shall be kept confidential by the FCB and the respondent.

II. CODE of CONDUCT SANCTIONS

1. Possible sanctions for violation of the Code of Conduct include:
   1. Denial of application for certification, at any level, by FCB.
   2. Written Caution
   3. Public Reprimand
   4. Suspension or Revocation of the following credentials:
      a. CAP, CAC, CAS
      b. CAPP, CAAPP-2, CAAPP-1
      c. CCJAP, CCJAC, CCJAS
      d. CBHT
2. The FCB may also impose fines, or education and training requirements in conjunction with any of the above sanctions. Fines will be imposed according to the following rates:
   1st Offense - $500.00
   2nd Offense - $750.00
   3rd Offense - $1,000.00
   A third offense within a two-year period shall result in immediate suspension or revocation of credential.
3. Past disciplinary actions taken against a certified professional or person seeking certification by FCB may be considered in setting sanctions. Two or more written cautions or reprimands issued against a certified professional by FCB in a two year period shall result in a suspension or a revocation of the certified professional's credential.
4. Except as may be provided for in a consent order, in all cases where a public reprimand, suspension, or revocation is issued by the FCB, there shall be cited in the FCB Briefings . . . a newsletter for addiction professionals the name of the respondent, the rule violated, and the sanction imposed, and in all cases where a revocation has been issued, the same information shall be published in the newspaper of record within the county where the offense occurred and in the newspaper of record within the county where the respondent is employed or was previously employed; and the same information shall be referred to other pertinent certifying/licensing organizations such as but not limited to the ICRC/AODA Data Bank, ICRC member states, the Florida Agency for Health Care Administration, the Florida Department of Health, the Florida Department of Children and Families, the Florida Department of Corrections, and the Florida Department of Juvenile Justice.

III. COMPLAINTS

1. Persons wishing to file a complaint against a certified professional or against a person seeking certification may do so by obtaining and filling out a formal complaint form. Complaint forms may be obtained from the FCB office.
2. All complaint forms must contain the complainant's address and a phone number where the complainant can be contacted. The complainant must sign and date the complaint form.
3. Completed complaint forms shall be mailed to:
   Executive Director-Investigation
   Florida Certification Board
   1715 South Gadsden Street
   Tallahassee, FL 32301
4. The Executive Director shall acknowledge receipt of the complaint and initiate the investigation process. The Executive Director, on behalf of the FCB, may file a complaint against a certified professional or against a person seeking certification.

IV. INVESTIGATION PROCESS

1. In all cases, the Executive Director shall, prior to beginning the review and/or investigation of a complaint, notify the respondent by certified mail of the name of the complainant(s), if any, and a copy of the complaint against him/her. Within 20 days or a time otherwise specified by the Executive Director, the respondent shall be entitled to submit a written response, including any documentary evidence and list of witnesses that the respondent believes will assist the Board in its review of the allegations of professional misconduct and disclose all facts and circumstances pertaining to the alleged misconduct, as well as the respondent's interpretation of the situation or conduct which is the subject of the investigation. Misrepresentation by a respondent, failure to provide information, or failure to cooperate with the investigation shall be independent grounds for disciplinary action.
2. The Executive Director shall conduct an initial review of all complaints and responses filed with the FCB.
3. The FCB recognizes that there may be some cultural differences regarding the interpretation of rules. In cases where cultural norms are used as a defense against a complaint, the Executive Director may seek assistance of cultural leaders, teachers, or elders to assist in understanding the cultural norms in question.
   The FCB, its Ethics Committee, and the Executive Director will strive to be appropriately sensitive to cultural differences throughout the disciplinary process.
4. After the initial review is complete, the Executive Director may (1) suggest to the Ethics Committee that it dismiss the complaint without further investigation or (2) initiate and direct an investigation, to the extent the Executive Director deems sufficient, of any or all allegations of professional misconduct against a certified professional or person seeking certification, regardless of whether such allegations come to the Board's attention by means of a formal complaint, during the course of the disciplinary process, or by any other means. In supervising investigations, the Executive Director may use the FCB Complaints Investigator and other investigators where deemed appropriate. Except as otherwise provided herein, all FCB investigatory information remains confidential to the Board and its committee. If during the course of the investigation it appears that criminal behavior may have occurred, the FCB's Executive Director may report the alleged criminal behavior to the appropriate authority.
5. If a complaint has been filed, the Executive Director may, at his or her discretion, proceed with an investigation even if the complainant subsequently requests that the complaint be withdrawn.
6. In cases where, upon initial review, the Executive Director deems that no violation has occurred and that no further investigation is warranted, this conclusion shall be reported in writing to the Ethics Committee at its next quarterly meeting.
7. In cases in which an investigation has been conducted, the Executive Director shall submit an Investigation Summary Report to the Ethics Committee, at its next quarterly meeting, recommending either that the complaint be dismissed or that disciplinary action be imposed. The grounds for the recommendation shall be stated in the report and, if disciplinary action is recommended, a statement of the nature of discipline recommended shall be made. A copy of the entire case shall be included with the report. In the event that the Executive Director has a conflict of interest with any party, the Executive Director will abdicate all responsibilities to the Ethics Committee Chairperson and shall excuse himself/herself from any involvement in the procedure.

V. ACTION by the ETHICS COMMITTEE

1. Within 30 days of receipt of a recommendation from the Executive Director, the Ethics Committee shall issue a written Decision to the Executive Director based on the materials provided by the Executive Director, calling for one of the following:
   1. Dismissal of the complaint;
   2. Return of the complaint to the Executive Director for further investigation; or,
   3. Imposition of sanctions.
2. If the Ethics Committee imposes a sanction, the Decision shall include Findings of Fact, a Conclusion as to which Rules of Conduct have been violated, and the sanction to be imposed. The Decision shall recite the nature of the complaint, a summary of the investigation conducted, and the respondent's rebuttal to the complaint.
3. Within seven (7) days after the issuance of the Ethics Committee's Decision, the Executive Director shall mail a copy to the complainant and respondent, by certified mail, together with a notice of the right to appeal any Ethics Committee Decision.
4. If a request for an Appeal Hearing is timely filed, all administrative procedure shall be stayed pending the decision of the Hearing Committee. However, in the event that a request for appeal is not filed within the time period prescribed hereafter, the Decision of the Ethics Committee shall be final, and any disciplinary action imposed shall take effect upon passage of the prescribed time period.

VI. APPEAL PROCESS

1. Either the complainant or the respondent may appeal the decision by submitting a request for an appeal hearing to the FCB. Such requests shall be mailed to the FCB by certified mail and postmarked no later than twenty (20) days after receipt of the Decision. Appeal requests should be addressed to: President, Board of Directors " Florida Certification Board " 1715 South Gadsden Street " Tallahassee, FL 32301.
2. If a timely request for an appeal hearing is submitted to the FCB, the Board shall appoint a Hearing Committee. No member of the Hearing Committee shall be a member of the Ethics Committee, nor shall anyone be appointed to the Hearing Committee who has a potential or actual conflict of interest with either the complainant or the respondent. All potential conflicts of interest will be disclosed and discussed prior to the appointment.
3. Within twenty-one (21) days after the FCB receives a request for an appeal hearing, a hearing into the facts contained in the Decision of the Ethics Committee shall be scheduled, and the Executive Director shall send by certified mail a notice of the hearing to the complainant and the respondent. The hearing shall be scheduled no less than twenty-one (21) days nor more than ninety (90) days from the date of the hearing notice.
4. The notice of hearing shall advise the respondent and the complainant of the following:
1. The date, time, and the location of the hearing and the identity of the Hearing Committee members.
2. Any party, at the party's own expense, may be represented by counsel at the hearing.
3. The Ethics Committee or its representative shall present evidence in support of its recommendation at the hearing. Such evidence shall be limited to the issues and charges contained in the Decision of the Ethics Committee previously served.
4. The appealing party may present and rebut evidence and present and cross-examine witnesses.
5. The Hearing Committee shall not be bound by common law or statutory rules of evidence, and the Hearing Committee may consider all evidence having reasonable probative value, but a decision to impose discipline may not be based solely on a declarant's oral hearsay statement unless it would be admissible under common law or statutory rules of evidence.
6. The Hearing Committee will base its decision as to whether a violation of the Code of Conduct has occurred solely upon the evidence presented at the hearing.
7. Any party, at its own expense, may have a registered court reporter present to transcribe the proceedings, provided that the FCB is notified of such election at least five (5) days prior to the hearing and is supplied with a copy of the transcript.
8. No discovery shall be permitted, and no access to FCB files shall be allowed to the respondent or the complainant.
9. Any request for postponement of the hearing must be immediately served in writing to the FCB, and the decision to grant or deny such request is discretionary with the FCB, acting through its representative.
10. There shall be no contact prior to the hearing between the complainant and the respondent, nor shall the complainant or the respondent be in contact with any FCB members for the purpose of discussing in any way the complaint or the Decision of the Ethics Committee.
5. The Hearing shall be governed by the following rules:
   1. The appealing party shall have the burden of proof at the Hearing and shall present its case to the Hearing Committee first with a right to rebut the Ethics Committee's presentation.
   2. Evidence may be presented and witnesses examined and cross-examined by both sides. The evidence presented by the Ethics Committee shall be limited to the issues and charges contained in the Decision of the Ethics Committee previously served on the complainant and respondent.
   3. The Hearing Committee shall not be bound by common law or statutory rules of evidence and may consider all evidence having reasonable probative value. However, a decision to impose discipline shall not be based solely on a declarant's oral hearsay statement unless it would be admissible under common law or statutory rules of evidence.
   4. The hearing shall be presided over by a Hearing Officer, and objections concerning evidence shall be resolved by the Officer. The Hearing Officer shall be a non-voting member of the Hearing Committee.
   5. The Hearing Committee's Decision shall be based solely upon the testimony and evidence presented at the hearing.
   6. The hearing shall be closed to the public.
6. Failure of the appealing party to attend the hearing shall be deemed a waiver of the appeal. In such cases the hearing will be dismissed and the Decision of the Ethics Committee shall take immediate effect.
7. Within twenty-one (21) days after the completion of the hearing, the Hearing Committee shall prepare a written decision containing Findings of Fact and a Conclusion as to whether any of the ethical principles or rules of the certified professional Code of Conduct have been breached. If the Hearing Committee determines that the respondent did breach the Code of Conduct, the committee will impose a disciplinary sanction, which shall be specified in the Committee's decision. The Hearing Committee shall submit its decision to the FCB's Executive Director who shall mail a copy of the decision to the complainant and respondent by certified mail.
8. The decision of the Hearing Committee shall be deemed that of the FCB, shall be effective upon issuance or at such date as the Hearing Committee shall specify, and shall be final, without further action by the FCB.
9. At any time prior to the issuance of the Hearing Committee's written decision, the respondent, complainant and/or the FCB, acting through its representative, may enter into a consent order. Such consent order shall state the nature of the complaint and the sanctions agreed upon and shall supersede any prior decision in the case. Sanctions imposed pursuant to a consent order are not limited to those listed under Section I.

VII. PROCEDURES and REINSTATEMENT FOLLOWING DISCIPLINARY ACTION

1. If a certified professional's FCB credential has been suspended or revoked and the certified professional does not appeal the Ethics Committee's Decision, or if the Hearing Committee upholds the suspension or revocation imposed by the Ethics Committee, the certified professional shall return his or her credential certificate and the FCB identification card to the FCB office no later than twenty-one (21) days after the suspension or revocation takes effect. The FCB credential certificate and identification card remain the property of the FCB.
2. FCB credential reinstatement following a suspension: Upon expiration of the suspension period, the Ethics Committee shall authorize reinstatement of the certified professional for the balance of the certified professional's certification period, or allow a certified professional previously in process to reapply unless:
   1. Another suspension or revocation of the respondent's certification or application for certified professional certification has occurred; or
   2. The respondent has committed another violation of the Certified professional Code of Conduct; or
   3. The respondent has failed to remit the annual recertification fees/continuing education requirements by the end of the annual renewal period; or
   4. The respondent has failed to comply fully with the terms of his or her suspension.
3. FCB credential reinstatement following revocation: Following a respondent's FCB credential revocation, the FCB maintains sole discretion to grant the respondent permission to petition for removal of revocation. Such petition shall only be considered after:
   1. The passage of thirty-six (36) months from the effective date of the revocation;
   2. The respondent seeking such permission has submitted a written request and provided the Ethics Committee a reasonable rationale as to why permission should be granted; and
   3. The respondent has reimbursed the FCB for the costs of the disciplinary proceedings, which costs shall be limited to the costs of investigation, the attorney fees, if any, incurred by the Board in the investigation and prosecution of the disciplinary proceedings, and any hearing costs including, but not limited to, the fees of the Hearing Officer which have been incurred by the Board.
   4. In the event that FCB approves a petition for removal of revocation, the respondent must follow the procedures prescribed for normal applications through the application process for certification and pass all required exams.