Persons wishing to file a complaint against a member of FCPAA may send a written statement of their grievance to us at info@fcpai.org. There is no specific form the complaint must take; a letter or email is okay. The complainant should include full details of the suspected delinquency along with any documentary evidence he or she may have to support the accusations.
If a formal complaint is received by the FCPAA against a FCPAi, the General Counsel’s office shall commence the complaint practice described below. A “formal complaint” is defined as a written statement from an identified entity or individual alleging conduct which, if proven, would form a breach of the FCPAA Professional Code of Conduct and Ethnics. The General Counsel’s office may also commence a formal complaint on its own authority if it otherwise accepts probative evidence that a Member has committed a breach.
The General Counsel shall assess the complaint to verify if it is supported by convincing evidence. In order to perform the assessment, the General Counsel is allowed to:
The General Counsel shall have the right to release the complaint if no probable evidence is found. The General Counsel may contemplate, but shall not be bound by, any prior judgment on the issue made by any lawmaking, regulatory, or professional body.
If the General Counsel decides that there is probable evidence of a breach, he or she shall report the Member of the charges and provide duplicate of the evidence in support thereof, afford the Member sixty days to respond to the charges, and perform any other examination deemed necessary to reasonably assess the complaint, including but not bounded to:
Once the General Counsel has concluded the assessment, he or she shall bring the evidence that has been gathered in evaluation of the complaint, including the original complaint and the Member’s reply, to each Board of Review member.
If at any time during the assessment of the complaint, the General Counsel finds compelling evidence that the nature of the alleged actions by the member poses a serious threat to the reputation of the FCPAA, the General Counsel may suggest that the Board of Regents temporarily postpone the member pending the outcome of the disciplinary process.
If, because of the identity of the person against whom the complaint was lodged or for any other grounds, the General Counsel has a conflict of interest in the case or there is the manifestation of a conflict of interest, the General Counsel shall decline him/herself from the case and if necessary an Independent Counsel may be selected by the Board of Regents with consultation from the Board of Review. If an Independent Counsel is selected, he or she will operate in the same power as would the General Counsel under these Disciplinary Procedures.
Each member of the Board of Review will independently evaluate the materials provided by the General Counsel. The members of the Board of Review will then discuss with and arrive at a agreement on what action the FCPAA should take. The Board of Review may, without restriction, conduct such inquiry as it deems necessary on a case-by-case basis in making its determination. Any expenses incurred in the investigation are subject to approval of the Board of Regents.
The Chairperson of the Board of Review will prepare a letter which reports the Board of Review’s recommendation in the case. The letter of recommendation shall include an inclusive statement of the findings of fact and conclusions reached by the Board of Review in the case. The letter of recommendation will be sent to the Board of Regents for action as set forth in Section IV.
If a member of the Board of Review decides that he or she has a conflict of interest in the case, or if there is the manifestation of a conflict of interest, that member shall decline him/herself from the case as soon as feasible. If a member declines him/herself, the Board of Regents may appoint a Temporary Member for the case who otherwise meets the qualifications for service on the Board of Review. If a majority of the members of the Board of Review decline themselves from the case, the Board of Review shall end its deliberation and refer the case directly to the Board of Regents. The Board of Regents may choose to conduct a deliberation on the case pursuant to Section III of these Disciplinary Procedures, or it may choose to appoint Temporary Members of the Board of Review, who otherwise meet the qualifications for service on the Board of Review, to take the place of those members who have declined themselves. If Temporary Members are appointed, the case shall be referred back to the provisional Board of Review for deliberation according to Section III of these Disciplinary Procedures as set forth above.
As further specified in the Bylaws of the Association, the rights and privileges of all Members are subject to requirements and qualifications determined from time-to-time by the Board of Regents, within its exclusive authority and control. All of the Members acknowledge the exclusive authority and control of the Board of Regents as a primary condition of the rights and privileges of membership. All disciplinary actions are within the exclusive authority and discretion of the Board of Regents.
When the Board of Regents obtains the recommendation letter from the Board of Review pursuant to Section III, it will check up the recommendation and decide on the action, if any, to be taken. The practices for such examination, including without limitation review of the original case file and the conduct of further examination, will be at the discretion of the Board of Regents as it may deem suitable on a case-by-case basis. The Board of Regents may order expulsion, suspension for up to two years, probation, public or private reprimand, or any other disciplinary, remedial, or corrective action it deems appropriate. The decision of the Regents shall become effective at the time it is made.
The decision of the Regents is final and non-appealable. Any decision by the Board of Regents will be promptly communicated to the President of the FCPAA to be carried out. The General Counsel will notify the Member and the complainant of the Regents’ decision without undue delay.
If a member is found accountable by a court of competent jurisdiction of a crime punishable by imprisonment of more than one year, a felony, or any crime involving moral turpitude, a complaint against that member may be presented directly to the Board of Regents without regard for Sections II and III of these procedures, except:
In such event, the Board of Regents may expel the member, suspend the member pending an investigation of the complaint, or take any other disciplinary, remedial, or corrective action it deems appropriate.
The General Counsel and the Board of Review shall provide the Board of Regents with a written status report at each of the Regents’ annual meetings. The report shall include a list of complaints currently pending, including the name of the member who is referenced in the complaint, the person(s)/entity submitting the complaint, a brief description as to the nature of the complaint, and the current status of the complaint. The Board of Regents may request the General Counsel and the Board of Review to provide an interim status report at any time, as deemed necessary.
The General Counsel will keep hold of secure manner and in confidential all relevant records regarding the complaint. All documents pertaining to disciplinary investigations are the property of the FCPAA.
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