Procedure for Investigating Complaints Against Registrants

Purpose

A core function of CPESC, Inc. is to maintain registries of qualified professionals with high standards of ethics, personal honor, and professional conduct. The purpose of the Complaint Investigation Procedure is to provide an orderly process for responding in a timely manner to Ethics Code related complaints made against CPESC, Inc. registrants, while maintaining a level of confidentiality and due process, including opportunities for a hearing and an appeal. The procedure is structured to respect the rights of registrants by allowing for opportunity to respond to Complaints filed against them, and to provide for a pool of unbiased and objective Council Members who can serve on hearing and appeal panels.

Definitions

Complaint: An allegation that a registrant has violated the CPESC Code of Ethics, has failed to disclose complete and truthful information in his/her application for certification or any renewal or filing, falsified an application, or lacks required professional knowledge or competence. All complaints must be in writing and must be signed and dated by the complainant and may be accompanied by supporting documentation.
Complainant: Any person filing a complaint against a CPESC, Inc. Registrant.
Registrant: A person with a current CPESC, Inc. certification.
Complaint Subject: A CPESC, Inc. registrant against whom a Complaint has been filed.
Ethics Committee: The Ethics Committee shall consist of three Council Members: the Administrative Vice-Chair, the Past Chair, and one appointed Council Member. The Administrative Vice-Chair shall chair the Ethics Committee.
Hearing Panel: The Hearing Panel shall normally be the same as the Ethics Committee. However, if a conflict of interest relationship is involved or a Hearing panel member is otherwise unable or unavailable to so serve, a member of the Ethics Committee may be replaced on the Hearing Panel by a Council Member appointed by the Council Chair.
Appeal Panel: The Appeal Panel shall consist of three members generally appointed by the Council Chair from a pool comprised of Council Members, past Council Chairs, or past Council Members. Members of the Appeal Panel shall have no prior knowledge of the Complaint being appealed, and shall have no conflict of interest relationship with either the Complaint Subject or the Complainant. Normally, the Appeal Panel shall consist of the Council Chair, a Past Chair, and one other Council Member.
Council Member: A member of the CPESC, Inc. Executive Committee, a Regional Representative, a founding partner representative, or a Past Council Chair.
Investigation: The preliminary review process of a complaint. The Ethics Committee and/or the Executive Director shall gather information, data, review files, and assemble information pertinent to the complaint, including obtaining supporting or other documentation, and statements from witnesses.
Conflict of Interest Relationship: All members of the Ethics Committee and all Panels involved with the handling and review of Complaints and/or Appeals must be able to review and consider the facts and circumstances of or related to a Complaint objectively. To minimize the risk of a lack of objectivity, Conflict of Interest Relationships shall be avoided. A member of the Ethics Committee and/or any Panel shall have a Conflict of Interest Relationship with a Complaint Subject or Complainant or with respect to a Complaint if he or she is limited in his or her ability to be objective in any Complaint-related procedure or Panel proceeding due to a current or past relationship with or related to Complaint Subject, Complainant or circumstances alleged or related to those described in the Complaint. Members of the Ethics Committee and/or Panels involved with a Complaint proceeding who have or who feel they may have a Conflict of Interest Relationship with either party to a Complaint or other circumstance pertinent, shall recuse themselves from participation in any such Complaint-related proceeding and shall be replaced whenever appropriate.

Procedure

When a Complaint involving a Registrant is received by CPESC, Inc., within 10 business days of receiving the Complaint or as soon thereafter as practical, the Executive Director shall:

assign a case number;
send a letter to the Complainant, acknowledging receipt of the Complaint, and informing them that no further information concerning the proceedings will be forwarded to them until the case has been resolved;
send a letter to the Complaint Subject notifying him/her that a Complaint has been filed and the nature of the Complaint;
notify the Chair of the Ethics Committee of the Complaint, and
where appropriate, send a copy of the Complaint file to the Chair of the Ethics Committee.

Note:

All correspondence concerning Complaints shall be received and opened by the Executive Director only wherever possible; all correspondence from CPESC, Inc. shall be signed by the Executive Director wherever possible; and all correspondence concerning Complaints shall be sent by Certified Mail or by a similar means. All persons involved with the handling, investigation of and proceedings involving a Complaint shall be informed that they must keep confidential the identity of the Complaint Subject and the Complainant, the allegations of the Complaint, facts discovered, discussed or developed in the course of investigation and/or proceedings, and decisions and findings of the Ethics Committee and any Panels, and that they must not disclose or discuss with third parties any information related to the case, except as may be permitted by this policy, and as required by law. Removing the name of a Complaint Subject whose certification has been suspended or revoked from listings of certified registrants, or any CPESC, Inc. action to verify or correct records of one or more registrants, shall not in itself violate this requirement of confidentiality.

Within 15 business days of being notified of a Complaint or as soon thereafter as practical, the Ethics Committee shall convene (which may be by teleconference) and shall determine whether or not the Complaint has sufficient merit to warrant an investigation:
1. If the Complaint is determined to have sufficient merit, the Ethics Committee shall identify grounds for an investigation and determine which Section of the Code of Ethics is or may be involved or other reason upon which they will investigate. Continue with 3.
2. If the Complaint is determined not to have sufficient merit, the Ethics Committee shall instruct the Executive Director to notify the Complaint Subject and the Complainant that the Ethics Committee found insufficient grounds for an investigation and that the Complaint is dismissed.
When grounds for an investigation are determined sufficient, the Ethics Committee must instruct the Executive Director to (i) notify the Complaint Subject in writing that sufficient grounds for an investigation were found; (ii) describe the specific allegations in the Complaint, (iii) encourage Complaint Subject to respond to or rebut in writing (with supporting documentation) all the allegations and grounds for investigation; and (iv) to notify the Complaint Subject that he or she has 15 business days to respond to the Complaint in writing with supporting documentation, and that failure to respond and rebut each and all allegations of the Complaint in writing shall constitute a waiver of any objection to or rebuttal of those allegations. Failure to respond within 15 business days or failure to respond specifically to allegations made shall be considered a waiver of objection to, and of the right to provide a rebuttal to, such allegations. Written requests for an extension shall be considered on a case-by-case basis. As decisions and findings of the Ethics Committee shall be upon the facts in the record before them, the identity of the Complainant shall not be listed in the file or disclosed to the Complaint Subject.
If a rebuttal or responsive writing is received within the time period above identified in No. 3, or if such time period elapses without receipt of the written rebuttal or writing from the Complaint Subject, the Ethics Committee shall evaluate the file including the facts provided by the Complaint Subject's rebuttal and supporting documentation if any, and shall take one of the following actions:
1. Find a lack of sufficient evidence to support a Hearing or other action to determine whether violation of the Code of Ethics or other instance(s) warranting sanction has occurred;
2. Find sufficient evidence to support a Hearing on or action to determine whether a violation of the Code of Ethics or other instance(s) have occurred;

Within 10 business days of being notified of the determination by the Ethics Committee, the Executive Director shall write a letter to the Complaint Subject notifying him/her of the Ethics Committee's finding, and notifying the Complaint Subject of: (i) his/her right to a Hearing on the matter with his/her participation, and how a hearing may be requested; (ii) the name of possible Panel Members; (iii) the timing and procedures involved if a hearing is requested; (iv) in the event the Complaint Subject does not request a hearing or fails to participate in a Hearing as scheduled, it will be understood that Complaint Subject has waived all objection to the record, proceedings, and findings of the Ethics Committee. Complaint Subject will also be notified that during this 10 business day period he/she may object to the participation of any Hearing panel member identified because Complaint Subject believes in good faith that such a person has a Conflict of Interest Relationship, which must be identified fully and specifically in writing by Complaint Subject. The Hearing Panel shall upon a Hearing, or, if a Hearing is not requested or required, or Complaint Subject fails to participate, determine whether upon the record there is sufficient evidence that a violation has occurred, the nature of the violation if any, and sanction appropriate if any. If a finding of sufficient evidence that a violation occurred is made, the following actions may be taken:

Write a letter of warning to the Complaint Subject which may contain conditions, having found evidence to support a finding of a violation or possible violation but not in the Committee's discretion warranting a harsher sanction at that time;
Suspend the Complaint Subject's certification having found evidence to support a finding of a violation but not in the Committee's discretion warranting a harsher sanction at that time and notify Complaint Subject of same;
Revoke the Complaint Subject's certification and notify Complaint Subject of same;
Extend the investigation, and resume the process as appropriate at Step 4.

Note:	If a Panel, based on the record before it, does not find sufficient evidence of a violation, the Executive Director shall so notify the Complaint Subject and the Complainant, in writing.
Note:	If an Appeal to an Appeal Panel is properly and timely taken as provided in No. 7 below, the imposition of sanctions listed in 5(b) or 5(c) shall be delayed to accommodate the Appeal Hearing.

If the Complaint Subject requests a Hearing within 10 business days of being notified of the determination by the Ethics Committee, in writing identifying the grounds for his/her Hearing, the time and place of the Hearing shall be during the time period of the next regularly scheduled CPESC, Inc. Council Meeting following receipt of the request for a hearing as determined by the Ethics Committee, and provided the request is received at least 30 days prior to the scheduled Council Meeting. Some Hearing Panel members may participate by teleconference, as may the Complaint Subject. If the Complaint Subject wishes another person besides himself or herself to be present at the Hearing, the Complaint Subject must notify CPESC, Inc. at least 10 business days prior to the Hearing of the identity of the person, relationship to Complaint Subject, reason for their presence at the hearing and desired role, if any, at the Hearing. The relationship should be directly related to the Complaint Subject's conduct in the area of the Complaint. The Hearing Panel reserves the right to limit participation of persons present in the Hearing other than the Complaint Subject and to control the proceedings. A two-thirds majority vote of the Hearing Panel is required to overrule the original determination of the Ethics Committee.
In the event the Complaint Subject participates in a Hearing as provided in No. 6 above, and believes that the Hearing Panel failed to follow its required procedure, the Complaint Subject may appeal the determination of the Hearing Panel to an Appeal Panel. To appeal to an Appeal Panel, Complaint Subject must within 10 business days of being notified of the Hearing Panel's determination request an Appeal Hearing in writing specifying the grounds for his/her appeal. The time and place of a hearing before the Appeal Panel will be during the time period of the next regularly scheduled CPESC, Inc. Council Meeting as determined by the Ethics Committee following a proper and timely request for an Appeal Hearing, provided the request for an Appeal is received at least 45 days prior to the scheduled Council Meeting. Failure to properly and timely request an Appeal Hearing, or, if requested, failure to participate, will waive all objections to the finding and determination of the Hearing Panel, and the procedure followed. Within 15 business days of receiving a proper request for an appeal, if received in a timely fashion, CPESC, Inc. will provide the Complaint Subject with a list of the pool of Council Members from which the Appeal Panel will be drawn. Within not less than 10 business days, the Complaint Subject will provide CPESC, Inc. with identification in writing of the Council Members he/she believes in good faith could not serve on the Appeal Panel because of a Conflict of Interest Relationship (which must be identified fully and specifically in writing by Complaint Subject). Although CPESC, Inc. will attempt to honor good faith objections if possible, the final selection of Appeal Panel members remains with the CPESC Council. Some Appeal Panel members may participate by teleconference, as may the Complaint Subject. The Appeal is upon the record only and whether the Hearing Panel followed its required procedure. If Complaint Subject wishes another person besides the Complaint Subject to participate in the Appeal Hearing, the Complaint Subject must notify CPESC, Inc. at least 10 business days prior to the hearing of the identity of the person, relationship to Complaint Subject, reason for their presence and desired role (if any) at the Hearing. The relationship should be directly related to the Complaint Subject's conduct in the area of the Complaint. The Panel reserves the right to limit participation of persons present in the Hearing other than Complaint Subject, and to control the proceedings. A two-thirds majority vote of the Appeal Panel is required to overrule the determination of the Hearing Panel. The decision of the Appeal Panel is final.
Failure by a Complaint Subject to comply with the terms of this Complaint Investigation Procedure as described above may result, inter alia, in the loss of the right to object to or rebut allegations, or to request or participate in Hearing(s) or Appeal, in which case the determination of the Ethics Committee or Panel respectively shall be final.
All CPESC, Inc. staff, CPESC Council and Ethics Committee members involved in any portion of the Complaint investigation, review and Hearing process shall be reminded that the facts and circumstances alleged in the Complaint and identification of the Complaint Subject, the content of the file, information disclosed in the course of the proceedings, deliberations, findings and determination of any Committee or Panel are confidential and shall not be disclosed to or discussed with any third party outside of the process. Any CPESC Inc. staff, Council or Ethics Committee member who cannot comply with this confidentiality requirement shall recuse him/herself from participation. Notwithstanding the foregoing in this paragraph 9, in the event certification of a registrant is suspended or revoked CPESC Inc. may alter its listing of registrants to reflect any change in status, may disclose upon inquiry from a Third-party the current status of a Complaint Subject's certification, and otherwise act as permitted or required by law.
The Executive Director shall administer this Complaint Procedure and shall be responsible for seeing that each step in the procedure is implemented properly and in a timely manner.