909 Ethics and Compliance Complaints

909.1 Filing of Ethics and Compliance Complaints

909.1.1 Ethics complaints may be filed for violation of the RESNET Code of Ethics.

909.1.2 Compliance Complaints may be filed for failures to comply with the RESNET Standards

909.1.3 Complaints shall document the alleged violation(s) or compliance issue(s).The complaint shall also be specific about which section(s) of the Code of Ethics or the RESNET Standards have been violated. To be considered, the full and complete complaint shall be submitted on the RESNET’s online ethics or compliance complaint form posted on the RESNET web-site and contain the following information:

909.1.3.1 The name of the complainant and contact information;

909.1.3.2 The name of the party that is the subject of the complaint;

909.1.3.3 A complete description of the alleged violation(s);

909.1.3.4 A recitation of all the facts documenting the complaint;

909.1.3.5 Copies of all relevant documents.

909.2 Investigation of Complaints

909.2.1 RESNET has a tiered approach to investigation of complaints; RESNET makes an initial determination and all parties have the right to appeal the decision to the RESNET Ethics and Appeals Committee. Furthermore, a provider has the right to appeal any decision made by the Ethics and Appeals Committee to the RESNET Ethics Panel per section 910.2.3. Upon receipt of a complaint, RESNET shall assign a case number and RESNET staff shall review the evidence submitted. The Chair of the Ethics and Appeals Committee shall be informed. RESNET staff shall consider the documentation contained in 909.1.3 in making a determination to proceed or dismiss the complaint.

909.2.2 In cases where RESNET staff finds the documentation submitted does not meet the minimum standards for an ethics or compliance complaint, the complaint may be dismissed. Both parties shall be notified of RESNET staff's finding by electronic mail.

909.2.3 Upon a decision by RESNET staff that the complaint should proceed to the next step, RESNET shall send a copy of the complaint by electronic mail to the subject of the complaint immediately. The respondent has 20 business days to submit a full and complete response to the complaint. All relevant information and documentation shall be included in the response. The response shall be in writing and sent to RESNET by electronic mail.

909.2.4 Upon receipt of the response, RESNET shall within thirty (30) business days of receiving the complaint, take action on the complaint. The action may include, but is not limited to:

909.2.4.1 Dismissal of complaint;

909.2.4.2 Require that steps be taken by the subject of the complaint to correct the problem; and/or

909.2.4.3 Specify sanctions under Section 912 (Probation, Suspension and Revocation of Accreditation) of this chapter.

909.2.5 All parties to the complaint shall be informed by electronic mail of the RESNET's action.

909.2.6 Actions shall be subject to appeal in accordance with Section 913 of these Standards.

All complaints, responses, and supporting documentation received by RESNET shall be handled in strict confidence by RESNET staff, the Ethics and Appeals Committee and the RESNET Appeals Panel.