Grievance and Discipline

QABA strives to uphold best practice and integrity in all policies and procedures. Candidates, credentialed participants, and coursework or CEU providers are required to uphold the ethical guidelines and all policies and procedures established by the QABA Board.

All complaints and grievances are confidential. All parties remain anonymous unless a legal or ethical violation is substantiated. For cases where confidentiality poses a risk to the public, notifications to third party, legal authorities and/or employers may be necessary. Frivolous complaints made by fellow certificate holders or providers are subject to disciplinary action by the QABA Board.

  • Grounds for sanctions include, but are not limited to:
    1. Conviction of a felony or crime of moral turpitude under federal or state law
    2. Gross negligence, willful misconduct, or ethical violation in performance of services under QABA certification
    3. Fraud, falsification, or misrepresentation of qualifications or candidacy, renewals applications, or regulated policy rules of QABA
    4. Falsification or misrepresentation of any information requested by QABA, including: making a frivolous complaint, causing delay or disruption to investigations, or being non-responsive to requests from the QABA Board
    5. Misrepresentation of credentials to public or logo in advertising or public domain
    6. Cheating on an exam or assisting others to cheat on an exam
    7. Failure to respond to an allegation within 15 business days
  • Complaints regarding the exam process: Any complaints or issues related to the exam process, technical difficulties, or rescheduling should be sent in writing to [email protected] or call the office at 877.220.1839. Most issues can be resolved quickly via telephone or in coordination with Examity. Any issues or exam red flags that can not be resolved by administration will be forwarded to the preliminary review committee.
  • Complaints regarding any credentialed member or QABA coursework or CEU provider should be made in writing to the QABA Board president. For additional information or help in determining if a complaint is applicable, please contact [email protected] or call the office at 877.220.1839.

View The Complaint Form

All complaints must be in writing through the Complaint Form on the website qababoard.com. NOTE: all information must include the name, title, and credential of the person submitting the complaint; the name of the person/company and credential of the person being reported; all relevant information and a detailed description of the event, including dates and timelines; all contact information, including phone, email, and written correspondence for parties noted in the complaint.

NOTE: Every effort to resolve employee/employer/supervisor issues should be made through supervision and employer channels PRIOR to filing a complaint. Only ethical issues should be addressed to the board that affect credentialing and maintenance of a credential.

IMPORTANT: Complaints should not made be until all corroborating evidence is available and/or other investigations are complete including, but not limited to, on-going written internal discipline counseling documents (signed by both parties), employer or other agency investigations and dispositions of those investigations, corroborating complaints from other witnesses, etc.

I. Preliminary Review: All complaints are reviewed by the board president and secretary. Preliminary review is completed within 5 business days.

A. The complaint is determined to:

    1. Be substantial and contain valid and sufficient information to justify a discipline committee review
    2. Be insufficient and returned for further information; or, dismissed as not qualifying as an ethics/policy violation
    3. Be more appropriate for administrative resolution through the QABA office

B. Disciplinary Committee Review: A valid and substantial complaint is investigated by a Disciplinary Review Committee (DRC) comprised of the board president, secretary and one additional board member. The committee forwards a report and recommendation to the QABA Board upon completion of all relevant investigation materials.

  1. Notification is made within 5 days of substantiated review to the certificant or provider whose conduct is in question. Email, phone and/or written correspondence is used and all contacts are documented in a written log of all data. If the recipient does not respond within 5 business days, a certified letter is issued. The respondent has 15 days upon receipt to respond. All participants and providers are responsible for maintaining current and correct information in the QABA system. Incorrect or out-of-date information is not the responsibility of the QABA Board; however, every effort will be made to contact all parties. Failure to respond within 15 days will result in automatic suspension of the certificate. During suspension, individuals cannot represent, provide services nor bill services utilizing the credential. Employers will be immediately notified upon suspension. Further failure within an additional 15 days to respond to a suspension notice will result in revocation following a board vote and notification to the employer. Reinstatement may be requested in writing up to 30 days following the revocation to the QABA Board President, along with thorough justification and data to support the reinstatement. The investigation timeline procedures will continue at that time.

2. Employers, employees, or related parties to any complaint may be contacted to substantiate information.

C. Board Review: All complaints forwarded by the DRC are reviewed by a quorum of QABA Board members.

  1. Determination is made upon completion of all investigation materials and reports. Final determination is not completed until all legal processes are fulfilled, if applicable. Final determinations for certificates or provider status may result in the following:
    1. Caution/warning counseling
    2. Code compliance or training through voluntary professional development
    3. Suspension for a specific period of time or until completion of specific training, supervision, or code/policy correction is made
    4. Revocation: the participant or provider is immediately removed from active status and listed as revoked after the appeals process
    5. Dismissal: after thorough investigation, the board concludes that the complaint is unsubstantiated based on evidence provided
    6. Voluntary surrender of certificate or provider status: if completed before the final determination, the file is sealed and the certificate or provider is removed from the roster without comment
  2. Determination results/sanctions are provided to the respondent or provider through written notice within 5 business days of final board quorum vote. Revocation of the credential is permanent and certificants and providers may not re-apply.
  3. Complainants are notified in writing of the results of their filed complaint.

D. Appeals Process: Appeals can be filed to the board president within 30 days from receipt of the board’s determination. Appeals must be made in writing and include all information substantiating the justification of the appeal. Appeals are forwarded to an Appeals Committee (AC) comprised of 2 board members who were not on the Disciplinary Review Committee for the case, and at least one QABA Advisory Board member (QABA stakeholders in a voluntary advisory position) unassociated with the provider or employer of the respondent/provider. Respondents have the right to be present or video conference with the Appeals Committee and may include their own legal counsel.

1. Determinations by the Appeal Committee:

a. Uphold the board decision

b. Initiate additional investigation to be completed by the same Appeals Committee. Results will be forwarded to the QABA Board for re-determination within 60 days of a complete file for the appeal.

c. Complete a justification report for modification to the board for re-determination

2. All parties will be notified of the Appeals Committee determination within 5 business days of final review

COMPLAINT / GRIEVANCE TIMELINE OF ACTION

Preliminary Review

   (President, Secretary)

Disciplinary Review Committee

(President, Secretary, 1 Board member)

QABA Board Review

   (QABA Board quorum)

Appeals Committee

(2 Board members not on DRC and 1 advisory member)

5 days to assess DRC has 5 days to notify (email and phone) respondent of charge; 30 days to notify board of an open investigation Board receives DRC recommendation within 15 days following all relevant materials 30 days after Board determination, appeal can be filed to board president
5 days to receive response; if no response, DRC sends certified letter 60 days to vote on determination; respondent receives notification of results in 5 business days; complainant receives results Appeals Committee receives appeal with evidence, has 60 days to investigate and make determination.
Automatic suspension after 15 days of no response. Board is notified; employer is notified Board revokes credential after 30 days of no response. Respondent may submit reinstatement request to board president within 30 days; Appeals Committee submits justification report to board for re-determination; Board has 30 days to re-determination
Additional 15 days following notification of suspicion to respond before board votes to revoke Employer is notified Appeals Committee notifies all parties within 5 business days

*Deadlines may be extended for gathering additional data or legal/ professional board resolutions prior to the QABA final determination.

COMPLAINT / GRIEVANCE TIMELINE OF ACTION

Preliminary Review (President, Secretary) Discipline Review Committee (President, Secretary, 1 Board Member) QABA Board Review (QABA Board Quorum) Appeals Committee (2 Board members not on DRC and 1 advisory member)
5 days to assess DRC has 5 days to notify (email and phone) respondent of charge; 30 days to notify board of an open investigation Board receives DRC recommendation within days following all relevant materials 30 days after board determination, appeal can be filed to board president
5 days to receive response; if no response, DRC sends certified letter 60 days to vote on determination; respondent receives notification of results in 5 business days; complainant receives results Appeals Committee receives appeal with evidence, has 60 days to investigate and make determination
Automatic suspension 15 days following notification of suspicion to respond before board votes to revoke. Board revokes credential after 30 days of no response. Respondents may submit reinstatement request to board president within 30 days Appeals Committee submits justification report to board for re-determination; board has 30 days for re-determination
Additional 15 days following notification of suspicion to respond before board votes to revoke Employer is notified Appeals Committee notifies all parties within 5 business days

*Deadlines may be extended for gathering additional data or legal/ professional board resolutions prior to the QABA final determination.