PSAI Code of Excellence

Download the Complaint Process Flow

1. Initiation of Complaint: Once a formal written complaint is received, the PSAI will forward a copy of the written complaint to the respondent and appoint three members from the PSAI Standards and Guidance Committee to serve as the Grievance Review Panel (GRP), which will review the written complaint. The GRP is like a grand jury in that it will evaluate the complaint only to determine whether the complaint presented, taken as true on its face, warrants a hearing. The GRP will only be reviewing the written complaint and will not require the respondent to submit any response until such time as the GRP determines the complaint should be forwarded to a hearing. For further information about the GRP considerations, please see Consideration of a Complaint by a Grievance Review Panel.
   
   
2. Dismissal or Hearing: If the GRP determines that the allegations in the complaint, if taken as true, do not demonstrate a possible violation of the Code of Excellence, or there is some other reason the complaint should not move forward (e.g., not timely filed), the complaint will be dismissed. The complainant may appeal the dismissal by filing an Appeal of Grievance Review Panel Dismissal of Code of Excellence Complaint within 20 days from the transmittal of the dismissal notice.
   
   If the GRP determines the facts given appear to indicate a possible violation of the Code of Excellence, the GRP will refer the complaint to the Board of Directors for a hearing before an Excellence Hearing Panel. Questions regarding whether the complaint was timely filed or other administrative issues may be considered at a Pre-Hearing Meeting. This session will be held at the discretion of the Hearing Panel Chair (see Consideration of Admin at a Pre-Hearing Meeting for more information). A respondent may request a Pre-Hearing Meeting by submitting the Request for a Pre-Hearing Meeting Form.
   
   
3. Excellence Hearing: If the GRP refers the complaint for a hearing, the PSAI Board President will appoint an impartial, unbiased and experienced panel of five members. The panel will include three members of the PSAI Board and two non-PSAI members with expertise in the industry and/or in the topic of the grievance to serve as the Excellence Hearing Panel (EHP) charged with hearing the complaint. The PSAI ensures that the due process rights of all parties are protected in the hearing process. For example, complainant(s) an d respondent(s) may be represented by legal or peer industry counsel (or both), call witnesses, examine and cross-examine parties and witnesses, present evidence and challenge the qualifications of the panel members selected to hear the case. For further details about the Excellence Hearing procedures, please see the Procedure for a COE Hearing.
   
   
4. Decision: If the complaint goes to a hearing, the EHP will determine whether a violation occurred. If a violation has occurred, the EHP will also recommend corrective action and/or association sanctions. Both the complainant and the respondent have the right to appeal the decision of the EHP by filing the Request to Appeal Form within 20 days after the EHP’s final decision has been transmitted. For further details about the EHP’s procedures, please see the Outline of Procedure for Code of Excellence Appeals.
   
   
   1. Complainant: The complainant may appeal based only on alleged procedural deficiencies or other lack of procedural due process that may have deprived him/her of the opportunity for a full and fair hearing.
      
      
   2. Respondent: The respondent may appeal based upon (1) misapplication or misinterpretation of Part(s) of the Code of Excellence; (2) procedural deficiency or any lack of procedural due process that may have deprived him/her of the opportunity for a full and fair hearing; (3) the corrective action/association sanction recommended by the Hearing Panel.
      
      
5. Ratification: If no appeal is filed within 20 days of the transmission of the final decision to the parties, the recommendation of the Hearing Panel will be automatically forwarded to the PSAI Board of Directors. The Board will adopt the Hearing Panel’s recommendation and issue its order accordingly unless the Board is (1) concerned with a possible procedural deficiency; or (2) concerned with the appropriateness of the recommendation of sanction; or (3) concludes that the findings of fact do not support a violation of the Code of Excellence. Should the Board have concerns with the Hearing Panel’s findings or recommendations, the Board will remand the matter back to the Hearing Panel with direction for further activity.