Disciplinary Procedures

Updated: May 26, 2021

IBADCC Disciplinary Procedures
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I. Confidentiality of Proceedings

A. Except as is otherwise provided herein, all information, notes, reports, transcripts, and any other documentation of any kind that are generated or received during the course of an ethics investigation, including the ethics committee meetings and appeal hearings, shall be kept confidential by the IBADCC.

B. The respondent is entitled to a full and complete copy of the:

1. IBADCC Ethics Complaint

2. Investigation Summary Report

3. Ethics Committee’s Recommendation for Action

4. Hearing Committee’s Finding of Fact and Recommendation for Action.

5. The complainant is entitled to a full and complete copy of the: [TBC]

6. The Ethics Committee’s Recommendation for Action

7. The Hearing Committee’s Finding of Fact and Recommendation for Action

II. Conflict of Interest

A. In all cases,

1. The Chair of the Ethics Committee will direct ethics investigation with the Ethics Committee members.

2. IBADCC Ethics Committee shall conduct investigative activities, including interviewing relevant persons and collecting and receiving evidence and other documents related to the case.

B. Should the Ethics Committee Member have a conflict of interest with any party, the duties of said person shall be delegated by the Chair of the IBADCC Ethics Committee and said person shall be recused from any involvement in the case, including investigation and sanction activities.

III. Code of Ethics Sanctions

A. Possible sanctions for the violation of the Code of Ethics include but are not limited to:

i. Written Reprimand

ii. Summary Suspension

iii. Consent Order

iv. Suspension v. Revocation

vi. Denial of Application for Certification

B. The IBADCC may impose any sanction deemed appropriate for the founded violation(s).

There is not a requirement that sanctions are imposed in any particular order.

C. In conjunction with official sanctions, the IBADCC may impose fines, educational requirements, and other conditions deemed necessary and appropriate.

D. If assessed, fines will be imposed according to the following schedule: 1. First offense: $500 2. Second Offense: $700 3. Third offense: $1,000

E. The Ethics Committee may consider the applicant’s or certified individual’s past history in regard to ethical sanctions and disciplinary actions when determining the appropriate sanctions for the current ethics case.

F. A third offense in a two-year period will automatically result in an immediate summary suspension and sanctions shall include a suspension or revocation of the credential(s).

G. Public notice of all ethics cases resulting in sanctions shall be published on the IBADCC’s web-based public access database. Such notice shall include the name of the Respondent, the rule(s) violated, and the sanction imposed. Webbased notice shall be published the first business day following the date the sanctions are applied. Such notice is permanent and will not be removed from the database. I

V. The Complaint Process

A. The IBADCC will not accept anonymous complaints.

B. All complaints must be submitted in writing on the official IBADCC Ethical Standards Report form, which can be accessed at http://ibadcc.org or by contacting the IBADCC office and requesting an official IBADCC Ethics Violation Report form.

C. The IBADCC will accept phone calls from individuals wishing to discuss a particular situation for the purposes of determining if an ethical complaint should be filed. These phone calls are to be directed to an Ethic Committee member as available. Based on the content of the discussion, the IBADCC will either: i. Recommend the issue be dismissed, or ii. Recommend the caller file a formal ethical complaint

D. Should the IBADCC become aware of a possible breach of the Code of Ethics, A Board of Director member may, on behalf of the IBADCC, file a formal complaint against a certified individual or person seeking certification.

E. In the instance that a formal complaint has been filed and the complainant subsequently requests to revoke said complaint, the IBADCC may choose to proceed with the investigation.

F. Completed complaint forms should be emailed to IBADCC@IBADCC.org. If email is not possible, completed forms may also be mailed to: Ethics Committee Chairperson IBADCC 2095 Daniels Street #963 Long Lake, MN 55356

G. The Ethics Committee Chairperson shall: a. Review all formal complaints within 14 business days of receipt to determine if the preponderance of the evidence contained within the complaint warrants opening of an investigation. b. Contact the complainant within seven (7) business days of the IBADCC’s decision to: 1. Issue a summary suspension and open an ethics investigation, 2. Open an ethics investigation, or 3. Dismiss the case. 4. Extenuating circumstances – notification can be postponed for up to two more weeks with documentation.

H. Within seven (7) business days of determining that the IBADCC will open an ethics investigation, the IBADCC shall send notice to the respondent of such. The notice shall include: 1. A complete copy of the official IBADCC Ethics Complaint, to include the name of the respondent. 2. The date by which the respondent must submit, to the IBADCC, a written response to the complaint, which shall be no more than 30 business days from the date of the notice.

I. In the written response, respondents are encouraged to submit their interpretation of the situation or conduct under investigation, including: 1. Any and all facts and circumstances concerning the alleged ethics violation, and 2. Documentation or other evidence directly related to these circumstance, and 3. Names and contact information of witnesses who can assist in the investigation.

J. Misrepresentation by either the respondent or complainant, failure to provide information, or failure to cooperate with the investigation may be grounds for the IBADCC to open a subsequent ethical complaint against the respondent or complainant.

K. Should the respondent fail to respond by the specified date in the formal notice, the IBADCC will assume guilt and will proceed with sanctions as necessary and appropriate.

V. The Investigation Process

A. The initial investigation shall be conducted by an IBADCC Ethi