What to expect
This is a brief outline. For a detailed description of the Board’s procedures for investigating a complaint, see sections 2-15 of the Rules of Procedure. Note that the ABCD process is confidential.
A complaint alleging that you have committed a material violation of the Code of Professional Conduct goes first to the ABCD staff, which will forward the complaint to you for information and comment. The Board Chairperson and Vice Chairpersons review the complaint and your response.
If they decide to dismiss the complaint, based on a finding that no material violation has occurred, they notify you and the complainant of the dismissal. If appropriate, the letter to you may contain guidance about issues such as improving the documentation of your work or improving communication with clients.
If the Chairpersons do not dismiss the complaint, they will appoint an investigator or a mediator. If an investigator is appointed and you have reason to believe that he or she could not act in an unbiased, competent manner, you can object, and the ABCD chairperson will determine whether to appoint another investigator. Mediation can take place only if you and the complainant agree to it.
An investigation may take six months, or longer, and it will include any available input from you and the complainant.
An investigation may take six months, or longer, and it will include input from you and from the subject actuary. If relevant information from other sources is provided, that will also be included. The investigator prepares a report, and the ABCD sends it to you for a response.
Based on the report and your response, the ABCD decides whether to dismiss the complaint, counsel you, or schedule a fact-finding hearing.
If a hearing is scheduled, you will receive a detailed written notice, including copies of the material to be considered.
The investigator will attend the hearing to present the report and answer questions. You will be asked to present your case regarding the reported conduct and to answer questions.
Following the hearing, the ABCD meets and decides whether to:
- reopen the hearing to seek additional information.
- dismiss the complaint.
- counsel you.
- recommend discipline to the actuarial organizations to which you belong. (In such cases, the actuarial organization will then conduct its own proceeding to decide whether to discipline you.)