The Code of Professional Responsibility and Rules & Procedures

June 2023


IV. Disciplinary Procedures — Initial Consideration

R4.1 — Complaint

A Complaint against any ABC Credential Holder may be submitted by: (i) any person or entity; (ii) any national, regional or state professional association of which the ABC Credential Holder is a member; (iii) any licensing or credentialing authority; or (iv) in accordance with Rule 4.3. The Complaint must be in writing, signed and must contain complete and accurate information as required by the ABC Complaint form and the Committee. The Complaint and supporting documents must be legible and may not exceed 20 pages without the prior approval of ABC.

R4.2 — Disclosure of Previous Actions

The Complainant shall inform the Committee of previous actions, if any, that have been taken with respect to the alleged unethical or unprofessional conduct and the results of such actions taken.

R4.3 — Committee Action

The Committee may proceed on its own initiative based on publicly available information that an ABC Credential Holder appears to have violated the Code by initiating an investigation or requesting information from the ABC Credential Holder or by submitting a formal Complaint.

R4.4 — Anonymous or Oral Complaint

The Committee may not act solely on the basis of an anonymous or oral Complaint.

R4.5 — Additional Information

The Committee may, through correspondence or otherwise, seek supplementary information from the Complainant or any other party, when necessary, in order to completely evaluate the substance of the allegations. In the event that the Committee determines that additional information is necessary but the Complainant refuses to, or cannot, provide such information, the Committee may determine that the case should be closed.

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