1.
Complaints may not be based on any confidential information.
Complaints may be submitted, in writing, by anyone who becomes aware
of a potential breach of the Code of Ethics, to:
Eligibility and Application Committee
c/o ICCIFP
Executive Director
29 Emmons Drive, Suite F-40
Princeton, NJ 08540
Complaints must provide:
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Certificate Holder’s name and contact information;
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Complainant’s name and contact information;
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Copies of non-confidential written material supporting the complaint;
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Citation of the Code of Ethics section(s) alleged to be violated; and
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Any other written information supporting the complaint.
The enforcement procedure is based on documentary evidence. No
anonymous,
telephone, in-person, or electronic communication will be accepted or
considered.
The complaint and all documents submitted to support it become the
confidential
property of ICCIFP and will not be returned to the Complainant.
2.
The Director will receive the written complaint, immediately assign
it a sequential
case number, and promptly notify the Committee of all case numbers.
3.
The Director will review the complaint for relevance and completeness
and verify that
the person named in the complaint is a current Certificate Holder.
4.
The Director will create a Working Copy of the entire complaint file
by removing
names and other identifying information pertaining to the Certificate
Holder and the
Complainant. The Director will mark all documents “confidential.” The
Director
will include information regarding previous sanctions imposed on this
Certificate
Holder, if any, and pass a Working Copy of the complaint, including all
supporting
information, to the Committee Chair.
5.
The Committee Chair will review the Working Copy and if he/she agrees
that the
materials are complete enough for consideration by the full Committee,
he/she will
ask the Director to provide a confidential Working Copy to all members
of the
Committee. If the Committee Chair does not agree that the materials are
complete
enough for consideration by the full committee, he/she will ask the
Director to take
appropriate remedial action, such as asking the Complainant to clarify
documentation
or to provide additional information.
6.
When a complaint’s documentation is distributed to the full
Committee, the Director
will send a letter acknowledging receipt of the complaint to the
Complainant.
This letter will state:
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that the complaint has been received and passed to the Committee for
its consideration;
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that the Certificate Holder will be informed of the complaint and the
Complainant’s name and contact information;
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that action regarding the complaint will be taken in accordance with
the Procedure
(which can be found on the ICCIFP website);
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that deliberations are confidential;
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that the Complainant is requested to assist in maintaining
impartiality and confidentiality;
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that per this Procedure the Committee and the Officers of ICCIFP are
responsible for disposition of all complaints as delegated by the Board
of Trustees;
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that after the final disposition by the Officers and either
(a)
the conclusion of the Certificate Holder’s appeal; or
(b)
the expiration of the Certificate Holder’s opportunity to appeal, an
appropriate record of the final disposition will be posted on a publicly
accessible section of the ICCIFP website which is open for examination
by the Complainant and the public at any time; and
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that the Committee appreciates the Complainant’s action which assists
in maintaining the integrity and value of the ICCIFP credentialing
activity.
7. At the same time that the Director prepares the above letter to the
Complainant, and in no event more than thirty (30) calendar days after the date on which the
written complaint is determined to be complete enough for consideration by the
full Committee, the Director will send a notice by registered mail (return
receipt requested), or by any other form of reliable overnight or other delivery
in which a record of such delivery is maintained, to the Certificate Holder.
This letter will state:
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that a complaint has been received and passed to the Committee for its
consideration;
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that action regarding the complaint will be taken in accordance with
the Procedure;
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that deliberations are confidential;
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that, per the Procedure, the Committee and the Officers of ICCIFP are
responsible for disposition of all complaints as delegated by the Board of Trustees;
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that the Certificate Holder will be advised by registered mail of the
decision of the Officers;
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that the Certificate Holder has a right to a hearing on the complaint;
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that the Certificate Holder has a right to appeal an adverse action
per the Appeals Committee Procedure; and
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that, at the point of final disposition and action, if any, an
appropriate record of such will be posted on a publicly accessible
section of the ICCIFP website.
This letter also will:
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provide the name and contact information of the Complainant;
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ask the Certificate Holder to admit to or deny in writing the
existence of the breach of the Code of Ethics that has been identified
in the complaint;
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ask the Certificate Holder to provide documents, if any, to support
his/her denial of the complaint;
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state the address to be used in responding to the Committee via the
Director;
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request that the Certificate Holder communicate only in writing to the
Director; and
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state that names and personally identifying information have been
removed from the version of the complaint available to Committee members
and, as such, a case number has been assigned by the Director and the
Certificate Holder is required to assist in the Committee’s efforts to
preserve this confidentiality.
Enclosures to this letter will include:
(a)
a full copy of the Working Copy of the complaint;
(b)
a copy of the Procedure from the ICCIFP website; and
(c)
a copy of the Appeals Committee Procedure.
Finally, the letter will state that the Certificate Holder’s response to
this letter must be written and postmarked within sixty (60) calendar days of the date of
the notice, and this date should be expressed as a specific due date.
8.
When received, a confidential Working Copy of the Certificate
Holder’s response (the Director will endeavor to remove all of the Certificate Holder’s name
and contact information) will be provided to all Committee members by the Director.
The Committee will then review all of the materials submitted along with the
Certificate Holder’s written response. The Committee may elect to work as a
committee of the whole. In addition, the Committee may determine that one of its members
needs to be assigned to investigate the documents further, for example to
analyze, synthesize, reconcile, or otherwise assure that the file on its face appears
complete, factual, and consistent. While the Committee may make independent factual
investigations, it is not obligated to do so and will generally make decisions based on the
written submissions of the Complainant and the Certificate Holder. After the Committee reviews and deliberates, it shall make a
determination whether it has found it is more likely than not (the review standard) that a breach
of the Code of Ethics occurred. In the event it is determined under the aforementioned
review standard that a breach of the Code of Ethics did not occur, then it
shall dismiss the complaint without prejudice. If the Committee determines that there was
no breach of the Code of Ethics, the Committee will report to the ICCIFP Officers,
maintaining
confidentiality and referencing only the case number, that a complaint
was received but that no disciplinary action was recommended. The Director then will
so notifythe Certificate Holder via registered mail, return receipt requested, or
by any other form of reliable overnight or other delivery in which a record of such
delivery is maintained. In the event it is determined that it is more likely than not that a
breach of the Code of Ethics occurred, the Committee will notify the Certificate Holder in
writing of the finding and offer the Certificate Holder the opportunity for a hearing.
Such notification :
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shall be in writing;
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shall be sent via registered mail, return receipt requested, or by
any other form of reliable overnight or other delivery in which a record
of such delivery is maintained;
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shall explain the alleged aggrieved conduct;
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shall explain why such conduct constitutes grounds for disciplinary
action; and
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shall set a deadline of fifteen (15) days for the Certificate Holder
to respond in writing to request a hearing. If the Certificate Holder
fails to request a hearing before the deadline, the Committee will make
a written recommendation to the ICCIFP Officers regarding disciplinary
action for the case.
The Director will attach to the Committee’s recommendation, a copy of
the ACTUAL complaint and all supporting documents (NOT the confidential
Working Copy).
9.
In the event that a hearing is requested, the Committee shall work
with the Certificate Holder and the Director to schedule a teleconference hearing at a
mutually convenient date and time and the Certificate Holder shall be notified in writing of
such hearing date and time. Once a meeting time and arrangements have been set after
consultation with the Certificate Holder, requests for changes to such
arrangements shall only be honored pursuant to the Committee Chair’s sole discretion.
10.
Upon request by the Committee, the Director, and the ICCIFP Legal
Counsel shall be available to assist the Committee at the Hearing. The Committee Chair
shall preside at the hearing. The Certificate Holder may be represented by counsel at
the hearing. No formal legal rules of evidence, cross-examination, oath, and other
procedures will apply to hearings. Not less than three (3) Committee members shall be in
attendance for the hearing. The Committee Chair shall have general discretion to
set the agenda and conduct the hearing in a fair and expeditious manner.
11. The Certificate Holder will be responsible for his/her expenses
associated with an ethics investigation or case, including the costs associated with any
witnesses or legal counsel.
12. A the conclusion of the hearing, the Committee will review the
hearing record as well as the written record and, if a finding of a breach of code of
ethics is made, thereafter will make a written recommendation to the ICCIFP Officers
regarding disciplinary action for the case. The Director will attach to the
Committee’s recommendation, a copy of the ACTUAL complaint and all supporting
documents (NOT the confidential Working Copy).
13.
Disciplinary actions within the purview of the Committee pertain
only to the
credential and use and protection thereof and actions, if any, by the
Certificate Holder to justify future restoration of his/her ability to use the designation.
The maximum penalty the Committee may impose is revocation of the right to use the
ICCIFP credential and its mark and to require return of the Certificate
Holder’s certificate. The Committee may impose lesser penalties and may set a time limit on
the penalty or make it permanent. The Committee will not initiate civil or criminal
actions and will avoid involvement in same to the extent practical.
14. For cases in which a recommendation for disciplinary action has been
approved by the Officers, the Director will notify the Certificate Holder. This
notice will be by registered mail, return receipt requested, or by any other form of
reliable overnight or other delivery in which a record of such delivery is maintained. The
notice will state the decision and the disciplinary action required, if applicable.
15. The Certificate Holder may appeal the decision approved by the
Officers by the procedures established by the Appeals Committee. This appeal must be
initiated by the Certificate Holder within ninety (90) calendar days of the date on
the delivery of the notice letter stating the decision and the disciplinary action
required, if applicable. The Director will notify the Certificate Holder of the outcome of the
appeal, using registered mail, return receipt requested, or by any other form of
reliable overnight or other delivery in which a record of such delivery is maintained.
16. If, and only if, a decision adverse to the Certificate Holder is
reached, and the appeal process has been exhausted, then the action taken against the
Certificate Holder will be posted on a publicly accessible section of the ICCIFP website.
17. The Committee will be notified of all case numbers and their status
on a periodic basis. The Chair and the Director will periodically review complaints
pending and determine if any long-dormant incomplete complaint should be closed for
want of response to a request for additional information/clarification. The
Committee will be notified periodically of all such closed cases and the reasons
therefore.
