Code of Ethical Practice

of the

Office of Infrastructure Preparedness

 

WHEREAS, the goal of an Infrastructure Preparedness Professional or Manager is to be of the highest moral principles in providing knowledgeable decisions relating to the planning and management of infrastructure preparedness activities in which industry, government and the public may place their complete confidence.

 THEREFORE, this Code of Ethical Practice shall govern the professional activities of Office of Infrastructure Preparedness (OIP) certificants and registrants:

 ·         To practice only in those areas of Infrastructure Preparedness, safety, health or technology in which professional competence has been attained;

 ·         To emblazon documents with the OIP seal, name or initials only when such documents are complete and contain only your work or work done under your personal, direct supervision and for which you can attest that all information is true and complete;

 ·         To take all appropriate measures to prevent any conflict of interest that could compromise the planning and management of Infrastructure Preparedness activities;

 ·         To perform assigned or contracted Infrastructure Preparedness planning and management duties always in a professional manner respectful of laws and regulations and the needs and concerns of others;

 ·         To use the best principles of Infrastructure Preparedness, health, safety and technology in planning and management to protect and enhance Infrastructure quality and safety;

 ·         To cooperate with all levels of government in the furtherance and development of appropriate public policies supportive of Infrastructure Preparedness quality, occupational health and safety;

 ·         To comply with applicable Infrastructure Preparedness quality, occupational health and safety, and product safety laws and regulations;

 ·         To manage facilities in a manner to protect health and safety of employees and of individuals in surrounding communities;

 ·         To fully disclose in writing to employers/clients all known positive and negative impacts to the Infrastructure Preparedness of assigned activities, duties and/or responsibilities;

 ·         To refrain from using the name of the Office of Infrastructure Preparedness (OIP) or its seal in any activity not previously approved by the Board of Directors.

 Knowingly violating the OIP Code of Ethical Practice or the OIP Code of Professional Practice shall be grounds for revocation of OIP professional certification.

---

 

 
 

 

1.)   Grounds for professional discipline

 

Discipline may be imposed on a registered/certified environmental professional for any of the following reasons:

 

a.)  conviction of a felony;

b.)  violation of' a rule of the OIP Code of Professional Practice;

c.)  discipline imposed by another professional organization;

d.)  violation of sanctions imposed by an OIP discipline hearing board or Committee for Professional Practice; 

e.)  failure to respond to changes by an agency or individual regarding environmental professional practice;

f.)   presenting OIP with checks that are returned for insufficient funds;  
g.)  representing OIP interest beyond the scope of committee or board appointment;

h.)  failure to complete required disclosure, application forms and/or continuing education requirements;

 

2.)  Imposition and sentence.

Imposition of discipline can only be carried out by the OIP Board of Directors, an OIP appointed hearing board, or the Committee for Professional Practice.

               

3.)  Re-admission.

Re-admission to the Registry can only be carried out by the OIP Board of Directors.  There are no formal requirements when an application can be re-submitted.  The applicant may re-submit a file for review any time after the disciplinary process is complete.

 

4.)  Types of discipline.

The following is a list of sanctions that may be imposed on a registrant or applicant regarding OIP discipline:

                a.)  Suspension for a length up to 11 months.

                b.)  Probation for a length up to 10 months.

 

As the violation becomes more severe, so do the disciplinary action that will be taken.  The Professional Practice Committee may elect to place a violator on probation.  Probation is when professional registration is temporarily revoked.  During this time, the infrastructure preparedness professional is considered as not be registered with the Office of infrastructure preparedness.  The person placed on probationary status will not be granted any of the privileges of the Office of infrastructure preparedness and shall return any and all property of OIP.  The person shall also discontinue use of any seal using the name of the Office of infrastructure preparedness.  The duration of Probation is determined by Professional Practice Committee based on the severity of the violation.  Notification will be sent to the Board of Directors stating the terms and duration of probation.  At the expiration of the probationary period, the infrastructure preparedness professional will be able to re-apply for registration provided that no civil or criminal penalties have been placed on the applicant by a court of law.  The question of approval for re-registration will be decided by the Board of Directors and the Professional Practice Committee.  The applicant must also be re-tested and provide proof of advancement of education.  The education requirement may be fulfilled with proof of attendance at classes, lectures, OIP’s annual conference.

 

5.)  A written reprimand that will be sent to the offices of the U.S. Department of Homeland Security, state infrastructure preparedness regulatory body, or both.

 

Censure is a verbal and/or written reprimand by Professional Practice Committee.   This type of disciplinary action is used to remind the violator of the reasons for the existence of the Code of Professional Practice and notes that the infrastructure preparedness professional’s conduct is improper.  This reprimand will be noted in the infrastructure preparedness professional’s file, and the Board of Directors informed.  Censure is used when the violation is not serious enough to warrant the use of a stronger form of discipline, even though it is still a violation of the ethical standards.  Censure also serves to warn other infrastructure preparedness professionals and the public of the possible misconduct of the violator.  The violator should review that standards presented within this text is he/she does not have the knowledge.

 

6.)  A written reprimand to be sent to other professional organizations and/or employers regarding an individual professional registration/certification.                                                                                                                                                

 

7.)  Revocation of registration certification.

The most severe penalty placed on a violator is removal from the master roll.  The master roll is the official list of all people registered with the Office of Infrastructure Preparedness.  As with probation, the Board of Director will be notified of the terms and duration of removal.  The removal from the master roll revokes all privilege granted to the environmental professional by the Office of Infrastructure Preparedness.  The removed person must return all property of OIP, including the registration certificates and discontinue use of any seal noting registration with the Office of Infrastructure Preparedness.  A person who is removed from the master roll may not re-apply for a period of time specified by the Professional Practice Committee.  This period will be longer than what may be assigned for a probation period.  The removed person may re-apply provided that proof  is available of rehabilitation.  This proof includes approval by the Board of Director and the Professional Practice committee, a passing score on the applicable exam, proof of continuing education, and tested understanding of the ethical standards.  The applicant must also have no civil or criminal penalties placed against him/her by a court of law.  The applicant must receive written permission from the Board of Director before any application may be filed.  If it is deemed that rehabilitation has failed with the petitioner, the Board of Director will not allow re-application of registration.

 

8.)  Fines.

A violator of the Code of Professional Practice may be subject to a fine.  A fine is usually applied to an infrastructure preparedness professional who has submitted a check for fees for which the bank account does not have sufficient funds to cover the amount of the check. The Professional Practice Committee will note this violation in the environmental professional’s file and the Board of Directors will be notified.  If the fine is not submitted along with the fees required, the violator will be placed on inactive status and subject to all requirements applied to that position.  A second violation of such activity will be prima facia evidence of the individual’s inability to properly manage and will be cause for removal of the individual good standing as an environmental professional.  The initial fine imposed on the violator for submitting a check with insufficient funds is $35.00, but is subject to change, depending on economic factors and frequency of violation.

 

9.)  Inactive Status.

The Professional Practice Committee may elect to place the environmental professional on inactive status.  During the time an environmental professional is on inactive status, the Office of Infrastructure Preparedness will consider the person as not qualified.  Persons who have been placed on inactive status may re-apply to active registration providing there have been no civil or criminal penalties imposed upon the person by a court of law.  The Board of Directors and the Professional Practice Committee must also approve the application, before any action can be taken.

                                                                                                                                                                                                                                                                                   H. Publication of Disciplinary Action

10.)  The OIP may publish a notification of a final ethics Decision and Order following the issuance of an adverse opinion by a Hearing Officer, Disciplinary Review Committee or Board of Directors Decision or ruling.  This notification will not be done until after the conclusion of any appeals available to the respondent.  Any party may request publication of any decision.

 

CHAPTER FOUR:  CASE PROCEDURES

INTRODUCTION

The Office of Infrastructure Preparedness (OIP) develops and promotes high ethical standards for environmental professionals.  OIP requires that credentialed environmental professionals meet these standards.  The following disciplinary procedures are the rules for processing possible violations of these ethics standards.  These rules are applicable to Office of Infrastructure Preparedness and those who are seeking certification from OIP.  This document describes and outlines the only procedure for handling ethics cases brought to the attention of OIP.  When infrastructure preparedness professionals apply for certification or recertification, they agree to abide by the OIP Code of Professional Practice and the Ethics Case Procedures.

 

A.  GENERAL

 

1.      Nature of the Process.  These procedures are the only ways to resolve all OIP ethics charges and complaints.  OIP has the only authority to end any ethics inquiry or case, regardless of circumstances.  These ethics procedures are not formal legal proceedings; so many legal rules and practices are not observed.  OIP will review the information presented when considering ethics investigations, cases and decisions.

 

OIP Ethics Case Procedures are designed to operate without the assistance of attorneys.  Any party, of course, may be represented by an attorney with respect to ethics proceedings and procedures.  If a party has retained an attorney, that attorney may be directed to communicate with OIP through OIP Legal Counsel.  The parties are encouraged to communicate directly with NREP.  OIP may use the services of legal counsel without limitation.

 

2.      Participants.  Ethics cases may be decided by the OIP Ethics Officer, the OIP Disciplinary Review Committee, the OIP Board of Directors and/or any representative designated by the Executive Director.  An OIP applicant who is the subject of an ethics charge or investigation will be the respondent in these rules.  The person(s) initiating an ethics complaint against an OIP applicant will be the complainant(s).

 

3.      Complainants Ethics Charge Statement.  Any person, group, private organization, public organization or, in appropriate cases, the OIP, may initiate an ethics case and act as a complainant.  Each complainant must submit to the OIP Ethics Officer an Ethics Charge Statement or a detailed written description of the factual allegations supporting the ethics charges.

 

4.      Time Requirements.  The OIP will make every effort to follow the time requirements noted in this document.  However, the OIP's failure to meet a time requirement will not prohibit the final resolution of any ethics matter.  Complainants and respondents are required to comply with all time requirements specified in this document.  Time extensions or postponements may be granted by the OIP Executive Director or Ethics Officer if a timely written request explains a reasonable cause.

 

5.      Litigation/Other Proceedings.  The OIP may accept and resolve ethics complaints when civil, criminal litigation or other proceedings related to the complaint are also before a court, regulatory agency or professional body.  The OIP may also continue or delay ethics complaints in such cases.

 

6.      Complaints Concerning Non-OIPs.  In the event that the OIP receives an ethics inquiry or Ethics Charge Statement concerning an individual who does not hold any OIP credential or who is not an OIP applicant, a representative of OIP will inform the complainant and may refer the complainant to an appropriate authority.

 

7.      Improper Disclosure/False Or Misleading Responses.  Any failure to disclose pertinent information or misleading disclosure by an OIP applicant or registrant with respect to an ethics charge, criminal case, disciplinary proceeding, or similar matter, concerning him/her may constitute a violation of the OIP Code of Professional Practice.

 

8.      Time Limitations Concerning Complaints.  The OIP may consider any ethics complaint, regardless of:

        a.    Whether the respondent held an OIP credential at the time of the alleged violation;

        b.    When the alleged violation occurred; or
        c.    Whether the respondent continues to hold or seek an OIP credential during the                                    course of any ethics case.

 

9.       Confidentiality.  In order to protect the privacy of the parties to an ethics case, all material          prepared by or submitted to OIP will be confidential.  An exception will be made if a release of information or documents is authorized by these rules.  The identities of all members of the OIP Disciplinary Review Committee shall remain confidential and will  not be released without the specific authorization of each committee member.

 

10.       Failure To Cooperate.  If, any party refuses to fully cooperate or participate with OIP or its representatives, and it is determined that the lack of cooperation was without good cause, OIP may take the following actions:  (a.) The Executive Director, Ethics Officer and/or the Disciplinary Review Committee may terminate the ethics complaint of an uncooperative complainant (b.)  If a respondent is uncooperative, the Ethics Officer and/or the Disciplinary Review Committee may impose any sanction included within these rules.

 

11.       Resignation from the OIP.  Should a respondent attempt to relinquish OIP certification or withdraw an application during the course of any ethics inquiry or case, the OIP reserves the right to continue the matter to a final and binding resolution according to these rules.

 

B.  MEDIATION

 

1.      Cases Appropriate for Mediation.  The Executive Director will send all appropriate Ethics Charge Statements to the Ethics Officer.  The Ethics Officer will consider the seriousness of the allegations, the respondent's background, prior conduct, and any other pertinent material, and make a decision concerning the likelihood that the matter can be resolved fairly without formal disciplinary proceedings as described in these rules.  Ethics cases concerning charges issued by a regulatory agency or professional body, and those involving criminal litigation, are not appropriate for mediation.

 

2.      Mediation Determination.  Should the Ethics Officer determine that a particular ethics matter is appropriate for mediation, he or she will forward the recommendation for mediation to the Executive Director.  With the approval of the Executive Director, the Ethics Officer will attempt to resolve the dispute to a fair and just conclusion.

 

3.      Successful Mediation.  The Ethics Officer will prepare a report outlining the terms of the resolution of an ethics case and forward it to the Executive Director.  The Executive Director may then accept the report and mediated resolution as final or refer the case to the Disciplinary Review Committee for review.

 

4.      Unsuccessful Mediation.  The Ethics Officer will notify the Executive Director in the case of mediation failure and process the ethics matter according to these rules.

 

C.         ETHICS INQUIRIES/ETHICS CHARGE STATEMENTS

 

1.         Ethics Inquiries.  Any individual, group or organization seeking to file a complaint concerning an OIP applicant should contact the OIP Ethics Officer.  The Ethics Officer will forward to the complainant a copy of the OIP Code of Ethics and Ethics Case Procedures.  The Ethics Officer will record all ethics inquiries and identify; the person(s) making the inquiry, the OIP applicant, the state from which the inquiry originates, and the nature of the problem. This log will remain confidential, available only to representatives of OIPinvolved in the ethics case procedures.

 

2.         Ethics Charge Statement/Description of Charges.  An Ethics Charge Statement is written communication from a complainant describing the allegations against an OIP applicant.  Public documents such as newspaper stories, court verdicts or agency decisions may be considered as Statements.  When an Ethics Charge Statement is received by OIP, the Ethics Officer will: (a) review the material received and assign a case number to the matter; (b) review the allegations made concerning the charges; (c) determine whether the charges are presented in sufficient detail to permit OIP to conduct a preliminary investigation; and, if necessary, (d) contact the complainant and request additional factual material.  Following consultation with the Executive Director, the Ethics Officer will send a letter to the complainant and respondent stating whether the charges submitted are accepted or rejected for a formal ethics investigation.

 

D.         ACCEPTANCE/REJECTION OF ETHICS CHARGES

 

1.  Charge Acceptance.  The Ethics Officer will review each charge of an Ethics Charge Statement submitted by a complainant and then determine if it will become the subject of a formal Ethics Complaint and Investigation.  The following criteria will be considered to determine if a charge is accepted or rejected:

a.        Whether the respondent is an OIP applicant;

b.       Whether a proven charge would constitute a violation of the Code of Ethics:

c.        Whether the passage of time since the alleged violation requires that the complaint be rejected;

d.       Whether relevant, reliable information or proof concerning the charge is available;

e.        Whether the complainant is willing to provide testimony or other evidence to the OIP concerning the complaint; and

f.         Whether the charge appears to be justified or insupportable, considering the proof available to the OIP:

 

          The Ethics Officer will determine whether the charge and available proof support a formal Ethics Complaint and will report to the Executive Director.  With the Executive Director's approval, the Ethics Officer will prepare and issue a formal Ethics Complaint and Investigation Notice.

 

2.      Charge Rejection.  If the Ethics Officer determines that an allegation should not be a formal Ethics Complaint, the officer will reject the charge and notify the Executive Director.  With the Executive Director's approval, the Ethics Officer will notify the complainant and respondent of the rejection, as well as the reason(s) for the rejection.  This will be completed by letter within twenty-one (21) days of the determination.

3.    Appeal of Charge Rejection Determination.  Within thirty (30) days of the mailing of a charge rejection letter, the complainant may appeal to the Disciplinary Review Committee.  In order to have the Disciplinary Review Hearing Committee reconsider the rejection, a complainant must state in writing the following:

a.        The procedural errors possibly made by the Ethics Officer with respect to the charge rejection, if any;

b.       The specific provisions of the Code of Professional Practice believed violated; and

c.        The specific information believed to support the acceptance of the charge.

 

The Disciplinary Review Committee will consider and decide any charge rejection appeal at the next scheduled committee meeting.

 

E.         ETHICS COMPIAINTS AND INVESTIGATIONS

 

1.      Ethics Complaint and Investigation Notices.  After an ethics charge is accepted, the Ethics Officer will issue a formal Ethics Complaint and Investigation Notice identifying each Code of Professional Practice violation alleged and the supporting factual basis for each complaint.  This Notice will be delivered to the counselor respondent, at the last known address(es) by regular mail and other verifiable delivery return receipt required and will be marked, "Confidential."

 

F.      ETHICS COMPLAINT RESPONSE

 

1.       Submitting an Ethics Complaint Response.  Within thirty (30) days of the mailing date of an Ethics Complaint and Investigation Notice, the respondent must submit an Ethics Complaint Response according to the instructions in the Notice.  The Ethics Complaint Response must include the following;

 

a.        A full response to each complaint;

b.       The identification and copy of each document that the respondent believes to be relevant to the resolution of the Ethics Complaint; and

c.        Any other information that the respondent believes will assist the OIP in fairly considering the Ethics Complaint.

 

2.      Response Deficiencies.  The Ethics Officer may require the respondent to supplement or expand a response.

 

G.         COMPLAINANT REPLY

 

1.      Submitting a Complainant Reply.  The Ethics Officer will forward a copy of the complaint Response to the complainant within ten (10) days following the receipt of the Response by the OIP.  Within ten (10) days of receiving the complaint Response, the complainant may submit a Reply to the Response to the OIP Ethics Officer.

 

2.         Contents of Complainant Reply.  A Complainant Reply is limited to the issues raised in the Ethics Complaint and Response.  OIP will not consider additional matters.

 

H.         PRELIMINARY ACTIONS AND ORDERS

 

1.         Voluntary Temporary Suspension of Certification.  At any time following the issuance of an Ethics Complaint, the respondent may be asked to agree to a temporary suspension of OIP certification pending the final resolution of an Ethics Complaint.  If the respondent accepts this request, the Executive Director will agree to and sign a Voluntary Suspension Agreement.  This Agreement will state the temporary suspension and that the respondent voluntarily ceases from representing himself or herself as certified, credentialed or otherwise endorsed by the OIP until further notice.  The respondent will also return any certifications to the OIP to be held until the suspension, or other disciplinary action, has ended.

 

2, Involuntary Suspension of Certification.  If a respondent fails to agree to and sign a Voluntary Suspension Agreement, as in H.1 above, the Executive Director or the Ethics Officer may issue an Order suspending the respondent's certification(s).  This Suspension Order will stay in effect until the final resolution of the Complaint.

 

3.      Circumstances of Involuntary Suspension Orders.  Suspension Orders are authorized

When: (a.) The respondent has been convicted of a criminal or charge or quasi-criminal act; or the respondent has not contested a criminal indictment under any statute, law or rule;

(b.)       The respondent has been indicted or similarly charged with any criminal act or violation of criminal law under statute, law or rule;

 

          (c.) The respondent has been found in violation of any law, regulation or rule by a professional regulatory body, or has been sanctioned or disciplined by such a regulatory body; (d.) The respondent is the subject of a formal complaint or similar charge and investigation by a professional association or certifying body; (e.) The respondent has been found in violation of an ethics code of a professional association or certifying body; or (f.)  The respondent is the subject of a formal complaint or similar charge and investigation by a professional association or certifying body concerning ethics or disciplinary matters.

 

4.      Other Preliminary Orders.  The OIP may require the respondent or the complainant to refrain from doing certain acts by preliminary and temporary Order, including the disclosure/submission of documents relevant to review of an ethics investigation.  Any temporary and preliminary Order requested will be reasonably related to the Complaint under consideration; or to a party's responsibilities under the Code of Ethics.

 

5.      Failure to Comply with Preliminary Orders.  The Ethics Officer, with the approval of the Executive Director, may discipline a respondent who fails to comply with a temporary or preliminary order.  The Ethics Officer will consider the severity of the failure to comply and other relevant factors in determining the discipline.  Preliminary and temporary orders cannot be appealed.

 

L.      ETHICS COMPLAINT HEARINGS

 

1.      Hearing Officer.  The Ethics Officer will preside over and conduct each Ethics Complaint Hearing as the Hearing Officer, unless the Executive Director or Disciplinary Review Committee Chair direct otherwise.  The Hearing Officer will conduct an informal Ethics Complaint Hearing designed to collect and weigh all of the available information and proof.  The Hearing Officer will be the only determiner of all violations of the Code of Ethics in the first instance.  The Hearing Officer will have full authority and responsibility to convene, preside over, continue and conclude and ethics hearing.

 

2.      Hearing Schedule and Location.  The hearing date for each ethics case will be scheduled by the Ethics Officer in consultation with the Executive Director and the parties.  Each hearing will be held at a site determined by the Ethics Officer and, if practical, held no less than sixty (60) days and no more than one hundred twenty (120) days from the receipt of an Ethics Charge Statement by the OIP.  Hearing will not be held prior to the date permitted in these rules for each party to submit a Response or a Reply.

 

3.      Hearing Notice and Attendance.  The Ethics Officer will schedule the hearing and notify the parties in writing.  Each party will be given the option to attend the hearing in person and will be required to indicate the following at least seven (7) days before the hearing:

 

(a.)  Whether the party intends to appear at and participate in the hearing in person; (b.) Whether the party intends to participate in the hearing via telephone; if so, the telephone number where the party is to be reached during the hearing; (c.) Whether the party intends to appear at the hearing with an attorney or other representative; if so, the name, address and telephone number of such attorney or representative; (d.)  Whether the party intends to present witnesses at the hearing; if so, the name, address and telephone number of each witness and a brief summary of the content of the witness's proposed testimony; and

(e.)  Whether the party intends to present or offer any documentary information or other written proof during the course of the hearing that has not been previously considered by OIP.  If such information is offered, the party must provide a copy of each document and a brief description of the document's relevance.

 

Any ethics hearing may proceed to a conclusion and decision whether or not the parties are present.  The Ethics Officer may reach final decision based upon investigation and documentation with other parties present.

 

4.      Postponement of Hearing.  A respondent or complainant may request a hearing postponement.  This request must be in writing and received by the OIP at least ten (10) days prior to the hearing date.  The Executive Director or the Ethics Officer may grant a post-ponement.  Postponement decisions are not subject to appeal.

 

5.      Participation of OIP Legal Counsel.  Should OIP Legal Counsel be present at an ethics case hearing, Legal Counsel shall have the privilege of the floor and may conduct the hearing with the Ethics Officer.  Legal or other representatives of the parties do not have such privilege and are bound by the determinations and rulings of the Ethics Officer.

 

6.    Responsibilities and Rights of the Parties.  In addition to other responsibilities and rights, the respondent and the complainant may do or be required to do the following:

 

a.        Attend the hearing and be present during the testimony of all witnesses;

b.       Present witnesses, written information and argument on their behalf;

                      c. Review or inspect all oral or written information presented in tile case; and

            d. Comply with all orders or directives issued by the OIP.

 

7.         Witnesses.  All witnesses will be excluded from the hearing room except during the presentation of their testimony.  However, a party may request that a witness remain in the hearing room during all or part of the hearing.  The Hearing Officer will rule on any request and the ruling will not be subject to appeal.

 

8.         Confidentiality/Inclusion of Other Persons.  All hearings are confidential and private.  No observers are permitted without special permission.  A party may request the presence of an observer in the hearing room during all or part of a hearing.  The Hearing Officer will rule on these requests and the ruling is not subject to appeal.

 

9.         Information And Proof Accepted.  The Hearing Officer will receive and consider all information appearing to be relevant to an ethics complaint, including any information which may be helpful to a complete understanding of the case.  The Hearing may consider information concerning relevant prior conduct.  Objections relating to relevance of information and other evidence issues will be decided by the Hearing Officer and these decisions are not subject to appeal.

 

10.       Record of the Hearing.  A taped, written or similar record of the hearing will be made by the Hearing Officer, another OIP representative, or a stenographer/recorder.  Off-the-record conversation may be requested by parties and will not be part of the hearing record.

 

11.       Hearing Expenses.  Parties will be responsible for their expenses associated with the case.  Should a party request a written transcript or recording copy of the hearing, a reasonable fee will be assessed for preparation.  OIP bears the cost of the hearings and investigations that are performed by OIP representatives.

 

12.       Closing of the Hearing Record.  The hearing record will be closed following the conclusion of the hearing, unless otherwise directed by OIP.  Any party, including the Hearing Officer, may request that the record remain open for thirty (30) days for the purpose of receiving additional documentary information and proof.  The Hearing Officer may deny requests to keep records open without appeal.

 

J.         HEARING OFFICER ETHICS DECISION AND ORDER

 

1.         Hearing Officer Decision and Order.  A Decision and Order will be prepared by the Hearing Officer within thirty (30) days, or as soon as is practical, after the closing of the record.

 

2.      Contents of the Hearing Officer Decision.  The following information will be included in the Hearing Officer Decision: (a.) A summary of' the case, including the positions of the parties; (b.) A summary of all relevant factual findings based on the record of the hearing;  (c.)  A final ruling on each Code of Ethics violation charged;

(d.)  A statement of any disciplinary action(s) and sanctions issued by the Hearing Officer; and (e.)  Any other material the Hearing Officer determines to be appropriate.

 

3.      Contents of the Hearing Officer Disciplinary Order.  The Hearing Officer Order may include any of the following items: (a.) An order (or "directive ordering") directing the respondent to cease and desist from any behavior or acts found to be in violation of the Code of Ethics:     (b.) A statement of the disciplinary action(s) imposed and mandate directing the respondent to comply immediately with these disciplinary action(s); and (c.) Any other appropriate directive consistent with the Decision.

 

K. DISCIPLINARY REVIEW COMMITTEE APPEALS FIRST APPEAL

 

1.      Time Period for Appeals to the Disciplinary Review Committee.  Within thirty (30) days of the mailing date of an adverse Hearing Officer Decision, the respondent or the complainant may appeal all or a portion of the Decision to the Disciplinary Review Committee pursuant to this Section.  Any appeals received beyond this time period will not be reviewed or considered by the Disciplinary Review Committee.

 

2.      Grounds for Appeal to the Disciplinary Review Committee.  An adverse Hearing Officer Decision may be reversed, or otherwise modified by the Disciplinary Review Committee on appeal.  However, the grounds for appeal of an adverse decision are strictly limited to the following:  (a.) Procedural Error.  The Hearing Officer misapplied a procedure contained in these rules and prejudiced the appealing party; (b.) New or Previously Undiscovered Information.  Following the closing of the hearing record, the appealing party has located relevant proof that: was not previously in his/her possession; was not reasonably available prior to closure of the record; and, could have affected the Hearing Officer decision; (c.) Misapplication of the Ethics Code.  The Hearing Officer decision contains the misapplication of the provisions contained in the Code of Ethics and the misapplication prejudiced the appealing party; (d.)  Contrary to the Information Presented.  The Hearing Officer decision is contrary to the most substantial information provided in the record; and (e.) With respect to Sub-sections 2a and c, above, the Disciplinary Review Committee will consider only arguments that were presented to the Hearing Officer prior to the closing of the hearing record.

 

3.      Contents of Appeal Letter of Appeal.  In order to complete an appeal to the Disciplinary Review Committee under this Section, the appealing party must submit a letter or other document to the Committee and the other party, within the prescribed time period, which contains the following information and material: (a.) A statement of the ethics case name, docket number, Hearing Officer's name and the date that the Hearing Officer decision was issued; (b.)        A statement of the reasons for the appeal under Subsection L2, above, and a complete explanation of the reasons that the appealing party believes that the Hearing Officer decision should be reversed or otherwise modified; c. A statement of the change of decision requested from the Disciplinary Review Committee, including any reduction in discipline issued by the Hearing Officer; and d. Copies of any material which supports the appealing party's appeal.

 

4.       Optional Response to Appeal Letter.  Within ten (10) days of an appeal, a complainant or respondent in the case may submit to the Committee a Response to the Appeal by letter or similar document.  If submitted, this Response will fully explain any objections that the person wishes to present to the Committee concerning the appeal.

 

5.      Request to Appear Before the Disciplinary Review Committee.  Complainant or Respondent may request the opportunity to appear before the Disciplinary Review Committee concerning an appeal under this Section.  The Executive Director or the Chair of the Disciplinary Review Committee, will determine whether a request to appear before the Committee is accepted.  In the event that a request to appear before the Disciplinary Review Committee is approved, the Executive Director or the Chair of the Disciplinary Review Committee, may limit the appearance in any manner.  Denials of requests to appear before the Disciplinary Review Committee are not appealable.

 

6.      Disciplinary Review Committee Hearings.  Within ninety (90) days after the submission of a complete appeal, or as soon after as practical, the Disciplinary Review Committee will conduct a hearing to determine the outcome of the appeal.  Each appeal shall be considered by at least three (3) members of the Committee, as designated by the Committee Chair.  During the course of appeal hearings the Committee, or designated members will review: the hearing record; any appeal submissions presented by the parties; and/or any other information determined to be relevant.  Thereafter, the Committee, or designated members, will determine the outcome of the appeal by majority vote in closed session.

 

7.      Disciplinary Review Committee Decisions and Orders.  Within thirty (30) days of conclusion of an appeal hearing, or as soon after as practical, the Disciplinary Review Committee, by the Committee Chair or the Executive Director, will issue an Appeal Decision and Order stating and explaining the outcome of the appeal.  With respect to each appeal, the Committee Decision and Order shall include the following:          

a.     A summary of any relevant portions of the Hearing officer Decision and Order;

b.     A summary of any relevant procedural or factual findings made by the Committee;

c.        The Committee's ruling(s) and decisions with respect to each matter under appeal; and

d.       The Committee's final Order affirming, reversing, amending or otherwise modifying any portion of the Hearing Officer Decision and Order, including any final disciplinary action or sanction issued by the Committee.

 

Copies of the Disciplinary Review Committee Decision and Order shall be sent to the parties return receipt requested.

 

I.       BOARD OF DIRECTORS APPEALS/FINAL APPEAL

 

1.      Time Period for Appeals to the OIP Board of Directors.  Within fourteen (14) days of the mailing date of an adverse Disciplinary Review Committee Decision and Order, the respondent or the complainant may appeal all or a portion of the Decision and Order to the Board of Directors.  Any appeals received beyond this time period will not be reviewed or considered by the Board of Directors.

 

2.      Grounds for Appeal to the Board of Directors.  An adverse Disciplinary Review Committee Decision may be affirmed, reversed or otherwise modified by the Board on appeal.  However, the grounds for appeal to the Board are limited strictly to the following:

a.        Procedural Error.  The Disciplinary Review Committee obviously misapplied a procedural rule contained in these rules; and the rule misapplication significantly prejudiced the appealing party;

b.       New or Previously Undiscovered Information.  Following the issuance of the Disciplinary Review Committee Decision, the appealing party has located relevant information that: was not previously in his/her possession; was not reasonably available prior to issuance of the Committee Decision; and, could significantly change the Committee Decision;

c.        Misapplication of the Ethics Code.  The Disciplinary Review Committee Decision contains one or more misapplication of the provisions of the Code of Ethics; and the misapplication significantly prejudiced the appealing party;

d.       Contrary to the Information Presented.  The Disciplinary Review Committee D ' decision is contrary to the most substantial information provided in the record; and

e.        With respect to Sub-sections 2a, c, and d above, the Board of Directors will consider only arguments that were previously presented to the Disciplinary Review Committee.

 

3.       Contents of Board Appeal/Letter of Appeal.  In order to complete a final appeal to the Board of Directors under this Section, the appealing party must submit a letter or other document to the Board within the prescribed time period, which contains the following information and material:

a.        A statement of the ethics case name docket number and the date that the Disciplinary Review Committee decision was issued;

b.       A statement of the reasons for the appeal under Subsection K2, above, and a complete explanation of the reasons that the appealing party believes that the Disciplinary Review Committee Decision should be reversed or otherwise modified;

c.        A statement of the change of decision requested from the Board, including any reduction in discipline issued by the Disciplinary Review Committee; and

d.       Copies of any material which supports the appealing party's appeal.

 

4.      Optional Response to Appeal Letter/Board Appeal.  Within ten (10) days of his/her receipt of an appeal, a complainant or respondent in the case may submit to the Board a Response to the Appeal by letter or similar document.  If submitted, this Response will fully explain any objections that the person wishes to present to the Board concerning the appeal.

 

5.      Request to Appear Before the Board of Directors.  Complainant or respondent may request the opportunity to appear before the Board of Directors concerning an appeal under this Section.  The Executive Director or the Board Chairperson will determine whether a request to appear before the Board is accepted.  In the event that a request to appear before the Board is approved, the Executive Director or the Board Chair may limit the appearance in any manner.  Denials of requests to appear before the Board are not appealable.

 

6.      Board of Directors Appeal Hearings.  Within ninety (90) days after the submission of a complete appeal, or as soon after as practical, the Board of Directors will conduct a hearing to determine the outcome of the appeal will be considered by a quorum of the Board, as determined by the Board Chair.  During the course of these appeal hearings, the Board will review: the hearing record; any appeal submissions presented by the parties; and/or any other information determined to be relevant.  Thereafter, the Board will determine the outcome of the appeal by majority vote in closed session.

 

7.      Board of Directors Final Decisions and Orders.  Within thirty (30) days of conclusion of an appeal hearing, or as soon after as practical, the Board of Directors, the Board Chairperson or the Executive Director, will issue a Final Decision and Order stating and explaining the outcome of the appeal.  With respect to each appeal, the final Board Appeal Decision and Order will include the following:

a.        A summary of any relevant portions of the Disciplinary Review Committee Decision And Order;

b.       A summary of any relevant procedural or factual findings made by the Board;

c.        The Board's ruling(s) and decision(s) with respect to each matter under appeal; and

d.       The Board's final Order affirming, reversing, amending or otherwise modifying any portion of the Disciplinary Review Committee Decision and Order, including any final disciplinary action issued by the Board.

 

Copies of the Board of Directors Final Decision And Order shall be sent to the parties, return receipt requested.

 

M.        FINALIZING ETHICS CASES

 

1.        Events Which Will Cause Closure of an Ethics Case.  An ethics case will be closed and all proceedings ended when any of the following occur:

a.        Following the lapse of any appeal rights, the ethics case has not been accepted and the charges have been reject ed as the basis for an Ethics Complaint and Investigation pursuant to these rules;

b.       Following the lapse of any appeal rights, a final decision has been issued by the Hearing Officer, the Disciplinary Review Committee and/or the Board of Directors pursuant to these rules; or

c.        An Ethics Complaint has been terminated or withdrawn by the complainant(s).

 

2.       Events Which Will Cause an OIP Ethics Case Decision and Order to Become Final.  The Ethics Case Decision and Order that is not appealed will be final.

 

N.      REAPPLICATION AND REINSTATEMENT PROCEDURES FOLLOWING REVOCATION, SUSPENSION, AND PROBATION ORDERS.

 

1.       Revocation Orders/Reapplication Petition.  Five (5) years after the issuance of a final revocation order issued under these rules, a respondent may submit to the Board of Directors a Petition For Permission To Reapply for Certification (Reapplication Petition), as set forth in Section 4, below.

 

2.       Suspension Orders/Reinstatement Requests.  After the expiration of a final suspension order issued under these rules, a respondent may submit to the Board of Directors a Request For Certification Reinstatement (Reinstatement Request), as set forth in Section 4, below.

 

3.      Probation Orders/Reinstatement or Referral.  Following the expiration of a final probation order under these rules, the OIP, by the Ethics Hearing Officer or the Executive Director, will determine whether the respondent has or has not satisfied the terms of the probation order and do the following:

a.        If the respondent has satisfied the terms of probation in full, the OIP will immediately verify that the probation has been completed and reinstate the individual to full certification status; or

b.       If the respondent has not satisfied the terms of probation in full, the OIP Ethics Hearing Officer and the Executive Director will refer the case to the Disciplinary Review Committee for review and action consistent with these rules, including, but not limited to, continuation of the probation order and issuance of additional sanctions on probation terms.

 

4.      Contents of Reapplication Petitions And Reinstatement Requests.  Subject to the time requirements above, the Board of Directors will consider Reapplication Petitions and Reinstatement Requests from those who have been the subject of a final revocation and or suspension orders, respectively.  Reapplication Petitions and Reinstatement Requests will include the following information:

a.        A statement of the relevant ethics case name, docket number, and the date that the final OIP Ethics Decision was issued;

b.       A statement of the reasons that the respondent believes support or justify the acceptance of the Reapplication Petition or the Reinstatement Request, including a statement explaining why the respondent should now receive OIP certification; and,

c.        Copies of any relevant documentary or other material upon which the respondent relies in support of the Petition or Request.

 

5.      Board of Directors Reapplication Petition and Reinstatement Request Review.  Within ninety (90) days after the submission of a complete Reapplication Petition or Reinstatement Request, or as soon after as practical, the Board of Directors will schedule and conduct a hearing to review and rule on the Petition or Request.  Each petition or Request will be considered by a quorum of the Board.  During these deliberations, the Board will review: the information presented by the respondent; and/or any other relevant information.  The Board will then determine the outcome of the appeal by majority vote in closed session.

 

6.      Board of Directors Reapplication Petition and Recertification Reinstatement Decisions and Orders.  Within thirty (30) days of conclusion of the Board of Director's review of a Reapplication Petition or Reinstatement Request, or as soon as practical, the Board, by the Board Chair or the Executive Director, will prepare and issue a Decision And Order explaining the decision with respect to the Petition or Request.  The final Board Decision and order will indicate whether the Petition or Application is granted, denied or continued to a later date if appropriate, the Decision and Order will indicate any conditions of certification or recertification.  Copies of the Board of Directors Decision and Order are permitted by the OIP; the respondent may submit a new Petition or Request pursuant to this Section, one (l) year or more after the issuance of the Board Decision and Order