What to expect
This is a brief outline. For a detailed description of the procedures for investigating a complaint, see sections 2-15 of the Rules of Procedure. Note that the ABCD process is confidential.
A complaint that an actuary has committed a material violation of the Code of Professional Conduct goes first to the ABCD staff. Generally, the complaint is sent to the actuary with a request for a response. Then the Board Chairperson and Vice Chairpersons review the complaint and the response.
If they decide to dismiss the complaint, based on a finding that no material violation has occurred, they will notify you and the actuary who is the subject of your complaint.
If the complaint is not dismissed, the ABCD appoints an investigator or, when appropriate, a mediator. Mediation can take place only if you and the subject actuary agree to it.
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 the subject actuary for a response.
Based on the report and the subject actuary’s response, the ABCD decides whether to dismiss the complaint, counsel the actuary, or schedule a fact-finding hearing.
As long as the case continues, you can expect to hear from the ABCD at least quarterly.
If a hearing is scheduled, the actuary named in the complaint will receive a detailed written notice, including copies of the material that will be considered.
The investigator will attend the hearing to present the report and answer questions. The actuary will be asked to present his or her case regarding the reported conduct and to answer questions. The Chairperson will have discretion to determine whether any other person may attend all or part of the hearing.
Following the hearing, the ABCD meets and decides whether to:
- reopen the hearing to seek additional information.
- dismiss the complaint.
- counsel the subject actuary.
- recommend discipline to the actuarial organizations to which the actuary belongs. (In such cases, the actuarial organization will then conduct its own proceeding to decide whether to discipline the actuary.)
The ABCD will continue to provide periodic updates to you until the case has been decided. You will be notified when the case is finalized.