908.1 Filing of Ethics and Compliance Complaints
908.1.1 Ethics complaints may be filed for violation of the RESNET Code of Ethics.
908.1.2 Compliance complaints may be filed for failures to comply with the RESNET Standards
908.1.3 Complaint Documentation. To be acted upon, a complaint shall document the alleged violation(s) or compliance issue(s). The complaint shall also be specific about which section(s) of the RESNET Code of Ethics or the RESNET Standards have been violated. To be considered, the full and complete complaint and supporting documentation shall be submitted on the RESNET online ethics or compliance complaint form posted on the RESNET website and shall contain the following information:
908.1.3.1 The name of the complainant and contact information;
908.1.3.2 The name of the party that is the subject of the complaint;
908.1.3.3 A complete description of the alleged violation(s);
908.1.3.4 A recitation of all the facts documenting the complaint; and
908.1.3.5 Copies of all relevant documents.
908.2 Investigation of Complaints
908.2.1 Upon receipt of a complaint, the RESNET Quality Assurance Director shall assign a case number and the Chair of the Ethics and Appeals Committee shall be informed by electronic mail within 10 business days. The RESNET Quality Assurance Director shall consider the documentation submitted pursuant to Section 908.1.3 – Complaint Documentation as the means of deciding whether to proceed with an investigation or dismiss the complaint within 45 business days.
908.2.2 In cases where the RESNET Quality Assurance Director finds the documentation submitted does not adequately allege an ethics or compliance violation, the complaint shall be dismissed. The Chair of the Ethics and Appeals Committee, the complainant, and the party that is the subject of the complaint shall be notified of the RESNET Quality Assurance Director's finding by electronic mail.
908.2.3 Upon a decision by the RESNET Quality Assurance Director that the complaint adequately alleges an ethics or compliance violation, the RESNET Quality Assurance Director shall immediately (i) notify the complainant of RESNET staff's finding by electronic mail and (ii) notify the party that is the subject of the complaint by electronic mail, and (iii) notify the Rating Quality Assurance Provider and Primary QAD by electronic mail. Notification shall include:
908.2.3.1 Entire basis and justification for the complaint, including a copy of the complaint and supporting documentation;
908.2.3.2 Proposed disciplinary action and any applicable corrective action and its effective date, which shall be no less than fifteen (15) business days after the notification is delivered, and no less than five (5) business days after any hearing on the complaint under Section 911 – Hearing Procedures; and
908.2.3.3 Clarification of the procedures and Respondent’s right to a hearing under Section 911 – Hearing Procedures of this chapter, including the deadline and process for submitting a written challenge to the complaint, proposed corrective action, and/or proposed disciplinary action pursuant to Section 911 – Hearing Procedures.
908.2.4 All complaints, responses, and supporting documentation received by RESNET shall be handled in strict confidence by RESNET staff, and the Ethics and Appeals Committee.