Overview of Alabama Law governing disciplinary actions against Occupational Therapist.

Complaints and Disciplinary Proceedings are governed by Code of Alabama: Section 34-39-16

Section 34-39-16 states:

Complaints; notice and hearing; judicial review.

(a) Any person may file a complaint with the board against any licensed occupational therapist or licensed occupational therapy assistant in the state charging the person with having violated the provisions of this chapter. The complaint shall set forth specifications of charges in sufficient detail so as to disclose to the accused fully and completely the alleged acts of misconduct for which he or she is charged. When such complaint is filed, the secretary of the board shall mail a copy thereof to the accused by registered mail at his or her address of record, with a written notice of the time and place of hearing thereof, advising him or her that he or she may be present in person and by counsel if he or she so desires, to offer evidence and be heard in his or her defense.

(b) At the time and place fixed for the hearing, the board shall receive evidence upon the subject matter under consideration and shall accord the person against whom charges are preferred a full and fair opportunity to be heard in his or her defense. The board shall be bound by the rules of evidence in contested cases under Section 41-22-13 of the Alabama Administrative Procedure Statute and all oral testimony considered by the board must be under oath. If the board finds that the licensed occupational therapist or the licensed occupational therapy assistant has violated the provisions of this chapter, it shall immediately suspend or revoke his or her licensure.

(c) The action of the board in suspending, revoking, or refusing to issue a license may be appealed to the Circuit Court of Montgomery County accompanied by a bond to be approved by the court. The notice of appeal shall be filed within 30 days from the receipt of such order or ruling. Appeals shall be governed by the judicial review provisions of Section 41-22-20 of the Alabama Administrative Procedure Statute, except that the review procedure provided therein shall not suspend the action of the board nor stay the enforcement of any order in the suspension, revocation, or refusal of a license.

(Acts 1990, No. 90-383, p. 515, §16; Acts 1991, No. 91-165, p. 221, §3.)

Alabama Administrative Code Chapter 625-x-9 outlines grounds for denial of licensure and reads:

CHAPTER 625-X-9
GROUNDS FOR DENIAL, REFUSAL TO RENEW,
SUSPENSION, REVOCATION, OR IMPOSITION OF
PROBATIONARY CONDITIONS

TABLE OF CONTENTS

625-X-9-.01 Grounds For Denial, Refusal To Renew,
Suspension, Revocation, Or Imposition Of
Probationary Conditions
625-X-9-.02 Unprofessional Conduct
625-X-9-.03 Sanctions
625-X-9-.04 Reinstatement


625-X-9-.01 Grounds For Denial, Refusal To Renew, Suspension, Revocation, Or
Imposition Of Probationary Conditions.
(1) The Board may deny, refuse to renew, suspend, revoke, or impose probationary conditions where the licensee or applicant for licensure has engaged in unprofessional conduct which has endangered or is likely to endanger the health, welfare, or safety of the public. Such unprofessional conduct shall include:
(a) Engaging in fraud, misrepresentation or concealment of material facts in obtaining or
seeking to obtain a license or limited permit.
(b) Engaging in unprofessional conduct or violating the code of ethics as adopted by the Board.
(c) Being convicted of a criminal offense in any court if the act for which the licensee or applicant for licensure was convicted is determined by the Board to constitute an offense of moral turpitude.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-12
History: Filed January 7, 1992.

625-X-9-.02 Unprofessional Conduct.
(1) Code of Alabama 1975, §34-39-3, provides in part, that no occupational therapy treatment programs to be rendered by an Occupational Therapist or Occupational Therapy Assistant, or Occupational Therapy Aide shall be initiated without a referral of a physician or dentist who shall establish a medical diagnosis of the condition for which the individual will receive occupational therapy services, except Occupational Therapists employed by state agencies and those employed by the public schools and colleges of this state who provide screening and rehabilitation services for the educationally related needs of the students.
(2) An Occupational Therapist or an Occupational Therapy Assistant shall not delegate to an unlicensed employee or person under his or her control or supervision a service which requires the skill, knowledge, or judgment of an Occupational Therapist or an Occupational Therapy Assistant.
(3) An Occupational Therapist or Occupational Therapy Assistant shall inform the referring source when any requested treatment procedure is inadvisable or contraindicated, and shall refuse to carry out the orders of a referring practitioner when the requested treatment is inadvisable or contraindicated.
(4) An Occupational Therapist or an Occupational Therapy Assistant shall not continue treatment beyond the point of possible benefit to the patient or treat more frequently than necessary to obtain the maximum therapeutic effect.
(5) An Occupational Therapist or an Occupational Therapy Assistant shall not permit another person to use his or her license for any purpose.
(6) An Occupational Therapist or an Occupational Therapy Assistant shall not verbally, physically or otherwise abuse a patient.
(7) An Occupational Therapist or an Occupational Therapy Assistant shall not engage in false or misleading advertising, betrayal of professional confidence, or falsification of patient's records.
(8) An Occupational Therapist or an Occupational Therapy Assistant shall not submit a false report of continuing education or fail to submit the annual report on continuing education.
(9) An Occupational Therapist or an Occupational Therapy Assistant shall notify the Board within 30 days after the occurrence of any judgment or settlement of a malpractice claim or action.
(10) An Occupational Therapist or an Occupational Therapy Assistant shall comply with any subpoena issued by the Board.
(11) An Occupational Therapist or an Occupational Therapy Assistant shall report to the Board any violation of these regulations.
(12) An Occupational Therapist or an Occupational Therapy Assistant shall not directly or indirectly request, receive or participate in the dividing, transferring, assigning, rebating or refunding of an unearned fee nor shall an Occupational Therapist or an Occupational Therapy Assistant profit by means of a credit or other valuable consideration as an unearned commission, discount or gratuity in connection with the furnishing of occupational therapy assessment or treatment.
(13) An Occupational Therapist or Occupational Therapy Assistant shall not exercise influence on patients to purchase equipment produced or supplied by a company by which the Occupational Therapist or Occupational Therapy Assistant owns stock or has any other direct or indirect financial interest.
(14) An Occupational Therapist or Occupational Therapy Assistant should be responsible for providing services without regard to race, creed, national origin, sex, age, handicap, disease, social status, financial status, or religious affiliation.
(15) An Occupational Therapist or Occupational Therapy Assistant shall inform patients of the nature and potential outcomes of treatment and shall respect the right of potential recipients of services to refuse treatment.
(16) An Occupational Therapist or Occupational Therapy Assistant shall inform patients involved in education or research activities of the potential outcome of those activities.
(17) An Occupational Therapist or Occupational Therapy Assistant shall include patients in the treatment planning process.
(18) An Occupational Therapist or Occupational Therapy Assistant shall maintain goal-directed and objective relationships with all patients.
(19) An Occupational Therapist or Occupational Therapy Assistant shall protect the confidential nature of information gained from educational practice and investigational activities unless sharing such information is necessary to protect the well-being of a third party.
(20) An Occupational Therapist or Occupational Therapy Assistant shall take all reasonable precautions to avoid harm to the recipient of services or detriment to the recipient's property.
(21) An Occupational Therapist or Occupational Therapy Assistant shall function within the parameter of his or her competence and the standards of the profession.
(22) An Occupational Therapist or Occupational Therapy Assistant shall refer clients to other service providers or consult with other service providers when additional knowledge and expertise is required.
(23) An Occupational Therapist or Occupational Therapy Assistant shall be acquainted with applicable state, federal, and institutional rules and shall practice accordingly.
(24) An Occupational Therapist or Occupational Therapy Assistant shall inform employers, employees and colleagues about those laws and administrative rules of the Board policies that apply to the profession of occupational therapy.
(25) An Occupational Therapist or Occupational Therapy Assistant shall require those whom they supervise to adhere to ethical standards of conduct.
(26) An Occupational Therapist or Occupational Therapy Assistant shall accurately record and report client information.
(27) An Occupational Therapist or Occupational Therapy Assistant shall accurately represent his or her competence and training to the public.
(28) An Occupational Therapist or Occupational Therapy Assistant shall not use or participate in the use of any form of communication that contains a false, fraudulent, deceptive or unfair statement or claim.
(29) An Occupational Therapist or Occupational Therapy Assistant shall report any illegal, incompetent or unethical practice to this Board.
(30) An Occupational Therapist or Occupational Therapy Assistant shall not disclose privileged/confidential information when participating in reviews of peers, programs, or systems.
(31) An Occupational Therapist or Occupational Therapy Assistant who employs or supervises colleagues shall provide appropriate supervision.
(32) An Occupational Therapist or Occupational Therapy Assistant shall recognize the contributions of colleagues when disseminating professional information.
(33) An Occupational Therapist or Occupational Therapy Assistant shall not obtain, possess, or attempt to obtain or possess a controlled substance without lawful authority, nor shall an Occupational Therapist or Occupational Therapy Assistant sell, prescribe, give away, or administer controlled substances in the practice of occupational therapy.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-12
History: Filed January 7, 1992.

625-X-9-.03 Sanctions.
(1) After a hearing as provided under §34-39-12, the Board may, in its discretion, revoke or suspend a license for such period of time as the Board believes to be warranted by the facts and evidence presented.
(2) The Board may, in lieu of revoking or suspending a license, place the licensee on probation for a period not to exceed one year, except that if the adjudication of the violation is the second such adjudication within five years, the licensee shall not be entitled to probation.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-12
History: Filed January 7, 1992.

625-X-9-.04 Reinstatement.
(1) A suspended license may be considered for reinstatement upon the filing of an application for reinstatement by the licensee and determination by the Board that the period of suspension has expired, in accordance with the provisions of §34-39-12.
(2) (a) A revoked license shall only be reinstated if the applicant has fully complied with all of the provisions of §34-39-12.
(b) An individual whose license has been revoked may not apply for reinstatement under the provisions of this regulation for a period of one year from the entry of the Order of the Board, or, if the decision is appealed, from the date the appeal is finally resolved or an endorsement of finality is entered by the appropriate appellate court. Hearings upon application for reinstatement shall be held in accordance with the provisions of §34-39-12.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-12
History: Filed January 7, 1992.


Alabama Administrative Code 625-x-10 governs disciplinary proceedings and reads :
CHAPTER 625-X-10
DISCIPLINARY PROCEEDINGS

TABLE OF CONTENTS

625-X-10-.01 Complaints
625-X-10-.02 Probable Cause
625-X-10-.03 Summons And Complaints
625-X-10-.04 Pre-Hearing Discovery


625-X-10-.01 Complaints. Complaints alleging any violation of the laws of the State of Alabama or rules of this Board may be lodged by any person with the Executive Director.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-6, 34-39-16
History: Filed January 7, 1992.

625-X-10-.02 Probable Cause. Except as otherwise provided by statute or administrative rule of the Board, the Executive Director, upon the lodging of a complaint, shall consult with the Board's attorney to determine whether probable cause exists for the issuance of a summons and complaint.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-6, 34-39-16
History: Filed January 7, 1992.

625-X-10-.03 Summons And Complaint.
(1) Preparation: In the event the Executive Director determines that probable cause exists for the filing of a Summons and Complaint, the Executive Director shall instruct its legal counsel to prepare such.
(2) Except as otherwise provided by statute or administrative rule of the Board, a summons and complaint shall be sent, certified mail return receipt requested, to the most recent address of the Respondent on file and shall be mailed at least 35 days prior to the scheduled date of the hearing. In the event the summons and complaint is refused or the return receipt has not been received by the Board for its attorney at least 25 days before the scheduled hearing, the Respondent may be served by mailing a copy of the summons and complaint first class mail at least 22 days before the hearing date.
(3) Contents: The summons and complaints shall give notice in substantial compliance with the Alabama Administrative Procedure Act 12(2), (Code of Alabama 1975, §41-22-12 (a)(b)(2)).
(4) Counsel for the Board may amend the probable cause note as deemed appropriate, subject to approval by the Board at disciplinary hearings.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-6, 34-39-16
History: Filed January 7, 1992.

625-X-10-.04 Pre-Hearing Discovery.
(1) Permitted. Pre-hearing discovery shall be permitted in accordance with this rule to the extent necessary to prevent fraud, conserve the Board's time, prevent undue surprise at hearing, and facilitate the carriage of justice.
(2) Extent Allowed. The attorney for the Board of the Respondent may, upon application to the Chairperson, obtain discovery regarding any matter not privileged which is relevant to the subject matter involved in the pending action, whether it relates to the charge of the Board or the Defense of the Respondent.
(3) Methods of Discovery.
(a) Upon written application to the Chairperson, the following discovery shall be allowed or ordered:
1. Deposition upon oral examination of any expert witness
2. Interrogatories to Respondent
3. Order for production and copying of documents
and entry upon land for inspection and other
purposes, against any person.
(b) The discovery must be had in accordance with any terms and conditions imposed by the Chairperson. The Chairperson may impose any such terms and conditions as are just upon discovery in order to protect a person from annoyance, embarrassment, oppression, or undue burden or expense.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-6, 34-39-16
History: Filed January 7, 1992.


Alabama Administrative Code 625-x-11 describes the process for Administrative Hearings:
CHAPTER 625-X-11
ADMINISTRATIVE HEARINGS

TABLE OF CONTENTS

625-X-11-.01 Administrative Hearings
625-X-11-.02 Discipline
625-X-11-.03 Costs
625-X-11-.04 Reinstatement Of License
625-X-11-.05 Conflict And Bias


625-X-11-.01 Administrative Hearings.
(1) Conduct of Hearing.
(a) Hearing Examiners. The Board may, in its discretion, appoint some person to act as hearing examiner at disciplinary hearings. In the event a hearing examiner is appointed, he/she shall preside at the hearing and shall rule on all questions of evidence and procedure notwithstanding any other provisions of these rules to the contrary, with the exception of any pre-hearing motions which may be filed.
(b) Plea. The respondent shall plea either "guilty" or "not guilty" to the charges set forth in the complaint.
(c) Opening Statement. Each side shall be permitted to make a short opening statement.
(d) The state shall present its evidence followed by the respondent, followed by rebuttal by the state. Each witness called may be examined in the following manner:
1. Direct examination
2. Cross examination
3. Examination by Board
4. Re-direct examination
5. Re-cross examination
6. Re-examination by Board.
(e) Closing Argument. Each side shall be permitted to make a short closing statement summarizing the evidence presented and urging the application of relevant law to the evidence presented.
(f) The Board may request one or both sides to prepare within 7 days for the Board's consideration a proposed order of the Board including findings of fact, official notice and conclusion of law. Underlying facts of record which support findings shall be cited.
(g) Order. The Board shall issue an order within 30 days of the date of the final hearing, which shall include findings of fact, official notice taken, and conclusions of law, stated separately. Respondent shall be delivered a copy of the order by certified mail return receipt requested, and a copy shall be mailed first class to each attorney of record.
(2) Evidence. Evidence shall be admitted in accordance with the Alabama Administrative Procedure Act, §13. The probable cause note and any attachments thereto shall be admitted into evidence as a portion of the complaint without further authentication.
(3) Emergencies. The Board may in an emergency situation, when danger to the public health, safety and welfare requires, suspend a license without hearing or with an abbreviated hearing in accordance with the Alabama Administrative Procedure Act.
(4) Other. The hearing shall otherwise be conducted in compliance with the provisions of the Alabama Administrative Procedure Act.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-7, 34-39-16
History: Filed January 7, 1992.

625-X-11-.02 Discipline.
(1) Revocation or Suspension of License. Upon a finding that respondent has violated any enumerated statutory provision or any rule or regulation adopted pursuant thereto, the Board may revoke or suspend any license or permit heretofore issued by the Board and/or impose a civil penalty in accordance with applicable statute(s) or rule(s) or regulation(s).
(2) Stay of Execution of Order. The Board may, in its discretion, permanently or temporarily stay the execution of any order issued pursuant to subsection (1). The stay may be conditioned on any provision the Board deems appropriate under all the circumstances of a particular case.
(3) Consideration. In determining whether a license should be revoked or suspended, and whether execution of the order should be stayed, and upon what conditions, the Commission shall consider all relevant factors, including, but not limited to the following:
(a) the severity of the offense;
(b) the danger to the public;
(c) the number of repetitions of offenses;
(d) the length of time since the date of violation;
(e) the number of complaints filed against the licensee;
(f) the length of time the licensee has practiced;
(g) the actual damage, physical or otherwise, to the
patient;
(h) the deterrent effect of the penalty imposed;
(i) the effect of the penalty, upon the licensee's
livelihood;
(j) any efforts of rehabilitation; and
(k) any other mitigating or aggravating circumstances.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-7, 34-39-16
History: Filed January 7, 1992.

625-X-11-.03 Costs.
(1) The following costs may in the Board's discretion be taxed against any person who is subject to the regulatory authority of the Board pursuant to statute or rule or regulation:
(a) Preparation of Complaint
(b) Service of Complaint
(c) Witness Subpoena Fee, for each subpoena for a witness or production of a document.
Additional charges will be made for any actual expense incurred for any actual
subpoena.
(d) Discovery Costs. Actual expense incurred by Board in pre-hearing discover.
(e) Attendance Fee. Per diem charge for each Board member in attendance at a hearing
(one day minimum).
(f) Expert Witness Fees. All fees and expenses charged by any expert witness whose
services are reasonably necessary in the opinion of the Board for the prosecution of the
case who appears at a hearing or whose deposition is taken or whose services are
otherwise utilized.
(g) Travel Costs. Aggregate mileage incurred by all Board members in attending hearing
at state approved reimbursement rates.
(h) Reporter Appearance Fees. Actual cost.
(i) Hearing Room Fee. Actual cost, if any, incurred for hearing room.
(j) Appeal Transmission. Actual fee plus per page copying charge.
(k) Cancellation of Revoked License.
(2) As used in this rule, the term "Board Member" shall mean any employee or agent of the State of Alabama who appears at a hearing, including but not limited to Board Members, the Executive Director, attorneys for the Board, investigators and security officers.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-7, 34-39-16
History: Filed January 7, 1992.

625-X-11-.04 Reinstatement Of License.
(1) Application for Reinstatement. Any person whose license or permit of any kind has been revoked may apply to the Board for reinstatement of the license or permit at any time after one year of the revocation. In his/her application for reinstatement, the applicant should state why he/she feels the license or permit should be reinstated and should specifically set forth any changed circumstances which would justify reinstatement. Applicant must include in his/her application evidence that he/she meets the current requirements for licensure or for a permit.
(2) Board Action. Upon receipt of such application the Commission may grant applicant a hearing on reinstatement, at which time applicant may appeal to the Board to reinstate his/her license.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-7, 34-39-16
History: Filed January 7, 1992.

625-X-11-.05 Conflict And Bias.
(1) No Board Member shall be entitled to vote in any disciplinary matter if the Board Member is personally biased against the Respondent or when such voting would violate the provisions of the Alabama Procedure Act 18(1), (Code of Alabama 1975, §41-22-18).
(2) Any respondent in a disciplinary action who wishes to assert bias or conflict may do so by filing with the Board at least three days before the scheduled disciplinary hearing an affidavit asserting the disqualification together with the underlying factual bias for the assertion.
(3) The Board shall consider the assertion of disqualification on the record as a preliminary matter at the hearing before any other question is decided.
Author: Alabama State Board of Occupational Therapy
Statutory Authority: Code of Alabama 1975, §34-39-7, 34-39-16
History: Filed January 7, 1992.

Alabama State Board of Occupational Therapy Location

64 North Union Street, Suite 734
Montgomery, AL 36130-4510
P (334) 353-4466
F (334) 353-4465
Website: http://www.ot.alabama.gov/