Professional Standards Part 2 - The Process

It is not mandatory that the Respondent participates in the research process. However, it is highly encouraged to do so. It is important that the researchers understand and hear both sides of the event. The Respondent will be notified of who the researchers are along with a deadline to sign the Consent to be Researched form. If the form is not completed, the researchers will not reach out.

Any Researcher appointed to research a Complaint, shall have the authority to require any Member to produce all records, documents and writings or other items within the possession of the Member that may be required as part of the research and shall be dealt with by the Professional Standards Review Panel.

Where a member fails or refuses to produce the documents or records requested by the Researchers, such failure or refusal shall be considered a breach of the Arbitration and Professional Standards Policies.

The Allegation Statement shall set out in writing the misconduct or omission which the Respondent is alleged to have done or failed to do along with the specific sections. It is not mandatory to respond, however, if the Respondent wishes to file a Response, it must be sent within seven days from the date of Notice. The Allegation Statement, along with the Researcher’s report, if any, and Response, if any, and the Complaint will be forwarded to the Professional Standards Review Panel.

Depending on the breach, the Allegation Statement may be accompanied by a proposed Offer to Settle or a Special Administrative Penalty. The Offer to Settle allows a Member to forgo a Hearing IF they accept the Offer to Settle. The Respondent must request the Offer within fourteen days from the Notice of the Professional Standards Review Panel decision.

If no request is made, or if the Member refuses the offer, the matter will proceed to a Professional Standards Hearing. If an Agreement to Settle is confirmed by the Respondent, the Respondent will be required to comply with the terms in full.