The Code of Professional Responsibility and Rules & Procedures

June 2023


II. Nature of Authority

R2.1 — Power to Investigate

The Committee shall have the power to, but shall not be obligated to, investigate all Complaints that may be harmful to colleagues or to the public, or that may be otherwise contrary to the objectives of the Code or ABC, provided that such allegations are made in writing, including Complaints that may be initiated by ABC or the Committee. The Committee’s powers do not extend to: (i) addressing economic issues as they relate to legitimate marketplace competition: or (ii) consumer dissatisfaction oriented complaints that may be resolved through judicial, quasi-judicial or other means.

R2.2 — Disposition of Complaints

The Committee has the sole authority to decide whether to act on a Complaint and to make final determinations regarding each Complaint, subject to the Board’s authority to conduct an appeal as set forth in these Rules.

R2.3 — Committee Actions

After the Committee has determined to proceed with an investigation of allegations set forth in a Complaint, and subsequent to the Committee’s investigation of the allegations set forth in the Complaint, in accordance with Rule R6.1, the Committee shall take any or all of the following actions:

a. notify all parties in writing that no Code violations were found and no action is warranted against the ABC Credential Holder;

b. request that the ABC Credential Holder cease the improper conduct, accept supervision or seek appropriate assistance;

c. reprimand the ABC Credential Holder;

d. place the ABC Credential Holder on probation;

e. suspend the ABC Credential Holder’s credential for a specific amount of time or indefinitely;

f. permanently revoke the ABC Credential Holder’s credential;

g. refer the matter to the proper authorities, if appropriate; and/or

h. propose other action that is warranted under the circumstances.

R2.4 — Monetary Award

The Committee will not determine or impose monetary awards to any party.

R2.5 — Committee Meetings

The Committee shall meet at reasonable intervals, as needed, but not less than four times each year. A quorum at such meetings shall consist of a majority of the members of the Committee. The Committee may meet by telephone and/or video/virtual conference call. All Committee members must be given at least 10 days advance written notice of any meeting, provided that such notice may be waived by any member of the Committee or by the attendance of any member of the Committee at the meeting. Notices may be communicated by mail, telephone, electronic transmission or by facsimile.

R2.6 — Confidentiality

All information disclosed to the Committee or the Board shall be maintained on a confidential basis, except that the Committee and the Board shall be permitted to disclose such information when compelled by a validly issued subpoena, when otherwise required by law, to law enforcement officers or government agencies if warranted and as determined by ABC or the Committee in its sole and absolute discretion, or to parties essential to the review and investigation of the alleged unethical or unprofessional conduct. Public information shall not be considered confidential information for purposes of this Rule.

R2.7 — Determination

When an investigation of a Complaint has been completed and the Committee has made its decision, it shall inform both the Complainant and the ABC Credential Holder of its conclusions and the actions to be taken, if any, along with the bases for such actions. Such disclosures shall include a citation to the Code section(s) violated by the ABC Credential Holder.

R2.8 — Record Keeping

The Committee shall establish reasonable procedures to ensure that confidentiality is maintained with respect to the handling, storage, maintenance and destruction of records.

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