The Code of Professional Responsibility and Rules & Procedures

January 2020


VI. Disciplinary Procedures — Disposition of Complaint

R6.1 — Committee Action

If the Committee concludes that some type of action is warranted, it shall adopt any one or more of the following sanctions or take any other appropriate actions:

a. require that the ABC Credential Holder cease and desist the alleged conduct;

b. require the supervision of the ABC Credential Holder as the Committee deems necessary;

c. reprimand the ABC Credential Holder if the Committee determines there has been a Code violation but limited harm to another person, the public or the profession has occurred;

d. place the ABC Credential Holder on probation and monitor the ABC Credential Holder for a specific length of time;

e. if appropriate, refer the matter to a state licensing or certifying authority;

f. suspend the ABC Credential Holder’s credential;

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

h. require the ABC Credential Holder to take remedial personal rehabilitative or educational actions and/or;

i. take any other action that is warranted under the circumstances.

R6.2 — Notification of Committee Action

The Committee shall notify the Complainant and the ABC Credential Holder of its determination and action to be taken in writing within 30 days of the date of its decision. If the ABC Credential Holder has been suspended or has had his/her/its credential revoked, the ABC Credential Holder will not be eligible to obtain any other ABC credential during the period of the suspension or revocation.

R6.3 — Notice of Appeal

If the ABC Credential Holder desires to appeal (Appeal) the Committee’s decision, he/she/it must notify the Committee, in writing (Appeal Notice) within 15 days of the date of the Committee’s decision. The Appeal Notice must be: (i) mailed by certified mail, return receipt requested; (ii) mailed by verifiable overnight express mail service; or (iii) sent by electronic message, which is capable of being verified as coming from the ABC Credential Holder, to ABC’s headquarters. The Appeal Notice must include a detailed description of all reasons and bases for the Appeal. The Appeal Notice shall not be longer than 1,000 words and shall include only information previously not provided to the Committee. The Appeal must be based upon at least one of the reasons set forth in Rule R7.2. Along with the Appeal Notice, the ABC Credential Holder shall pay to ABC the applicable Appeal administrative fee in effect at the time. If the ABC Credential Holder accepts the Committee’s determination and sanctions or if the ABC Credential Holder does not Appeal within the 15 day time period, the Committee’s conclusions and sanctions shall be deemed final and be effective the date of the initial notification. The Committee shall so notify the Complainant and the ABC Credential Holder in writing. The Committee shall forward the Appeal Notice to the Board. The Board shall consider the written statement and all available evidence. The ABC Credential Holder shall pay for all of his/her/its own costs.

R6.4 — Board Appeal Panel

The Board may elect to establish a panel (Panel) consisting of at least three of its members, who are not simultaneously serving on the Committee to act on its behalf to review, consider and make a final determination regarding an Appeal. As used herein, the term Board shall mean Panel where the Board has constituted a Panel to act on its behalf pursuant to this Rule R6.4.