P reli m i n a ry I nve slig ali o n s

A preliminary investigation provides an opportunity to obtain more information from the respondent in order to determine whether to close an investigation or open a formal case. A preliminary investigation is opened if the Ethics Office and the chair or vice chair of the Ethics Committee agree that more information is needed. The processof asking questionsand obtaining additional information also provides an opportunity to educatethe respondent about the areasof possible ethical concern. Table 2 presents data on preliminaty investigations from 2006 through 2010. Thirty-five preliminary investigations (29 complainant,5 sua sponte,and 1 show cause) were carried into 2010 from 2009, and 9 new preliminary investigationswere opened(all from complainantmatters). Twenty complaints were closed at that stage(19 complainant and 1 sua sponte), and 2 were opened as formal cases (l show cause and I sua sponte matter). Therefore, 22 preliminary investigationswere carried into 2011 (19 complainant, 3 sua sponte, and no show cause). Of the 20 investigationsclosed at the preliminary investigationstage, 5 resultedin a nondisciplinaryeducativeletter being sentto the respondentalong with the closing letter. Preliminary investigations continue to be primarily, although not exclusively, focused on complainant matters. Of the 104 preliminary investigations opened between 2006 and 2010, 92 werc complainant matters. Of the 12 preliminary investigationsthat were openedas casesduring that same time frame, 10 were complainant matters. One show cause and one sua sponte preliminary investigation resulted in a case being opened. Formal Cases

Toble 3 Coses Opened ond Closed, 2006-2010

Yeor
Cqrried in

Opened

Totol qctive

Closed

2006 2007 2008 2009 20r0 2011

46 55 64 67 58 56

29 32 l8* l5* 20

75 87 B2 82 78

20 23 l5 24* 22

Nofe. Those figuresin thistoble morkedwith on osterisk hovebeencorrected reports. Additionolinformotion be obtoinedby contocting con the !9m previous Ethics Office.

A formal case is opened in a complainant matter if the Ethics Office and chair of the Ethics Committee determine that causefor action exists to chargethe respondent with an ethical violation. A formal case rs also opened in a show cause matter when the Ethics Office and vice chair of the

Toble 2 P19ljry 11hve sti otions Opened ond CIo sed, in^a g 2006-20t 0
Yeor Corriedin Opened Totol octive Closed Opened os cose

2006 2007 2008 2009 2010 2011

28 22

3r

30 35 22

24 25 26 20* 9

52 47 57 50 44

26 l6 23 l3 20

4 0 4 2 2

Note. "Opened os cqse" indicotes thot the preliminoryinvestiqotion hqs ended."Corriedin" is reduced the number by clbsedond ihe numbler opened os coses.The figure in this toble morkedwith on osteriskhos been corrected floqlhe previous report.Additionolinformotion con be obtoinedby contocting the Ethics Office.

Ethics Committee determine the notice received by the Ethics Office involves a felony conviction or seriousaction taken against the respondent's license (a predicate) and behavior that is expellable. A formal case is opened in a sua sponte matter when the Ethics Office and vice chair determine that cause for action exists and that the notice receivedinvolves behavior that is expellablein spite of the lack of a serious sanction by a licensing board. Table 3 presents data for cases from 2006 through 2010. Fifty-eight cases(7 complainant, 7 sua sponte,and 44 show cause)were carried into 2010 from 2009, and 20 new caseswere opened(none from complainantmatters,3 from sua spontematters, and 17 from show causematters). The number of cases active during the year was 78 (7 complainant, 10 sua sponte, and 61 show cause), a relatively stable number compared with the averagenumber of casesactive since 2006. Twenty-two caseswere closed in 2010 (4 complainant, 2 sua sponte, and 16 show cause). Therefore, 56 cases(3 complainant, 8 sua sponte, and 45 show cause) were carried into 2011. Of the 114 cases opened between 2006 and 2010, 1l were complainant matters, 19 were sua sponte matters, and 84 were show causematters. Previous reports of the Ethics Committee have discussed primary and multiple categories of cases opened during the year that included both the sourceof a case(e.g., licensing board disciplinary action) and underlying behavior (e.g., sexual misconduct). In this report, Table 4 provides information regarding the source of the case, and Table 5 provides information regarding the underlying behavior. Table 4 demonstrates that casesinitiated on the basis of disciplinary actions or felony convictions continue to be the most frequent type of case being opened.In 2070, 79 out of 20 casesopened(957o)were suchmatters.This is the first year in which this analysis has been used, but the percentage is similar to the average percentage for 2006 through 2010 (937o).Show causecasesin 2010 (17 out of 20) were based on the following types of actions against professionallicensesor felonies: 1l from loss of licensure, 3 from conviction of a felony, and 3 from other disciplinary

July-August 2011 . American Psychologist

399

Toble 4 in Opened 2010 of Sources Coses

New coses

Toble 5 in s of Cofegories Cose Opened 2010

Coseswith cotegory os o foctor Cotegory

No.

conviction Felony Loss licensure of from stoteossociotion Expulsion Molproctice O t herodiu d i c o ti o n fi Com ploin o n tl e d Other Totolcoses

4 12 0 0 3 1 0 20

20 60 0 0 t5 5 0 100

actions.No complainantcasesand 3 Suaspontecaseswere openedin 2010. The types of allegations resulting in newly opened casesin 2010 are shown in Table 5. It is important to note that these are not findings of violation but allegations.A case may have up to two categoriesof behavior assigned' Of the 11 cases(show cause and sua sponte combined) openedfollowing loss of licensurein 2010, sexualmisconduct was the underlying behavior in 4 cases(36Vo). For purposes of data analysis,the category of dual relationship is subdivided into four categories:sexual misconduct, which is further subdivided into adult and minor client categories; sexual harassment;and nonsexual dual relationship. Of all casesinvolving dual relationshrp,36Vo ll%o, were nonsexualin 2010, comparedwith 36Vo,29Vo, and 387o in 2006 through 2009, respectively. Four cases were openedregarding sexual dual relationshipsinvolving male psychologistswith female clients, and one case was openedinvolving a female psychologistwith a male client; one casewas openedinvolving a male psychologistwith a minor female client, and one casewas openedinvolving a male psychologist with a minor male client. One case involved sexual harassmentby a male psychologist of a female client. Two nonsexual dual relationshipsinvolved male psychologistswith female clients, and two nonsexual dual relationshipsinvolved female psychologistswith male clients. If a respondent does not provide a substantive responseto a show cause case within a specified period of time, he or she is automatically expelled from APA. One automaticexpulsion occurredin 2010. Since this automatic expulsion provision was added to the "Rules and Proceduies" in 2001, 15 respondentshave been automatically expelled. The length of time to processcaseshas typically been reported in terms of cases closed during the year under t"po.t. Accordingly, this figure may include substantial prbcessingtime that occurred in previous years. In addiiion, ptocessingtime may include lengthy periods in which the caseswere stayed pending the outcome of other proceedings,such as pending licensing board actions,appeals,

D uolrel oti onshi p odult misconduct, Sexuol minor misconduct, Sexuol Sexuolhorossment duol relotionshiP Nonsexuol professionol lnoppropriote proctice Child custody Hospitolizotion Hypnosis competence Outside cl C ontrol l i ng i ent to response crisis Inoppropriote Confidentiolity Inoppropriote p/termi notion follow-u Testmisuse problems Insuronce/fee professionol Inoppropriote relotions Other teoching, reseorch, Inoppropriote or odministrotive Proctice Authorship es/c controversi redits techniques reseorch lmproper P l ogi ori sm doto B i osi no of GrodiXg/violotion student rights pervision i Termnotion/su of Absence timelyevoluotions D i scri mi noti on subiects' Animolreseorch welfore Other publicstotements lnoppropriote Mi suse medi o of or froudulent, Folse, mi sl eodi ng Did not correct misrepresentotion obout ol P ubl i c l egoti on colleogue Other of to Foilure upholdstondords the profession to Response APA Ethics Committee to Adherence stondords Other Totolcoses

6 2 1 5 2 I 0 2 I I 0 0 0 0 0 I

30 t0 5 25 10 5 0 t0 5 5 0 0 0 0 0 5

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 I 20

0 0 5

is thot o percentoge not opplicoblehere becouse Note. The dosh indicotes PsychologAPA : Americon cotegories. in eochcosemoy be counted multiple icol Associotion.

July-August 2011 . American Psychologist