ETHICS
How AAEP takes disciplinary action after ethical infractions By Debbie Lamparter, VMD, and Kenton Morgan, DVM
Dr. Debbie Lamparter
The directive of your Professional Conduct and Ethics Committee (PC&EC) is: To review and analyze ethical issues facing the AAEP membership; to formulate and review recommendations relative to AAEP position statements as they pertain to ethical practice; to develop and conduct a review procedure for evaluating complaints and allegations of unethical practice by AAEP members; and, to recommend disciplinary action to the board regarding membership privileges.
Dr. Kenton Morgan
The AAEP occasionally receives questions about the activities of the PC&EC and its processes concerning ethical infractions of the membership. All of this infor- mation can be found in the AAEP’s Resource Guide and Membership Directory or online at
aaep.org/ ethics/ethical-guidelines.
Limits to disciplinary action It is important to remember the AAEP has no regulatory authority and can exercise oversight only as it pertains to members of our association. Disciplinary action against a member for ethical infractions is generally limited to the denial or suspension of their AAEP membership.
Examples of when disciplinary action may be taken can include: • Action against a member, in relation to the practice of veterinary medicine, by any racing jurisdiction; organi- zations governing shows, sales and equine events; or breed associations/registries
• Action against a member, in relation to the practice of veterinary medicine, by any state licensing authority
• Failure to report any of the above actions when applying for AAEP membership or renewal
• Acts of fraud, misrepresentation, deceit or animal cruelty
• Violation of the AAEP ethical guidelines as recom- mended by the PC&EC based upon application review or a complaint submitted by another member in good standing or by the executive director
• Any other reason that the PC&EC believes, at its discretion, warrants denial or cancellation of membership or other disciplinary action
Ensuring fairness The PC&EC typically becomes aware of disciplinary action against a member either by contact from a regulatory body or industry organization, or through the public posting of such action by these same bodies. It is important that the AAEP await any rulings from a regulatory body or industry organization before proceeding with the review process by the PC&EC. This ensures that (1) all information related to the incident/case has been investigated and is complete and (2) the PC&EC has all the information necessary to proceed in a fair and unbiased manner.
The PC&EC can also receive a written complaint against a member(s) from another member in good standing. This is referred to as a member-on-member complaint.
The adjudication process Once the committee is made aware of any final regulatory ruling or receives a member-on-member complaint, the following process ensues as explained in the AAEP bylaws.
The member/applicant is contacted in writing with an explanation of the reason for the contact. This person then has 30 days to provide a written response. If no response is received within 30 days, the information that has been provided to the committee is considered to be true.
Any additional investigation into facts related to the proposed action can be exercised by the association. The response and any additional information are then reviewed by the PC&EC. The committee has 60 days to respond to the member/applicant. The committee, by majority vote, can dismiss the complaint, grant an extension or refer to a hearing.
If the case is referred to a hearing, the member must be provided with at least 60 days’ notice. Most hearings are conducted at the AAEP’s annual convention; however, there are allowances such that hearings may be granted at other locations and timelines. If a hearing is granted, the member/ applicant can have legal counsel present, have other witnesses testify on their behalf and provide any additional information/evidence related to the case. Following the hearing, the committee reviews all of the information and continued on page IV
Dr. Lamparter is chief state veterinarian for the New Jersey Racing Commission and a member of the AAEP’s Professional Conduct and Ethics Committee. Dr. Morgan is an equine veterinary specialist with Zoetis in Kansas City, Mo., and chair of the Professional Conduct and Ethics Committee.
AAEP News September 2018
III
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