NOTE The Operations Manual is updated to include actions taken by the Board of Trustees (including Assembly actions) after every Board meeting. An updated version is provided on the APA website. OPERATIONS MANUAL OF THE BOARD OF TRUSTEES AND ASSEMBLY OF THE AMERICAN PSYCHIATRIC ASSOCIATION Updated March 2022 Includes Actions of the Board of Trustees and the Assembly through March 2022 The Operations Manual and periodic changes to it are approved by the Board of Trustees. The procedures in this manual supplement and implement APA’s governing documents – Bylaws and Articles of Incorporation. It is intended as a practical guide for administration and members to understand the processes of the APA in more detail. This Operations Manual was last approved by the Board of Trustees in July 2020. TABLE OF CONTENTS CHAPTER ONE: GOVERNANCE STRUCTURE ................................................................................................. 1 A. The Board of Trustees .................................................................................................................... 1 B. The Assembly and The District Branches ......................................................................................... 7 CHAPTER TWO: COMPONENT STRUCTURE OF THE ASSOCIATION .............................................................. 10 A. Standing Committees .................................................................................................................. 10 1. Committee on Bylaws .............................................................................................................. 10 2. Elections Committee ................................................................................................................ 10 3. Ethics Committee .................................................................................................................... 11 4. Finance and Budget ................................................................................................................. 11 5. Joint Reference Committee (JRC) .............................................................................................. 12 6. Membership Committee .......................................................................................................... 13 7. Nominating Committee ............................................................................................................ 14 8. Tellers Committee ................................................................................................................... 15 B. Councils and Their Components ................................................................................................... 15 1. Councils .................................................................................................................................. 16 2. Committees ............................................................................................................................ 17 3. Task Forces ............................................................................................................................. 18 4. Caucuses ................................................................................................................................. 18 5. Work Groups ........................................................................................................................... 19 6. Ad Hoc Work Groups ............................................................................................................... 19 7. Boards .................................................................................................................................... 19 CHAPTER THREE: APPOINTMENTS TO COMMITTEES, COUNCILS AND OTHER COMPONENTS ....................... 20 A. Component Membership ............................................................................................................. 20 1. Appointments ......................................................................................................................... 20 2. Recommendations for Appointments ........................................................................................ 20 3. Appointment Letters and Disclosure of Conflicts ........................................................................ 20 4. Approximate Appointment Timeline ......................................................................................... 20 5. Eligibility for Positions on Components ..................................................................................... 21 6. Disclosure of Interest and Affiliations Policy .............................................................................. 22 B. Component Operating Procedures ............................................................................................... 22 1. Records and Files ..................................................................................................................... 22 2. Reports of Components ........................................................................................................... 22 3. Procedures for Specific Documents and Reports ........................................................................ 22 4. Procedures for APA Conducted Studies and Projects .................................................................. 26 CHAPTER FOUR: THE ASSOCIATION'S FINANCES ....................................................................................... 28 1. Financial Organization and Governance Structure ......................................................................... 28 A. Organization ........................................................................................................................... 28 B. Governance ............................................................................................................................. 28 C. Financial Relationship between Affiliated Entities ...................................................................... 28 2. Financial Management ................................................................................................................ 29 A. Reporting ................................................................................................................................ 29 B. Fiscal Year ............................................................................................................................... 29 C. Budgets .................................................................................................................................. 29 D. Accounting .............................................................................................................................. 30 E. Investment and Banking ........................................................................................................... 30 F. Credit and Collections Policy .................................................................................................... 31 G. Reserve Policy ......................................................................................................................... 31 3. Expenditures ............................................................................................................................... 32 A. Control and Authority .............................................................................................................. 32 B. Contracting and Procurement .................................................................................................. 32 C. Disbursements ........................................................................................................................ 33 4. Administration of Association Grants ............................................................................................ 33 A. Recovering the expense of administering grants ........................................................................ 33 B. Spending Policy for Private Grants and Awards .......................................................................... 33 CHAPTER FIVE: MEMBERSHIP .................................................................................................................. 35 i. General Eligibility ........................................................................................................................ 35 ii. Classes of Membership ................................................................................................................ 35 iii. Election to Membership .............................................................................................................. 38 1. Medical Student Members ....................................................................................................... 38 2. Resident-Fellow Members ........................................................................................................ 38 3. Associate Members ................................................................................................................. 39 4. General Members .................................................................................................................... 39 5. International Members, International Fellows, and International Distinguished Fellows ............... 40 6. RFM Transfer to International Member Status ........................................................................... 41 7. Honorary Fellows..................................................................................................................... 41 8. Semi-Retired Members and Retired Members ........................................................................... 42 iv. Changes in Member Class ............................................................................................................ 42 1. Procedures .............................................................................................................................. 42 2. Fellows ................................................................................................................................... 43 3. Distinguished Fellows .............................................................................................................. 43 4. Life Members, Life Fellows, Distinguished Life Fellows and Life Associate Members ..................... 46 5. Semi-Retired and Retired Members .......................................................................................... 47 6. Inactive Members/Fellows ....................................................................................................... 47 7. Fifty-Year Life Members/Life Fellows/Distinguished Life Fellows ................................................. 48 v. Membership Actions ................................................................................................................... 48 1. District Branch Transfers .......................................................................................................... 48 2. Dues Billing and Waivers .......................................................................................................... 48 3. Centralized Dues Billing Service and Member Roster Reconciliation ............................................ 49 vi. Forfeiture of APA Membership ..................................................................................................... 49 1. Nonpayment of Dues ............................................................................................................... 49 2. Nonpayment of Lump Sum Balance .......................................................................................... 50 3. Failure to Advance ................................................................................................................... 50 4. Failure to Remain in Medical School or Psychiatric Residency Program........................................ 50 5. Resignations ............................................................................................................................ 50 6. Licensure ................................................................................................................................ 50 7. Voluntary Surrendering (FOR CAUSE) ........................................................................................ 50 vii. Membership Reinstatement Process and Procedures ................................................................. 51 CHAPTER SIX: APA ANNUAL AND OTHER MEETINGS ................................................................................. 53 Territorial Acknowledgments in APA Meeting Programming .................................................................. 53 A. APA Annual Meetings .................................................................................................................. 53 B. Mental Health Services Conference (Formerly IPS) ........................................................................ 57 C. Policy Regarding Waiver of Registration Fees for Members of the Annual Meeting and Mental Health Services Conference Committees and Invited Speakers ......................................................................... 59 D. Policy Regarding Registration Reimbursement for Scholars ............................................................ 59 E. Co-sponsorship of Combined Meetings with Other Organizations/Endorsement of Other Organizations 59 F. Guidelines for Meetings with International Psychiatric Associations ............................................... 59 CHAPTER SEVEN: PUBLISHING ................................................................................................................. 61 A. Publications of the APA................................................................................................................ 61 1. American Journal of Psychiatry (AJP) ......................................................................................... 61 2. Psychiatric Services .................................................................................................................. 61 3. Psychiatric News...................................................................................................................... 62 4. APA Books ............................................................................................................................... 63 B. Editor Appointment Process for all APA Publications ..................................................................... 63 C. Protocol for Publication of APA Works .......................................................................................... 64 D. Protocol for Publication of APA Work in Service of DSM ................................................................. 64 CHAPTER EIGHT: APA LIAISON RELATIONSHIPS ......................................................................................... 66 A. APA Representatives Appointed to Other Organizations ................................................................ 66 1. American Medical Association .................................................................................................. 66 2. Council of Medical Specialty Societies ....................................................................................... 67 3. Association of American Medical Colleges/Council of Academic Societies .................................... 67 4. American Board of Psychiatry and Neurology, Inc. ..................................................................... 68 5. The Joint Commission (formerly JCAHO) .................................................................................... 68 6. URAC ...................................................................................................................................... 68 7. National Committee for Quality Assurance ................................................................................ 68 B. Assembly Allied Organization Liaisons (AAOLs) .............................................................................. 68 1. Qualifications for Representation ............................................................................................. 69 2. Selection of AAOLs ................................................................................................................... 69 C. “Shared Member” Organizations .................................................................................................. 69 CHAPTER NINE: CORPORATE AFFILIATES AND OTHER ENTITIES .................................................................. 70 A. American Psychiatric Association Foundation, Inc. (APAF) .............................................................. 70 B. American Psychiatric Association-Political Action Committee (APA-PAC) ......................................... 70 C. APA Wharf Holding Limited .......................................................................................................... 71 D. Including District Branches and State Associations on APA’s Director’s and Officer’s Liability Policies 71 CHAPTER TEN: APA CENTRAL OFFICE ADMINISTRATION ............................................................................ 73 APPENDIX A: ORGANIZATIONAL CHARTS .................................................................................................. 73 APPENDIX B: COUNCILS .......................................................................................................................... 75 1. Council on Addiction Psychiatry ................................................................................................... 75 2. Council on Advocacy and Government Relations ........................................................................... 75 3. Council on Children, Adolescents and Their Families ...................................................................... 76 4. Council on Communications ......................................................................................................... 77 5. Council on Geriatric Psychiatry ..................................................................................................... 78 6. Council on Healthcare Systems and Financing ............................................................................... 79 7. Council on International Psychiatry and Global Health ................................................................... 80 8. Council on Medical Education and Lifelong Learning ...................................................................... 82 9. Council on Minority Mental Health & Health Disparities ................................................................ 85 10. Council on Psychiatry & Law ..................................................................................................... 86 11. Council on Consultation-Liaison Psychiatry ................................................................................ 87 12. Council on Quality Care ............................................................................................................ 88 13. Council on Research................................................................................................................. 90 APPENDIX C: BOARDS AND SPECIAL COMPONENTS .................................................................................. 92 APPENDIX D-1: ELECTION PROCEDURES AND GUIDELINES ......................................................................... 94 APPENDIX D-2: APA GUIDELINES FOR CAMPAIGNING ON REFERENDA & AMENDMENTS TO THE BYLAWS .... 99 APPENDIX D-3: NOMINATING PROCEDURES FOR RESIDENT-FELLOW MEMBER TRUSTEE-ELECT CANDIDATES ........................................................................................................................................................... 101 APPENDIX D-4: NOMINATING PROCEDURES FOR ECP TRUSTEE-AT-LARGE CANDIDATES ............................ 103 APPENDIX D-5: NOMINATING PROCEDURES FOR M/UR TRUSTEE CANDIDATES ........................................ 104 APPENDIX D-6: GUIDELINES FOR PETITIONS ........................................................................................... 105 APPENDIX E: AWARDS AND FELLOWSHIPS ............................................................................................. 109 1. Administrative Psychiatry Award ................................................................................................ 111 2. Adolf Meyer Award Lecture ....................................................................................................... 111 3. Agnes Purcell McGavin Awards .................................................................................................. 111 4. Alexander Gralnick, M.D. Award for Research in Schizophrenia .................................................... 111 5. Alexandra Symonds Award ........................................................................................................ 112 6. American Psychiatric Association Foundation Leadership (APL) Fellowship.................................... 112 7. APA Mentors of the Year Award ................................................................................................. 113 8. Public Psychiatry Fellowship ....................................................................................................... 114 9. APAF/AACDP Research Mentorship Award .................................................................................. 114 10. APA Resident Recognition Award ............................................................................................ 114 11. Assembly Award for Excellence in Service and Advocacy .......................................................... 114 12. Assembly Resident-Fellow Member (RFM) Mentor Award ........................................................ 115 13. Assembly Profile of Courage Award ........................................................................................ 115 14. Awards for Advancing Minority Mental Health ........................................................................ 115 15. Award for Patient Advocacy ................................................................................................... 115 16. Award for Research ............................................................................................................... 115 17. Berson Award ........................................................................................................................ 116 18. Benjamin Rush Award ............................................................................................................ 116 19. Blanche F. Ittleson Award for Research in Child Psychiatry ....................................................... 116 20. Bruno Lima Award for Excellence in Disaster Psychiatry ........................................................... 116 21. Carol Davis Ethics Award ........................................................................................................ 116 22. Chester M Pierce Human Rights Award ................................................................................... 117 23. Child & Adolescent Psychiatry Fellowship ................................................................................ 117 24. Distinguished Service Award................................................................................................... 117 25. District Branch Best Practice Award ........................................................................................ 117 26. Diversity Leadership Fellowship .............................................................................................. 118 27. Frank J. Menolascino Award for Psychiatric Services for Persons with Intellectual Developmental Disorders and Developmental Disabilities ........................................................................................... 118 28. George Tarjan Award ............................................................................................................. 118 29. Hartford-Jeste Award for Future Leaders in Geriatric Psychiatry ............................................... 119 30. Health Services Research Award ............................................................................................. 119 31. Helping Hands Grant Program ................................................................................................ 119 32. Irma Bland Award for Excellence in Teaching Residents ............................................................ 119 33. Isaac Ray Award .................................................................................................................... 119 34. Jack Weinberg Memorial Award for Geriatric Psychiatry .......................................................... 120 35. Jacob Javits Public Service Award ............................................................................................ 120 36. Jeanne Spurlock Minority Fellowship Achievement Award ....................................................... 120 37. John Fryer Award................................................................................................................... 120 38. Judd Marmor Award .............................................................................................................. 120 39. Kempf Award for Research Development in Psychobiological Psychiatry ................................... 120 40. Kun-Po Soo Award ................................................................................................................. 121 41. Psychiatric Research Fellowship .............................................................................................. 121 42. Manfred S. Guttmacher Award ............................................................................................... 121 43. Member Communications Award ........................................................................................... 122 44. Mrazek Award in Psychiatric Pharmacogenomics ..................................................................... 122 45. Nancy C. A. Roeske Certificate of Recognition for Excellence in Medical Student Education ........ 123 46. Oskar Pfister Award ............................................................................................................... 123 47. Presidential Commendations .................................................................................................. 123 48. Psychiatric Services Achievement Awards ............................................................................... 123 49. Ronald A. Shellow Award ....................................................................................................... 123 50. SAMHSA Minority Fellowship ................................................................................................. 124 51. Simon Bolivar Award Lecture .................................................................................................. 124 52. Solomon Carter Fuller Award .................................................................................................. 124 53. Spurlock Congressional Fellowship .......................................................................................... 124 54. Vestermark Psychiatry Educator Award ................................................................................... 124 55. Warren Williams Assembly Speakers Award ............................................................................ 125 56. William C. Menninger Memorial Convocation Lecture .............................................................. 125 57. William Sorum Assembly Resident-Fellow Member Award ....................................................... 125 58. William W. “Bill” Richards Rural Psychiatry Award ................................................................... 125 APPENDIX F: GUIDELINES AND PROCEDURES FOR SEEKING EXTERNAL FUNDING ...................................... 126 APPENDIX G-1: GENERAL PRINCIPLES AND PROCESS FOR ESTABLISHING AN APA COUNCIL ....................... 129 APPENDIX G-2: GENERAL PRINCIPLES AND PROCESS FOR ESTABLISHING AN APA COMPONENT ................. 131 APPENDIX I-1: GUIDELINES FOR APPROVAL OF DISTRICT BRANCH REQUESTS TO THE COMMITTEE ON JUDICIAL ACTION.................................................................................................................................. 133 APPENDIX I-2: PROCEDURES FOR REVIEW OF DISTRICT BRANCH AND AREA REQUESTS TO THE COMMITTEE ON JUDICIAL ACTION ............................................................................................................................ 134 APPENDIX J-1: NATIONAL APA MEMBERSHIP DUES................................................................................. 135 APPENDIX J-2: DISTRICT BRANCH DUES RATES ....................................................................................... 136 APPENDIX J-3: FAQs ABOUT THE APA LUMP SUM DUES PROGRAM ......................................................... 137 APPENDIX J-4: CRITERIA FOR DUES RELIEF .............................................................................................. 139 APPENDIX J-5: APPEALS PROCESS FOR DISTINGUISHED FELLOWSHIP ....................................................... 141 APPENDIX K: CONTINUING MEDICAL EDUCATION MISSION STATEMENT .................................................. 142 APPENDIX L: NOMINATION PROCEDURES FOR OFFICES IN INTERNATIONAL ORGANIZATIONS ................... 143 APPENDIX M: CAUCUSES - FRAMEWORK FOR ESTABLISHMENT AND OPERATION ..................................... 144 APPENDIX N: FINANCIAL STATEMENT, DISCLOSURE OF AFFILIATIONS AND CONFLICT OF INTEREST POLICY 145 APPENDIX O: GUIDELINES FOR CONSIDERING DB/STATE ASSOCIATION REQUESTS FOR FUNDS/ ASSISTANCE ........................................................................................................................................................... 152 APPENDIX P: COMPONENT ASSESSMENT TEMPLATES ............................................................................. 154 APPENDIX Q-1: COMPONENT BUDGET POLICY ....................................................................................... 157 APPENDIX Q-2 INVESTMENT POLICY STATEMENT ................................................................................... 159 APPENDIX Q-3: TRAVEL REIMBURSEMENT POLICY .................................................................................. 179 APPENDIX Q-4: OFFICER REIMBURSEMENT POLICY AND PROCEDURES .................................................... 185 APPENDIX Q-5: POLICY FOR THE ADMINISTRATION OF AWARDS ............................................................. 189 APPENDIX Q-6: CREDIT AND COLLECTIONS POLICY ................................................................................. 193 CHAPTER ONE: GOVERNANCE STRUCTURE The Board of Trustees, the Assembly, and the components comprise the governance structure of the American Psychiatric Association. A. The Board of Trustees The Association is governed by the Board of Trustees (hereinafter the Board), which is composed of officers elected nationally and members elected both nationally and regionally. The power to make policy is vested in the Board; the Board's primary function is to manage the affairs of the Association and formulate and implement the policies of the Association. The Board exercises all the powers of the Association that are not otherwise assigned. 1. Composition of the Board Officers: • President (Bylaws 4.2-4.4) • President-Elect • Secretary • Treasurer Trustees • The four Officers of the Association (with the President as Chair) Voting: • The three immediate Past Presidents (Bylaws Chpt. 3) • Speaker of the Assembly • Speaker-Elect of the Assembly • One Trustee elected at large • One Minority Under-Represented (MUR) Trustee elected at large (created 2011) • One Early Career Psychiatrist (ECP) Trustee elected at large • One Trustee elected by the membership of each geographical Area as defined by the Assembly (seven at this time) • A Resident-Fellow Member Trustee (RFMT) elected by Resident-Fellow Members to the Resident-Fellow Member Trustee-Elect position, which becomes the RFMT after one year. Trustees • Past Presidents (only those elected prior to 2000), after serving a three-year term as voting Nonvoting: members, shall continue as members of the Board with voice but no vote. • Resident-Fellow Member Trustee-Elect (RFMTE) elected by Resident-Fellow Members who shall serve a one-year term without vote and advance to Resident-Fellow Member Trustee. Others in • Representative from APA/APAF Leadership Fellows* attendance: • Representative from APA/APAF SAMHSA or Diversity Leadership Fellows* • Representative from APA/APAF Public Psychiatry Fellows* *Selected/elected by their own groups See Bylaws for details on eligibility (Chapter 3.2) nomination and election (Chapters 3.2 and 4.7), the filling of vacancies (Chapter 4.9) and recall (Chapter 4.8). Appendix D of this manual contains details of the nomination and election procedures. 2. Terms of Office The terms of Officers and Trustees begin at the close of the annual meeting in the year they are elected and end at the close of the next annual meeting (or in the case of those serving two- or three-year terms, at the close of the second or third annual meeting). Members of the Board may not hold any other elected or appointed position in APA governance unless the position is ex-officio, or if the Board grants an exception. Board Members are expected to resign from other APA elected or appointed positions, effective when their Board term begins. If a former or current member of the Board of Trustees or an APA Component uses or allows use of their official APA title to identify themselves in connection with an activity in a personal capacity or in 1 connection with a separate entity that is unrelated to the APA, they should comply with the Guidelines Regarding Use of APA Titles in Non-APA Business available online. 3. Meetings Members of the Board are notified of the date and place of the meetings. Board members are expected to attend meetings, be prepared for meetings, and participate in the matters at hand. Members of the Board may not vote by proxy. The Board customarily meets four to six times a year. The Board may meet at such other times as the business of the APA may require. The President may call meetings of the Board at his/her discretion. One-third (1/3) of Board voting members may, by petition, convene a special meeting, giving at least two (2) weeks' notice. a. Consent Calendar The Board has approved the use of a Consent Calendar as an order of business during a meeting. This mechanism enables the Board to approve all routine, non-controversial or administrative matters contained on the Consent Calendar en bloc without discussion. No item may be considered on the Consent Calendar that has not been included in the material submitted prior to the meeting. Each item included specifically states the action requested. The CEO and Medical Director or administration designee works with the President to make recommendations for the Consent Calendar. Request for removal of an item from the Consent Calendar by any voting member of the Board must be made one week prior to the Board meeting and contain an explanation for removing the item and the changes the Board member proposes. Such a request for removal of an item from the Consent Calendar by a voting member of the Board automatically places it on the regular agenda for discussion, unless the matter can be solved administratively before the meeting. Items that have not been so removed or have been resolved before the meeting are deemed to be included in the Consent Calendar. b. Parliamentary Procedure The American Institute of Parliamentarians Standard Parliamentary Procedure is followed. The Board is a continuing body. c. Attendance Board meetings are open to all members of the Association. The CEO and Medical Director, General Counsel, and Director of Association Governance are expected to attend. Chairpersons of councils or other components and other key administration may be invited to attend as appropriate. Non-voting past APA Presidents are welcome to attend at their own expense. d. Confidentiality The President may call an executive session at the request of any Board member or on the advice of legal counsel. A simple majority of the Board may vote to end an executive session. Discussion and actions in executive sessions are confidential, not to be discussed outside of the Board. Actions of executive sessions may be reported out at the discretion of the Board. e. Agenda It is the President’s responsibility to prepare the agenda and have it sent in advance to all Board members and to others that will participate in the Board meeting. The agenda customarily includes the following items: Call to Order, approval of the Consent Calendar, approval of minutes of previous meetings, reports from officers, special reports and matters of policy, report of the Joint Reference Committee, report of the Speaker, report of the CEO and Medical Director, reports of various components, Old Business, New Business, Announcements, Adjournment. However, the President has discretion to include or eliminate any verbal reports in favor of written reports. Any member may request that an item be placed on the agenda, but its acceptance is determined by the President. In view of the limited time available, priority is given to those items on which sufficient preliminary member and administration work has been completed to make it possible for the Board to make a decision. Each item is usually accompanied by pertinent background information or the relevant correspondence and is provided in advance to the Board. Any significant financial matter to be discussed and voted on by the Board must be listed on the agenda, and the relevant background 2