COPE - Complaint Procedures Against Members

The following procedures shall be followed in instituting and resolving complaints that a Member of the Association or an individual certified by the Association has violated the Code of Professional Ethics (Code), CLVS Code of Ethics (CLVS CODE), and/or Constitution & Bylaws (C&B) of the Association.

 

 

“Executive Director” refers to the Executive Director or his or her designated representative.

A. Filing and investigation of complaints

1. Any person may file a complaint against a Member of the Association or an individual certified by the Associationon an approved NCRA complaint form, or in a format meeting the requirements set forth in Paragraph A.2. The Executive Director shall promptly acknowledge receipt of all complaints. The Executive Director shall send a copy of these complaint procedures, the Code, or CLVS Code, whichever is applicable, and the C&B to the person making the complaint. If the complaint does not contain all of the required information, the Executive Director shall advise the person making the complaint that further information must be provided before any further action can be taken, and shall specify what further information is required. Any complaint not meeting the requirements of Paragraph A.2. will not be considered.
2. All complaints must be in writing, signed by the person making the complaint, and addressed to the Executive Director of the Association. All complaints must contain the name and address of the Member complained against, a description of the conduct complained of, and references to the specific provisions of the Code or CLVS Code and/or C&B involved in the complaint. In addition, the complaint must include all pertinent documentation which is made to substantiate the complaint, available at the time of the complaint. All complaints must be signed by the complainant and the complainant must affirm that the facts stated in the complaint are true and accurate to the best of the complainant's knowledge and belief. The complaint must also contain the complainant's consent for the Association's disclosure of the complaint to the Member or certified individual complained against, the members of the Committee of Professional Ethics, and Association directors, officers, and appropriate staff.
3. Despite the satisfaction of all the requirements of Paragraph A.2, the NCRA Executive Director, the Chair of the Committee and a NCRA staff liaison to the Committee may determine, in their sole discretion, not to send the complaint to the full Committee if the complaint (a) fails to state grounds upon which the Committee may recommend action; or (b) is beyond the scope or authority of the Committee. If the complaint involves purely business practice issues or ethics and business practice issues, as determined by COPE, the complaint will be referred first to alternative dispute resolution to address those issues outside the scope of the Committee. After the business practice issues have been resolved, the complainant may file an ethics complaint with COPE.
   
   If the complaint is not sent to the full Committee for the reasons set forth in this Paragraph, the NCRA Executive Director shall inform the complainant in writing of such fact and the reasons why the full Committee will not consider the complaint. The full Committee shall review all decisions not to send the complaint to the Committee at its regularly scheduled meetings and, on its own motion, may decide to consider a complaint previously dismissed.
4. Once a complaint is accepted for processing, NCRA will send all written communications to the person making the complaint and the Member or certified individual complained against by certified mail, overnight express courier, or hand delivery. The Executive Director shall forward a copy of the complaint to the Member or certified individual complained against, along with a copy of these complaint procedures and a copy of the appropriate Code of Professional Ethics, and request that the Member or certified individual respond to the complaint in writing within thirty (30) days from the date of the letter of notification. A copy of any response received shall be forwarded to all other parties.
5. NCRA shall keep confidential all records, documents, files, and evidence pertaining to a complaint, and proceedings will be closed to the public, except as may be necessary for compliance with these complaint procedures or to take ancillary action with respect thereto, or unless ordered otherwise by a court or agency of competent jurisdiction. Any party initiating a complaint shall agree in writing not to disclose all or part of any record, document, file, evidence, the decision of the Committee or any decision of the Board as well as to indemnify and hold harmless the association from any claim or action that may result from such improper disclosure. Furthermore, any party violating these confidentiality provisions shall be subject to sanctions under these procedures. If a reporter's membership is suspended or revoked for violating the Code, NCRA shall publish that information in the Journal of Court Reporting or other NCRA publication, after a decision on a complaint is final (i.e. the Committee has rendered a decision on an unappealed complaint or the Board has rendered its decision on an appealed complaint). Should a Member resign his or her membership in NCRA while an ethics complaint is pending, the Committee shall complete the processing of the complaint as specified in these procedures.

B. Proceedings by the Committee on Professional Ethics

1. When the thirty-day (30) period has elapsed, the Executive Director shall forward the complaint, documents submitted, and the response, if any, to the Committee on Professional Ethics. The Committee on Professional Ethics may reach its decision based on the complaint and the response, if any, or may ask the Executive Director to obtain additional information. The Committee may also grant an opportunity for the person making the complaint and the Member or certified individual complained of to be heard either in person, through legal counsel, or in a format agreed to by all parties. If the Committee determines there are disputed issues of fact that are material to its decision, it may grant any party an opportunity to present relevant information, including documents and witnesses, and an opportunity to cross-examine the witnesses called by any party. The Committee shall be the judge of the relevance and materiality of any information offered, and conformity to legal rules of evidence shall not be necessary.
2. The Committee shall thereafter prepare a written decision containing its findings of fact and conclusions. It may issue a cautionary letter, warning, or statement of advice to the Member or certified individual. The Committee may on a case-by-case assign an ethics seminar to Members or certified individuals who have violated the Code. If the Committee requires a Member or certified individual to take one or more ethics seminars, the reporter or certified individual will be informed of this requirement in their decision letter.
   
   Alternatively, the Committee may recommend to the Board of Directors that the Member be expelled or suspended (up to one (1) year) from the Association, or may order that the Member or certified individual be reprimanded. If the Committee decides that a member or certified individual be suspended or expelled from the Association or their certification revoked, this decision shall not become effective unless it is sustained by the Board of Directors in accordance with the Constitution & Bylaws. The committee decision for expulsion or suspension or certification revocation requires a two-thirds (2/3) vote of the Board of Directors at a meeting at which a quorum is present.
3. The Committee shall inform all parties as to the status of the complaint within ninety (90) days after the case is received by the Committee from the Executive Director. If a hearing is scheduled, the Committee shall render its decision within sixty (60) days after the hearing is completed. Notwithstanding the above, the Committee or the Board may suspend the processing of the complaint pending the outcome of any related administrative, civil or criminal proceedings, or for any other reason deemed appropriate by the Committee or the Board to ensure fairness or due process for all parties.

C. Appeals

1. The Executive Director shall promptly send a copy of the decision of the Committee on Professional Ethics to the person making the complaint and the Member or certified individual complained against. If a party wishes to appeal the Committee's decision, such appeal must be filed in writing to the Board of Directors within 30 days from the date of the letter notifying all parties of the Committee's decision. The appeal must specify the grounds upon which the party contends the Committee's decision is erroneous and should be revised.
2. If no appeal is taken within the thirty-day (30) period from a decision by the Committee on Professional Ethics, the Committee’s decision will be final and a copy of the decision will be placed in the Member’s or certified individual 's confidential file; provided that the Board of Directors shall sustain any decision to suspend or expel a Member or revoke a certified individual’s certification in accordance with the Constitution & Bylaws.
3. If an appeal is received within the thirty-day (30) period, the Executive Director shall forward it to the other parties to the proceeding. Any party to the proceeding desiring to respond to the appeal must do so within fifteen (15) days from the date of the Committee's letter of notification that an appeal has been made. When the fifteen-day (15) period has elapsed, the Executive Director shall forward to the Board of Directors the appeal, any response, and all other documentation relating to the matter. The Board may decide the matter on the basis of these documents, or may grant a request for oral argument made by any party, in person or through their attorney. The Board may affirm, reverse, modify, or return the decision to the Committee on Professional Ethics for further review with specific reasons therefor.

D. Costs and expenses

1. Each party shall bear his or her own costs and expenses with respect to any proceeding, except in regard to an appeal of the Committee's decision. In that case, at the discretion of the Executive Director, each party shall be required to bear the costs for producing copies of all documents necessary for the Board to review and decide the appeal.

 

Download COPE complaint form for members