Compliance Policies and Review Process
The Inteleos/ARDMS/APCA Compliance Department is responsible for performing administrative investigations of violations of the ARDMS Compliance Policies and APCA Compliance Policies.
If you suspect a compliance violation has been committed or have questions about how to report instances of fraud, cheating, criminal matters, disciplinary actions initiated by other boards, or examination security, visit Submit a Complaint.
Compliance violations can be reported with a Compliance Pre-Determination application, exam application, self-reported, or as a third-party complaint.
The videos below help explain the various report methods available to report a compliance violation and what to expect during the compliance review process.
Should you have a compliance question, please contact us.
Compliance Pre-determination Application (PDA)
A PDA lets you find out whether a prior criminal or disciplinary matter may affect your eligibility for certification — before you apply for an examination.
- A PDA is recommended if you have not yet applied for an exam and are considering a career in sonography or enrollment in a program.
- If you have already started or completed a program, or are ready to apply for an exam, skip the PDA and submit your examination application directly. The application includes questions about criminal and disciplinary matters where you can provide the relevant documentation.
Violation Reporting Requirements: Applicants, Candidates, Registrants
Applicants, Candidates, Registrants, and/or Certificants are required to report their involvement in any incident that constitutes a violation of the ARDMS or APCA Compliance Policies within fourteen business days of the violation incident, per section 1.11 of the Compliance Policies.
First-time Applicants must disclose all matters that are violations of the Compliance Policies with their initial application for examination(s). All future violations must then be reported within fourteen business days of the violation incident.
Compliance Review: Documentation / Information Requirements
The following documentation and/or information, as applicable, is required for ARDMS or APCA to complete the Compliance Review:
- A personally written statement explaining the underlying circumstances that led to the matter(s) in question.
- Documentation and/or information regarding the matter(s), as applicable:
| Topic | Questions to address |
| Charge details | What was the initial charge? What was the final disposition? What were the sentencing requirements? |
| Case status | Is the case closed? If not, what is still pending? |
| Circumstances | What was the situation and what were you doing (in full detail)? When did this happen? Where did it occur? Who were you with? Why did it happen? |
| Recurrence | Is there any likelihood of recurrence, and why or why not? |
| Note: If documentation is no longer available in court records, submit documentation from the court verifying that records have been purged or are otherwise no longer available. | |
| Topic | Questions to address |
| Injuries | Were any injuries sustained by any involved parties during the altercation? If so, explain. |
| Treatment | Have the courts ever ordered you to seek treatment, or have you voluntarily sought treatment? |
| Prior incidents | Has there been any similar circumstance or event prior to this matter? |
| Topic | Questions to address |
| Circumstances | What were the circumstances surrounding the matter? Where were you and what time did it occur? Were there any significant contributing factors? |
| People involved | Was anyone else involved (e.g., coworkers, patients, bystanders)? |
| Patient care | Were you working in a capacity to provide patient care? Was patient care provided or intended? Were any patients harmed or impacted? |
| Disciplinary action | Were there any disciplinary actions resulting from this matter (e.g., performance improvement plan, termination)? |
| Topic | Questions to address |
| Substance | What was the drug? How often do you use the drug? Is there a history of abuse or overuse? |
| Circumstances | What were/are the circumstances surrounding the use? |
| Impact | Has use ever impacted your personal or professional life? If so, how? Would the people in your life say you are dependent on the drug? |
| Treatment & recovery | Have the courts ever ordered you to seek treatment, or have you voluntarily sought treatment? How are you maintaining sobriety? |
| Topic | Questions to address |
| Use patterns | How often do you drink? Do you drink to intoxication? What is the setting when consuming alcohol? Is there a history of abuse or overuse? |
| Circumstances | What were/are the circumstances surrounding the use of the alcohol? |
| Impact | Has alcohol use ever impacted your personal or professional life? Is there any likelihood of recurrence (e.g., DUI, DWI, public intoxication), and why? |
| Treatment & recovery | Have the courts ever ordered you to seek treatment, or have you voluntarily sought treatment? Have you made any attempts to quit or reduce consumption? How are you maintaining sobriety? |
| Disciplinary Matters | |
| Prior sanctions | Have you been sanctioned, disciplined, or reprimanded by another certifying and/or licensing organization? |
| Circumstances | |
| Situation | What was the situation and what were you doing? (In full detail) |
| Date | When did this happen? |
| People involved | Who were you with? |
| Cause | Why did this happen? |
| Location | Where did this incident occur? |
| Patient impact | Were patients involved?
Were any patients harmed during this incident? |
| Recurrence | Is there any likelihood of recurrence, and why or why not? |
| Certification status | Is your certification/license active-unrestricted, active-restricted, or revoked? |
Compliance review fees
All individuals going through the compliance review process are assessed the base review fee.
| Stage | Description | Fee (USD) |
| Compliance review | Required for all applicants, candidates, registrants, and certificants entering the compliance process | $150 |
| Additional fees will be assessed, depending on the level of review required to issue a final determination: | ||
| Hearing — virtual | Compliance Hearing Panel — virtual attendance | $100 |
| Appeal | Compliance Appeal Panel — if the individual wishes to appeal the Hearing Panel’s determination | $500 |
| Reinstatement | Compliance Reinstatement Panel — if the individual requests a reinstatement hearing | $300 |
Previously Reviewed Compliance Violations and/or Previously Reported Violations
Previously reviewed compliance violations and/or previously reviewed compliance violations are not required to be re-reported.
Compliance Review Processing Time:
Applicants, Candidates, Registrants, and/or Certificants found to have violated Compliance Policies will be subject to a Compliance Review.
A Compliance Review may take between thirty days and six months to be completed. If the violation matter is referred for a Compliance Hearing, hearings are scheduled on a quarterly basis.
Please note, Inteleos/ARDMS/APCA staff cannot comment on or make predictions regarding possible compliance review or hearing outcomes.
A Compliance Review is initiated upon receipt and/or discovery of a Compliance Violation as it relates to an Applicant, Candidate, Registrant, and/or Certificant. The following are possible report methods of a Compliance violation:
- Self-report,
- Third-party Complaint, or
- Inteleos/ARDMS/APCA Discovery
The Inteleos/ARDMS/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.
The Compliance Review Panel (“Review Panel”) is comprised of three ARDMS 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 ARDMS or APCA Compliance Policies.
The Compliance Hearing Panel (“Hearing Panel”) will be comprised of three ARDMS or 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:
- No Action Taken – Dismissal of the matter due to insufficient evidence concerning the alleged violation under Section 1 (Compliance Violations), the matter being insufficiently serious, or for other appropriate reasons as determined by the Hearing Panel; or
- Issuance of sanction(s) pursuant to Section 3 (Sanctions) of the ARDMS or APCA Compliances Policies, which states the compliance action may include, but s not limited to: ineligibility for certification; probation or suspension of certification for a designated period pending completion of specified conditions such as monitoring, psychiatric or psychological evaluation, counseling, treatment or remedial education; written reprimand (formal expression of disapproval retained in the individual’s file but not publicly announced); censure (formal expression of disapproval that is publicly announced); or termination/revocation of certification.
The Hearing Panel will render its determination by simple majority vote and ordinarily will 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.
The Compliance Appeal Panel (“Appeal Panel”) will be comprised of three ARDMS or 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 may be submitted by the Respondent.
If you have received a determination from the Hearing Panel and wish to appeal, the following fee and documents are required:
- Compliance Appeal Fee ($500 USD), paid via your Inteleos 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
The Appeal Panel, by simple majority vote, will make one of the following determinations outlined in Section 7.5 of the ARDMS or APCA Compliance Policies.
If the sanction imposed by the Hearing Panel does not preclude the Respondent from requesting reinstatement of their certification status and/or eligibility to apply for examinations, the Respondent may make a request for reinstatement of such to the Compliance Reinstatement Panel; such requests are reviewed by the Reinstatement Panel. See Section 8 of the ARDMS or APCA Compliance Policies for further information.