AACE Ethics Complaint Procedure
Updated: 15Feb12 @ 10:15 AM EST
AACE ETHICS COMPLAINT PROCESS / PROCEDURE
INTRODUCTION: The following rules and polices govern the procedures for AACE International,
Inc. (“AACE”) Ethics Committee and Ethics Appeals Panel.
AACE’s Certification Board has instituted other procedures that govern actions of the Certification Board
associated with ethical violations specific to those seeking to achieve one of AACE’s various
certifications. Any ethical violation is subject to only one proceeding either under the Certification Board
or Ethics Committee.
If an alleged violation is dismissed by either of the Certification Board or Ethics Committee, such
dismissal shall not prohibit reintroduction of the alleged violation to either body so long as significant
additional facts are presented for consideration. Determination as to what constitutes “significant
additional facts” is the sole purview of the Ethics Committee. Repackaging of existing facts does not
constitute introduction of “new or additional facts.” Appeals from either the Certification Board or the
Ethics Committee shall be subsequently taken by the Ethics Appeals Panel under rules and procedures
governing that Panel. A reapplication with “new facts” is not applicable to an Appeal of an Ethics
Committee Final Determination.
GENERAL CONSIDERATIONS & PROCDURES:

COMMUNICATION DURING THE COMPLAINT PROCESS: All formal communication
originating from Ethics Committee, Ethics Appeals Panel, Certification Board or Executive
Director with an alleged violator of AACE International Canons or Ethics shall be transmitted
and tracked via US Mail or express courier as appropriate. Transmission by email of this same
material to the alleged violator of AACE International Cannon of Ethics is also permissible for
information purposes only. Communication from the alleged violator of AACE International
Canons of Ethics may be made either through email, postal service or courier with the
understanding that prompt receipt of any such communications is essential. All communications
are to be addressed to AACE’s Ethics Committee or Ethics Panel as appropriate, at AACE’s
official mailing address in Morgantown, West Virginia, USA.

ENGLISH LANGUAGE GOVERNS: All communications between the parties are to be in
written or spoken English. In the event the complainant or alleged ethics violator does not speak
and/or write English, then it is incumbent upon that party to bear the cost of and make provisions
for any necessary translation services. At the discretion of the Chair of the Ethics Committee or
Appeals Panel, translation services may be provided for the benefit of the Association.

INFORMAL RESOLUTION: It is the expressed intent of AACE’s Ethics Complaint
Procedure that all ethics allegations are expeditiously, and to the maximum extent practicable,
resolved prior to becoming a formal Ethics Complaint. To that end, it is incumbent upon the
Complainant and the Association to seek early informal resolution through discussions as
appropriate with relevant parties. In most cases, potential Complainants are encouraged to seek
resolution directly with the person they believe may have violated AACE’s Cannons of Ethics
prior to the filing of a formal Complaint. If such informal resolution cannot be reached
expeditiously then the Complainant may, upon following all applicable AACE ethics policies and
procedures, file a formal ethics complaint with the Association.

ETHICS COMPLAINT TRACKING: Upon first formal notice of an ethics complaint,
AACE’s Executive Director will track the progress of the Complaint through final resolution. In
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the event that allegations involve AACE’s Executive Director or staff sensitive information, then
responsibility for tracking of the complaint will fall to the Ethics Committee Chair.
1.

ETHICS COMMITTEE & ETHICS APPEALS PANEL MEMBERS: The Chair of the
Ethics Committee and the Chair of the Ethics Appeal Panel are designated by the Association
President and approved by the Association Board of Directors for staggered three year terms.
AACE’s Ethics Committee and Ethics Appeals Panel members are constituted on an as-needed
basis from a standing roster (the “Pool”). The Pool is comprised of senior AACE Members who
have a minimum of 10 years service to the Association and have relevant background and
experience to handle ethics complaints. The Chairs of the Ethics Committee and Appeals Panel
are non-voting members of any constituted Ethics Hearing Committee or Appeal Panel.

POOL MEMBER SERVICE FOR A SPECIFIC ETHICS COMPLAINT: An Ethics
Hearing Committee or Appeal Panel member may serve on either as long as they do not have a
conflict of interest relevant to the Complaint. An Ethics Hearing Committee member may not
(a) concurrently serve on an Appeal Panel on a different matter, (b) serve on a Formal
Investigation Team in the same matter, or (c) subsequently serve on an Appeal Panel involving
the same or related issues or parties involved in a predecessor Hearing Committee hearing or
action. The size and composition of each Hearing Committee or Appeals Panel will be an odd
number, not including the respective Chairs, as determined by the Chair to adequately address the
instant complaint.
HOW A COMPLAINT MAY BE FILED:
a) Who may file an Ethics Complaint: A Complaint against a Member, Credential Holder or
Credential Candidate must be submitted in writing. Any person may file a Complaint alleging
that a Member, Credential Holder or Credential Candidate appears to have violated the AACE
International Canons of Ethics. The Chairs of either the Certification Board or Ethics Committee
may initiate a complaint on his/her own initiative. Anyone may file an Ethics Complaint whether
or not they are a Member of AACE.
b) When may an Ethics Complaint be filed: A Complaint may be filed at any time within oneyear of the alleged infraction of the Canons of Ethics. Complaints for alleged violations that
occurred more than a year in advance of the original Notice of Complaint shall not be heard.
c) Member, Certificate Holder or Credential Status. A Member or Certificate Holder shall be
subject to these Rules and Procedures irrespective of whether their membership or certification
status has changed in any manner subsequent to the alleged violation. Candidates for AACE
Certifications are subject to the separate Certification Board ethics complaint process. Until that
process is fully adjudicated and/or a referral is made to the Ethics Committee by the Certification
Board, the Ethics Committee shall not review or hear the alleged complaint.
d) AACE Affinity Program Members. An Ethics Complaint may involve a member who is also
part of or the primary point of contact for an AACE program such as Corporate Sponsor,
Approved Education Provider (AEP), etc. As such, as part of the Final Determination issued by
the Ethics Committee or a Final Appeal Decision by the Appeal Panel, who may make
recommendations to the appropriate body within the Association to take certain action relative to
the alleged Ethics Violation.
e) AACE Staff Members Not Covered. Employees of AACE International, Inc. who it is alleged
that they may have violated AACE’s Cannons of Ethics, are not covered by ACCE’s Ethics
Complaint Process. Instead, AACE employee Human Resources policies and practices shall
govern any investigation and adjudication of such alleged violations.
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f) What must be included in a Complaint: All Complaints must be formally submitted in writing
to the Executive Director or either of the Chairs of the Certification Board or Ethics Committee in
a form that complies with the appropriate requirements. Irrespective of to whom the Complaint is
submitted, all Complaints shall also be copied to AACE’s Executive Director unless the
Executive Director has a conflict of interest in the Complaint. In such cases of a conflict of
interest, the Complaint will be filed with the President.
The written Complaint submitted, at minimum, shall include the following:
(1) Name, address, email and telephone number of the Complainant;
(2) Name, address, email and telephone number of the Member, Certificate Holder or Certificate
Candidate alleged to have violated the AACE Canon of Ethics.
(3) Specific sections of AACE’s Canons of Ethics policy in effect at the time of the alleged
violation (while the Cannons of Ethics policy in effect at the time governs whether an
alleged violation may have taken place, the allegations will be reviewed and resolved using
AACE’s Ethics Complaint Procedures in place at the time of the filing and adjudication of the
Complaint);
(4) An adequate description of the facts supporting the Complaint including documentation
relating to the allegations;
(5) A description of previous steps or actions, if any that have been taken with respect to the
alleged unethical or unprofessional conduct and the results of such steps or action.
(6) The Complainant’s approval for the Ethics Committee to disclose all information to the
Member, Certificate Holder or Certificate Candidate and the members of the Ethics
Committee, Ethics Appeals Panel and Executive Director; and
(7) The signature of the Complainant.
g) Anonymous Complaint. No action will be taken solely on the basis of an Anonymous
Complaint.
2. HOW COMPLAINTS ARE HANDLED
a) Incomplete Complaints. If the Ethics Committee Chair, assisted by AACE’s Executive Director,
determines that the Complaint does not sufficiently address what must be included in a
Complaint, then steps may be undertaken to rectify the incomplete items or, as appropriate,
dismiss the Complaint for failure to include the necessary elements that must be included in a
Complaint, and the Complainant so notified. Such a dismissed complaint may be re-filed so long
as the alleged violation occurred within one year of the re-filing and the re-filing is found to be
complete.
b) Complaints without merit. If the Ethics Committee chair, assisted by the Executive Director,
determines that the Complaint does not have merit, meaning the facts presented are
inconsequential, unreliable, or present irrelevant information, the Complaint will be dismissed
and the Complainant so notified.
c) Complaints with potential merit. If the Ethics Committee Chair, assisted by the Executive
Director, determines that the Complaint has merit, a Preliminary Investigation will be initiated,
and the Complainant and Member, Certificate Holder or Certificate Candidate (hereinafter
referred to as the “Alleged Violator”) shall be notified. The notice shall include:
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(1) Basic facts of Complaint identifying alleged violation. Notice shall include a description of
alleged issues involved in Complaint, including specific sections of AACE’s Canons of
Ethics alleged to have been violated by Alleged Violator.
(2) Name of Complainant, which may be included or withheld as necessary to preserve due
process and confidentiality at the sole discretion of Chair of the Ethics Committee;
(3) A complete copy of these Rules and Procedures that the Complainant attests that it has
followed in providing this Notice;
(4) A request that any specific information to assist in investigation of the Complaint be provided
in the form of a written response and supporting documentation within thirty (30) days of
receiving the notice along with a statement that all information submitted by the Alleged
Violator shall become part of the record, may be used in further proceedings, and only be
disclosed in accordance with Policies on Confidentiality, Public Notice of Sanction, and
Record-Keeping of Proceedings set forth within these rules;
(5) Once a decision is made to conduct an Ethics Hearing, an Ethics Hearing Committee will be
constituted. The Chair of the Ethics Committee will identify three members drawn from the
Ethics Committee Pool and who will serve as the only voting members of the Ethics Hearing
Committee.
(6) The names of the individuals who will be serving on the Ethics Hearing Committee
reviewing the Complaint will be reported to the Alleged Violator. Appointed members of the
Ethics Hearing Committee may not (a) concurrently serve on an Appeal Panel on a different
matter, (b) serve on a Formal Investigation Team in the same matter, or (c) subsequently
serve on an Appeal Panel involving the same or related issues or parties involved in a
predecessor Hearing Committee hearing or action. The Alleged Violator may submit a
written petition within fifteen (15) days to the Ethics Committee Chair identifying any
conflict of interest concerns as to Ethic Committee members detailing such concerns, and, as
appropriate, asking for recusal of any such member. The Ethics Committee Chair shall have
final authority as to the disposition of such requests, and may appoint other Members in good
standing as replacement members of the Ethics Committee. The Ethics Committee may act
without replacement of recused members.
3. PRELIMINARY INVESTIGATION.
The Ethics Committee Chair, assisted by the Executive Director and legal counsel (at the discretion of the
Ethics Committee Chair), shall be responsible for conducting a preliminary investigation of the
Complaint and may seek additional information pursuant to the investigative methods outlined in the
section of these Rules and Procedures entitled “Method of Conducting Investigation” (¶4d). The Alleged
Violator’s failure to respond to the Complaint, or any other unwarranted delay or lack of cooperation by
that party shall not prevent the continuation or conclusion of any proceedings.
Once preliminary information and any other requested information have been considered pursuant to
these Rules and Procedures, the Ethics Committee Chair, in consultation with the Executive Director,
shall make either a:
a) Recommendation for Early Resolution. The Ethics Committee Chair, assisted by the Executive
Director may make a recommendation that an early resolution is possible and should be pursued.
Such early resolution may be possible through mediated discussions between the Complainant
and the Alleged Violator. Whenever possible, informal resolution of a Complaint should be
facilitated to the benefit of all involved.
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b) Recommendation for Action by the Ethics Hearing Committee. The Ethics Committee Chair,
assisted by the Executive Director shall make a recommendation to the Ethics Committee that
action be taken in accordance with the possible sanctions or actions identified in “Types of
Disciplinary Actions” (see ¶ 5c below).
(1) The Ethics Hearing Committee shall carefully consider its charge to protect the Association
and the public against unprofessional and unethical conduct, as well as the gravity of the
findings when determining disciplinary action. Alleged ethical violations will be reviewed
and considered under the Canon of Ethics in effect at the time of the alleged violation (while
the Cannons of Ethics policy in effect at the time governs whether an alleged violation may
have taken place, the allegations will be reviewed and resolved using AACE’s Ethics
Complaint Procedures in place at the time of the filing and adjudication of the Complaint). A
vote shall be taken as to the disposition of the matter, determined by a majority of the Ethics
Hearing Committee. In the event that a majority support is not obtained, the Committee may
consider and hold subsequent votes as to the disposition of the matter, including on other
disciplinary actions as allowed by the section of these Rules and Procedures entitled “Types
of Disciplinary Actions” (see ¶ 5c below)
(2) Within ten (10) days from the date of its decision, the Ethics Committee Chair shall notify
both Complainant and Alleged Violator of Ethics Committee’s Final Determination and, as
appropriate, the actions to be taken, if any, along with basis for such actions, including a
citation to any and all AACE’s Canons of Ethics that were violated by the Alleged Violator.
Notice to the Alleged Violator of a Final Determination shall also include a summary of the
Appeals provisions of these Rules and Procedures, the date by which such appeal must be
filed otherwise the matter is closed, relevant confidentiality requirements, any public notice
of sanction, and record-keeping rules.
c) Recommendation for a Formal Investigation. The Ethics Committee Chair, assisted by the
Executive Director, shall refer the matter for a Formal Investigation in accordance with ¶ 4
below.
4.
PROCEDURE FOR FORMAL INVESTIGATION.
Within thirty (30) days of conclusion of a Preliminary Investigation that finds the Complaint requires
Formal Investigation, the Ethics Committee Chair shall appoint an Investigative Team (the “Team”). No
member who serves on an Ethics Hearing Committee reviewing the Complaint may be on the
Investigative Team concerning the same matter.
a) Purpose of Preliminary Investigation Team. This team is to collect enough factual information
as appropriate to test the veracity of the Complaint. Alleged ethical violations will be reviewed
and considered under the Canon of Ethics in effect at the time of the alleged violation (while the
Cannons of Ethics policy in effect at the time governs whether an alleged violation may have
taken place, the allegations will be reviewed and resolved using AACE’s Ethics Complaint
Procedures in place at the time of the filing and adjudication of the Complaint). From that
preliminary investigation, the Team will make a summary report and recommendations on path
forward to the Ethics Committee Chair.
b) Notice of Formal Investigation. If a Formal Investigation is initiated, the Alleged Violator shall,
once an Investigative Team has been appointed, be notified of such investigation and the
members of the Investigative Team. The notice will advise the Alleged Violator that he or she
will have another thirty (30) days from receipt of notice to provide any further information to the
Team and that he or she may also be asked to respond to additional questions or information
requests.
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AACE Ethics Complaint Procedure
c)
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Composition of Investigative Team. This team shall be designated and appointed at the
discretion of the Chair of the Ethics Committee. The appointed Team shall be comprised of three
(3) members from the Pool who may not (a) concurrently serve on an Appeal Panel on a different
matter, (b) serve on the Ethics Hearing Committee in the same matter, or (b) subsequently serve
on an Appeal Panel involving the same or related issues or parties involved in a predecessor
Hearing Committee hearing or action.. The Ethics Committee Chair shall be authorized to
participate in the discussion and deliberation of matters pending before each Team. The Team
shall take action and make recommendations by consensus and the Chair of the Committee shall
not vote.
d) Authority of the Investigative Team. The Team, in consultation with the Executive Director,
may investigate and seek additional information pursuant to the investigative methods outlined in
the section of these Rules and Procedures entitled “Method of Conducting Investigation” (see ¶
4e below) and shall make a recommendation for action to the Ethics Committee.
e) Method of Conducting Investigation. An investigation may be conducted by collecting
information, including documentation, conducting phone inquiries and through any other
appropriate or similar means of inquiry, including:
(1) AACE Records. The Alleged Violator’s membership records and other relevant documents
in AACE’s business files may be reviewed and due consideration given to any elements
contained therein.
(2) Subject matter Experts. Experts may be retained and consulted with as necessary to assist in
investigations. The expert may be an individual selected by the Ethics Committee, or a
member of an acknowledged peer group or another responsible organization. Any expert
retained and consulted with must sign an appropriate agreement setting forth the expert’s
agreement to maintain all information as confidential.
(3) Additional Information. Additional information may be sought in any legal manner,
including supplementary information from the Complainant in writing or interviews, or from
any other party, when necessary, in order to completely evaluate the substance of the
allegations. In the event that the additional information is deemed necessary but the
Complainant refuses or fails to provide such additional information, it may be determined
that the case should be closed, or proceed based on the information before the Ethics Hearing
Committee. In the event that the additional information is not provided in a timely fashion,
considerations may proceed based on the information on hand.
(4) Additional Violations. If, during the course of its investigation, the Team or Ethics
Committee determines that there may be additional violations of the AACE Canons of Ethics,
then such violations may be investigated and appropriate findings regarding such additional
violations may be reached in accordance with these Rules and Procedures. Such findings
may form the basis for a new Complaint or be included in the originating Complaint.
f) Investigation Team Deliberation. The Team shall review all of the information and arrive at a
consensus and forward a recommendation to the Ethics Committee Chair. The Ethics Committee
Chair shall be authorized to participate in the discussion and deliberation of matters pending
before the Team, but shall not direct or vote on their recommendations. The Ethics Committee
Chair shall either (1) return the recommendation of the Team for further consideration, or (2)
forward the recommendation to the Ethics Hearing Committee originally formed for this matter. .
5. ETHICS HEARING COMMITTEE DELIBERATIONS
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The Ethics Hearing Committee, assisted by Executive Director as appropriate, will deliberate on the
recommendation of the Investigation Team, with access to the entire written record, in a private and
confidential manner. The Alleged Violator shall be granted an opportunity to present an oral and/or
written statement to the Ethics Hearing Committee via conference call or in person. The Ethics
Committee Chair shall have sole discretion as to the manner in which such oral statement is presented.
Only the Alleged Violator will be allowed to speak on his/her own behalf. Exceptions may be made for
the sole purposes of facilitating language translation. The rules of evidence shall not apply. The Ethics
Hearing Committee shall be instructed as to the full range of actions it may take as described in paragraph
5 (b).
The Ethics Hearing Committee shall in no circumstance conduct a trial-type hearing, and the rules of
evidence shall not apply. The parties (Complainant, Alleged Violator, etc.) must speak on their own
behalf and not utilize the services of a lawyer or consultant to act as an advocate. An exception is
permissible only as it pertains for the need of a translator, who shall only act as a translator and not an
advocate.
The Ethics Hearing Committee shall carefully consider its charge to protect the Association and the
public against unprofessional and unethical conduct, as well as the gravity of the findings when
determining disciplinary action. A vote shall be taken as to the disposition of the matter, determined by a
majority of the Ethics Hearing Committee. In the event that a majority support is not ascertained, the
Committee may consider and hold subsequent votes as to the disposition of the matter, including on other
disciplinary actions as allowed by the section of these Rules and Procedures entitled “Disciplinary
Actions” (5b)
a) Notification of Ethics Hearing Committee Determination. Within seven (7) days from the date
of its decision following an investigation, the Ethics Committee Chair shall notify both the
Complainant and the Alleged Violator of the Committee’s Final Determination and, as
appropriate, the actions to be taken, if any, along with the basis for such actions, including a
citation to any and all AACE International Canons of Ethics policies that were violated by the
Alleged Violator. The notice to the Alleged Violator shall also include notice of the Appeals
provisions of these Rules and Procedures, the date such appeal must be filed, the relevant
confidentiality, any public notice of sanction, the membership of the Ethics Appeals Panel and
record-keeping rules.
b) Form of Final Determination. The Ethics Hearing Committee’s Final Determination will be
comprised to two parts:
(1) The Decision: A simple statement of who, what where and when that summarizes the
findings of the Ethics Hearing Committee.
(2) The Reasons: The why of the Decision – consisting of a statement, often in bullet form
style, describing why the Ethics Hearing Committee came to their decision.
c) Disciplinary Actions. One or more of the following disciplinary actions may be taken as deemed
appropriate by the Ethics Hearing Committee, or, in the case of an Appeal, the Ethics Appeals
Panel:
(1) Private Sanction Disciplinary Actions:
a. Notify all parties, in writing, that no action is warranted;
b. Require that the Alleged Violator cease and desist the alleged conduct;
c. Request that the Alleged Violator cease the improper conduct, accept supervision or seek
appropriate assistance;
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d. Reprimand Alleged Violator in writing if there has been a violation of the Canon of
Ethics but no harm to another person, the public or the profession has occurred;
e. Censure the Alleged Violator if there has been a violation of the Canon of Ethics policies
but the harm done is not sufficient to warrant more serious action;
f.
Place the Alleged Violator under probation and monitor the Alleged Violator’s conduct.
The terms and length of probation will be set forth in the Final Determination and
monitored by AACE Headquarters;
g. Refer the matter to the proper authorities for criminal prosecution;
h. Refer the matter to a national, regional, state or local professional associations and/or a
licensing or certifying authorities;
i.
Take any other action that is warranted under the circumstances.
(2) Public Sanction Disciplinary Actions
a. Suspend the Alleged Violator’s status for an appropriate period of time, including
permanently, if necessary;
b. Revoke the Alleged Violator’s status for an appropriate period of time, including
permanently, if necessary.
(3) Multiple Sanctions. The Ethics Hearing Committee (or, in the case of an Appeal, the Ethics
Appeals Panel) may apply more than one sanction as deemed appropriate.
6. APPEALS PROVISIONS
a) Appeal of the Ethics Hearing Committee decision. The Alleged Violator shall have sixty (60)
days from the date of Notification of the Ethics Committee Determination is transmitted to
deliver a written appeal of the Ethics Hearing Committee findings. Failure to timely appeal the
Ethics Hearing Committee determination shall be deemed to be final and conclusive acceptance
of the Ethic Hearing Committee’s Final Determination and closure of the matter. Thereafter, the
Ethics Hearing Committee’s conclusions and sanctions shall be immediately imposed.
b) Appeal of the Certification Board’s decision. In the case of an Appeal from the Certification
Board’s ethics violations process, the Alleged Violator shall have sixty (60) days from the date of
Notification of the Certification Board’s Determination is transmitted, to deliver a written appeal
of the Certification Board’s findings. Failure to timely appeal the Certification Board’s
determination shall be deemed to be final and conclusive acceptance of the Certification Board’s
Final Determination and closure of the matter. Thereafter, the Certification Board’s conclusions
and sanctions shall be immediately imposed.
c) Appointment of an Appeals Panel. The Chair of the Ethics Appeals Panel will identify three
members from the Pool. These members will serve as the only voting members of the Ethics
Appeals Panel for the subject matter. The members may not, (a) concurrently serve on an Appeal
Panel on a different matter;, (b) have served on the Ethics Hearing Committee or Investigation
Team in the same matter, or (c) serve on an Appeal Panel involving related issues or parties
involved. Individuals who will be serving on the Ethics Hearing Committee reviewing the
Complaint will not be eligible to serve on the Appeals Panel.
d) Objections to the Composition of the Appeals Panel. If the alleged Violator has any objections
to the membership of the Ethics Appeal Panel, such objection must be made at the time of the
Appeal. Alleged Violator must identify with specificity all objections to the Ethics Appeal Panel
member.
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e) Process for Appealing Ethics Hearing Committee’s Decision. The Alleged Violator’s appeal
of the Ethics Hearing Committee’s Final Determination must be in writing and shall be sent to the
Ethics Appeal Panel Chair in care of the Executive Director. The Alleged Violator shall state the
specific grounds under which the appeal should be considered or granted. The Alleged Violator
appeal may not present, include, or rely on “new” facts that were not previously presented in the
proceedings. Appeals are limited to:
(1) Defects in the existing Ethics Hearing Committee record and process;
(2) The fact that the Ethics Hearing Committee decision was not supported by or was
contradicted by the evidence presented;
(3) That the disciplinary action is not appropriate to the gravity of the situation.
f) Certification Status during Disciplinary Procedures and Appeal. During the period that
disciplinary considerations and/or an appeal of a disciplinary action is pending, the certification
status of the Alleged Violator (Member, Certificate Holder or Certificate Candidate) will be
continued based on the individual’s standing with the AACE International membership or
certification program, subject to the normal and regular cycle of renewal requirements.
g) Materials provided to the Panel to consider an Appeal. In the event the Alleged Violator
timely and properly appeals the Ethics Hearing Committee’s Final Determination, the Ethics
Committee Chair shall provide the Ethics Appeals Panel Chair with all information and materials
collected during the Ethics Committee’s investigation and deliberations at the time of the Notice
of Appeal. The Ethics Appeals Panel Chair shall also be provided a copy of the Alleged
Violator’s written appeal of the Ethics Committee’s decision and a copy of these Rules and
Procedures. The Ethics Appeals Panel shall consider only those materials presented during the
procedure in from of the Ethics Hearing Committee or the Certification Board. No new material
will be permitted to be introduced.
h) Consideration by the Ethics Appeals Panel. Any Ethics Appeals Panel member deemed by the
Ethics Appeals Panel chair to have a conflict of interest in regard to hearing the Appeal shall be
recused from all aspects of consideration of the Appeal. At the discretion of the Chair of the
Ethics Appeal Panel Chair, consideration of the Appeal may be scheduled to be determined on the
agenda of its meeting, or, if deemed necessary by the Ethics Appeals Panel Chair, at a special
session, including by teleconference. The Alleged Violator may petition for the opportunity to
present an oral statement to the Appeals Panel via conference call or in person. If granted, only
the Alleged Violator will be allowed to speak on his/her behalf. Exceptions may be made for the
sole purposes of facilitating language translation. Such participation shall be at the sole
discretion of the Ethics Appeals Panel Chair.
The Appeals Panel shall in no circumstance conduct a trial-type hearing, and the rules of evidence
shall not apply. The parties (Complainant, Alleged Violator, etc.) must speak on their own behalf
and not utilize the services of a lawyer or consultant to act as an advocate. An exception is
permissible only as it pertains for the need of a translator, who shall only act as a translator and
not an advocate.
A vote shall be taken as to the disposition of the Appeal, determined by a majority of votes cast.
In the event that a majority support is not ascertained, the Panel may consider and hold
subsequent votes as to the disposition of the Appeal, including on other disciplinary actions as
allowed by the section of these Rules and Procedures entitled “Types of Disciplinary Actions”
(see ¶ 5c above)
i)
Options available to the Panel to resolve an Appeal.
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(1) For an appeal based Defects in the existing Ethics Hearing Committee record and process or
other procedural error, the Panel may:
i. Affirm that the Ethics Hearing Committee followed proper procedures and affirm the
Ethics Hearing Committee’s Final Determination; or
ii. Determine that the procedures used by the Ethics Hearing Committee were in serious
and substantial violation of these Rules and Procedures and either make an appropriate
determination as to the disposition of the complaint, or refer the decision back to the
Ethics Hearing Committee to reconsider the matter utilizing proper procedures.
(2) For an appeal based on the assertion that the Ethics Hearing Committee’s decision was not
supported by or was contradicted by the evidence presented, the Panel may:
i. Affirm the Ethics Hearing Committee’s Final Determination;
ii. Determine that the findings of facts by the Ethics Committee were clearly erroneous,
and make an appropriate determination as to the disposition of the complaint;
(3) For an appeal based on the assertion that the Ethics Hearing Committee’s decision was not
appropriate to the gravity of the situation, the Panel may:
iii. Affirm the Ethics Hearing Committee’s Final Determination;
iv. Determine that the findings of facts by the Ethics Committee were clearly erroneous,
and make an appropriate determination as to the disposition of the complaint;
j)
Notification of Appeals determination. The Alleged Violator shall be notified in writing of the
outcome of the Panel’s determination in regard to the Appeal within seven (7) days of the
decision.
k) Further Appeals. The decision of the Ethics Appeal Panel on the Appeal shall be final and
effective immediately. Further formal or informal appeals to AACE’s Board of Directors, Board,
Committee, Members as a whole or any other entity outside AACE is not permitted.
7. CONFIDENTIALITY, PUBLIC NOTICE AND RECORD-KEEPING
a) Public Notice of Disciplinary Actions
(1) Public reporting of Sanctions. Names of all publicly sanctioned Members, Certificate
Holders or Certificate Candidates (pursuant to section 2c of these rules) and violations of
AACE’s Canon of Ethics policies involved, as determined by the Certification Board, Ethics
Committee or Ethics Appeals Panel, shall be included in an annual report that is publicly
available on AACE’s web site, and other appropriate locations as reasonably determined by
the Association. The report may also include cumulative and/or redacted reports of Private
Sanctions of the Certification Board, Ethics Committee or Appeals Panel if the Association
decides such reports may serve as guidance to other Members Certificate Holders or
Certificate Candidates.
(2) Notice of Public Sanction available upon request. Upon request, the Executive Director
shall provide such a report including the names of all publicly sanctioned Members,
Certificate Holder or Certificate Candidates (pursuant to section 2c of these rules), including
the violations of the Canon of Ethics policies involved as determined by the Certification
Board, Ethics Committee or Ethics Appeals Panel, to any interested person or public agency
deemed necessary to protect the public.
b) Confidentiality
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(1) Disclosure of Complainant and Alleged Violator names. The names and addresses of
Alleged Violator, and Complainant, if necessary, shall be disclosed to the Executive Director,
legal counsel, Certification Board, Ethics Committee Chair, and the Ethics Appeals Panel
Chair, and additionally as necessary in the course of proceedings to the members of the
Certification Board, Ethics Committee and Ethics Appeals Panel, and any experts enlisted to
assist in investigation and consideration of the matter.
(2) Confidentiality Attestation. All individuals enlisted by, or on behalf of, the Certification
Board, Ethics Committee and/or Ethics Appeals Panel to investigate, consider or deliberate as
part of these processes shall sign an appropriate statement setting forth their agreement to
maintain all information as confidential, and to promptly return all information received
during the course of an investigation to AACE, care of the Executive Director.
(3) Handling of information related to the Complaint and proceedings. All information,
other than that which is publicly available, related to and disclosed during the proceedings
shall be maintained on a confidential basis, except that the Executive Director, Certification
Board, Ethics Committee and/or Ethics Appeals Panel shall be permitted to:
i. Disclose such information when compelled by a validly issued subpoena or court order,
or when otherwise required by law or pursuant to permission granted by the individual
in question;
ii. Share relevant information with parties essential to the review and investigation of the
alleged unethical or unprofessional conduct, including the association’s staff, legal
counsel, and consultants or experts;
iii. Utilize such information in anonymous and aggregate form for purposes deemed
appropriate by the Certification Board, Ethics Committee and/or Ethics Appeals Panel,
including, but not limited to, public reports, education, and research purposes.
c) Record Keeping
(1) Handling, storage, maintenance and destruction of records. AACE’s Executive Director
with the guidance of the Board of Directors shall establish reasonable procedures to ensure
that confidentiality is maintained with respect to the handling, storage, maintenance and
destruction of records.
(2) Recording of Complaints in Member or Certificate Candidate records. All Complaints
meeting requirements outlined in the section of these Rules and Procedures entitled “How a
Complaint may be filed” (2) become a part of the record in the file to be held in the
Association’s offices. The record shall include the steps undertaken in the due process review
and any action taken, including notation of Complaints dismissed for lack of merit.
(3) Retention of records for closed cases. Once a case is closed, dismissed, or otherwise
reaches conclusion, one set of records shall be maintained as part of the program’s permanent
records and the remainder destroyed.
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AACE Ethics Complaint Procedure
Updated: 15Feb12 @ 10:15 AM EST
When initiating an Ethics Complaint with AACE, completely fill in the below information, date and sign.
This acknowledges that Complainant has fully read and understands the Ethics Complaint procedure and
they agree to follow it throughout the resolution process. This executed page of the Ethics Complaint
Procedure must be included with the Ethics Complaint Form and supporting documentation at the time of
filing.
Acknowledgement of receipt and understanding:
I,
(Name) on
(Date of Signature) received a copy of AACE’s Ethics Complaint Procedure
and agree to follow these procedures and abide by AACE’s Cannons of Ethics.
Please print contact information:
Name:
Address:
Email:
Phone:
Status:
Please note if you are Complainant, Alleged Violator, fact witness, etc.
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