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 ENGLISH
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Preamble
This Standards Compliance and Oversight Procedure (SCOPe) is the process followed by the IPOA Standards Committee in response to a complaint being lodged against a member company of IPOA. It replaces the IPOA Enforcement Mechanism.
The SCOPe shall not be legally binding. It is intended that it serve as a guide for the Standards Committee in its monitoring of Member Company compliance with the IPOA Code of Conduct (“the Code”).
IPOA is not a law enforcement or judicial organization, and will not attempt to prove the guilt or innocence of a member company in a criminal or civil legal case. Nevertheless, the Code and the SCOPe are a reflection of the commitment of IPOA to maintaining a high standard of ethics and reputation among its membership.
Section 1 – Jurisdiction of the Standards Committee
Jurisdiction Over Member Companies
1.1 Entities shall only be subject to the SCOPe if they are a current Corporate Member Company (“Member”) of IPOA.
1.2 A Member of IPOA is defined as an entity whose application to join IPOA has been approved by the IPOA Membership Committee and has not been subsequently terminated by the Member or by the Board of Directors.
1.3 A Member of IPOA is deemed to be subject to the Code.
1.3.1 Failure to pay member dues in a timely manner shall not constitute immunity from the Code or the SCOPe.
1.4 The Standards Committee shall only have jurisdiction over Complaints regarding the provisions enumerated in the Code.
1.5 Events that pre-date the induction of a Member into IPOA shall be subject to Standards Committee jurisdiction if they are not disclosed to the Membership Committee at the time of Application for Membership.
1.6 Events that pre-date the induction of a Member into IPOA shall not be subject to Standards Committee jurisdiction if they are disclosed to the Membership Committee at the time of Application for Membership, and the Membership Committee has previously exercised due diligence with regard to investigating the event.
Formal Litigation
1.7 If a Complaint presented to the Standards Committee concerns a case currently subject to formal investigation or litigation, the Standards Committee shall, upon request of either party to the complaint, reserve the ability, at its discretion, to suspend the SCOPe until the results of the formal litigation are made public.
1.7.1 During such formal litigation, the CLO shall ensure that the Standards Committee remains fully appraised of the current status of the litigation.
1.7.2 Any suspension of the SCOPe proceedings shall end within thirty days of the termination of formal litigation.
Burden of Proof
1.8 The burden of proof in any Complaint shall be based on a preponderance of the evidence presented to the Standards Committee.
1.8.1 The burden shall rest with the Complainant to provide all necessary information and evidence that they may possess or reasonably be able to obtain in order to support their Complaint.
1.8.2 The Standards Committee shall seek to gather all necessary information and evidence concerning a Complaint that it may reasonably be able to obtain.
1.8.3 The Standards Committee shall determine whether the preponderance of the evidence supports a conclusion that a violation of the Code of Conduct occurred.
Sanctions
1.9 The Standards Committee shall have it within its power to recommend to the Board of Directors the expulsion of any Subject Company, without adequate explanation and justification, that fails to reasonably cooperate with requests for information concerning a Complaint.
Section 2 – Receipt of Complaint
Standing
2.1 Any individual or entity is deemed to have standing to lodge a Complaint, with exceptions only as outlined in s.2.1.1 to s.2.1.5.
2.1.1 In order to retain neutrality and to protect the sanctity of the SCOPe process, IPOA staff shall be excluded from s.2.1 and shall be deemed not to have standing and shall therefore not have the ability to lodge a Complaint.
2.1.2 A Member Company shall have the ability and standing to lodge a Complaint against another Member Company, pursuant to 2.1.3, however any Member Company that lodges a Complaint shall not be entitled to anonymity protections pursuant to s.2.4.3.
2.1.3 Any Complaint lodged by a Member Company against another Member Company must be seconded by no less than two (2) other Member Companies.
2.1.4 A Member Company shall have the ability and standing to lodge a Voluntary Disclosure concerning its own actions. Pursuant to s.7.10, the Standards Committee shall have within its power the ability to investigate a Voluntary Disclosure as an ordinary Complaint.
2.1.5 Any Committee of IPOA shall have the ability and standing to collectively lodge a Complaint against a Member Company, however any Committee that lodges a Complaint shall not be entitled to anonymity protections pursuant to s.2.4.5.
Duties of the Complainant
2.2 Complaints must be made in writing to IPOA by mail, facsimile transmission, electronic mail or web site submission. Verbal complaints shall not be accepted.
2.3 Complaints must be directed to the Chief Liaison Officer (CLO) of the Standards Committee.
2.4 Complainants must state their full name and, upon request, inter alia, their address, telephone number, and other relevant identifying information.
2.4.1 Identifying information shall only be used by the CLO for the purposes of gathering and verifying information and communication with the Complainant. Such identifying information shall at all times remain confidential.
2.4.2 The CLO shall preserve the anonymity of the Complainant and withhold their identity from the Standards Committee where the Complainant specifically requests protection of their identity.
2.4.3 Where a Complainant is another Member Company of IPOA, or an agent or employee thereof acting on behalf of a Member Company, that Member Company shall not be entitled to anonymity.
2.4.4 Where a Complainant is an agent or employee of a Member Company, acting not on behalf of that Member Company in a manner that may be defined as a “whistleblower,” s.2.4.3 shall not apply and the Complainant shall be entitled to anonymity pursuant to s.2.4.2.
2.4.5 Where a Complainant is a Committee of IPOA, that Committee shall not be entitled to anonymity.
2.4.6 Where a Complainant fails to disclose their identity to the CLO, the Complaint may nevertheless still be examined by the Standards Committee.
2.5 Complaints should be addressed to specific clauses in the Code, but no Complaint shall be dismissed on the basis of lacking such specific attribution to the Code.
Duties of the Chief Liaison Officer
2.6 Upon receiving the Complaint, the CLO shall immediately file a Form S-871 “Receipt of Original Complaint” within seven (7) days, detailing:
• the identity of the Complainant (if anonymity is not requested pursuant to s.2.4.2);
• the identity of the Subject Company to the Complaint;
• the original text of the Complaint;
• the date that the Complaint was received;
• the Case Number, which shall be assigned by the CLO.
2.7 The CLO shall circulate the completed Form S-871 to the following parties:
• the Complainant;
• the Subject Company to the Complaint; and
• the Chair of the Standards Committee (or the Deputy Chair of the Standards Committee pursuant to s.2.8).
2.8 If the Chair of the Standards Committee is affiliated with the Subject Company to the Complaint, the CLO shall notify the Deputy Chair of the Standards Committee of the Complaint as well as the Chair.
Duties of the Standards Committee and Board of Directors
2.10 Delegates to the Standards Committee or the Board of Directors that represent Member Companies that are either a Subject Company to the Complaint or are otherwise affiliated with a Subject Company to a Complaint (as parent company, subsidiary, etc.) shall recuse themselves from these proceedings.
2.11 Delegates to the Standards Committee or the Board of Directors that represent Member Companies that are direct competitors to a Subject Company to the Complaint or are otherwise affiliated with a Subject Company to a Complaint (as commercial partners, etc.) may recuse themselves from these proceedings.
Section 3 – Administrative Panel
Purpose of the Administrative Panel
3.1 The purpose of the Administrative Panel shall be to screen complaints and to summarily reject complaints if deemed specious or irrelevant to the Code’s provisions.
Composition of the Administrative Panel
3.2 The Administrative Panel shall be comprised of two IPOA Senior Staff and shall be overseen by the Chair (or Deputy Chair) of the Standards Committee.
Duties of the Administrative Panel
3.3 The Administrative Panel must complete its review within seven (7) days of receipt of circulation of Form S-871.
3.4 After reviewing the Complaint, the Administrative Panel must either recommend the Complaint to the full Standards Committee or dismiss the Complaint.
3.5 All decisions by the Administrative Panel must be accompanied by a written justification and completed Form S-872 “Administrative Panel Adjudication”.
3.6 The CLO shall circulate the completed Form S-872 to the full Standards Committee within seven (7) days of circulation of Form S-171.
Recommendation of Complaint
3.5 If the Administrative Panel deems the Complaint to be valid, relevant to the Code of Conduct, properly submitted, and subject to a current Member Company, the Administrative Panel shall refer the Complaint to a Review Panel.
3.6 Recommendation of a Complaint shall not be construed as a determination of guilt or innocence; rather, recommendation of a Complaint shall be construed as a determination on the reasonability of a Complaint.
3.7 A Complaint may be partially-recommended and partially-dismissed if the Administrative Panel deems one or more components of a Complaint to be valid, yet deems one or more components of the same Complaint to be invalid.
Dismissal of Complaint
3.8 If the Administrative Panel deems the Complaint to be invalid, irrelevant to the Code of Conduct, improperly submitted, or subject to a non-Member Company, the Administrative Panel shall provisionally dismiss the Complaint.
3.9 Upon provisional rejection of the Complaint, the full Standards Committee shall have seven (7) days to review the rejection of Complaint.
3.9.1 If no objection is raised within the seven (7) day period, the dismissal shall be upheld and the Complaint shall be summarily dismissed.
3.9.1.1 If the Complaint is summarily dismissed, the CLO shall file a Form S-883 “Dismissal of Complaint” within seven (7) days.
3.9.1.2 The CLO shall circulate the completed Form S-183 to the following parties:
- the Complainant; and
- the Subject Company to the Complaint.
3.9.2 If a member of the Standards Committee raises an objection within the seven (7) day period, and that objection is seconded by another member of the Standards Committee, the Complaint shall be referred to a Review Panel.
Section 4 – Review Panel
Purpose of the Review Panel
4.1 If the Administrative Panel (or the full Standards Committee in objecting to a provisional rejection of a Complaint by the Administrative Panel) recommends a Complaint, it shall be heard by a Review Panel.
4.2 The purpose of the Review Panel shall be to review the facts of a Complaint and to decide whether the Subject Company transgressed the Code.
Composition of the Review Panel
4.3 The Review Panel shall be comprised of three members of the Standards Committee appointed by the Administrative Panel.
Duties of the Review Panel
4.4 The Review Panel must complete its review within thirty (30) days of circulation of Form S-872.
4.5 The Review Panel shall be permitted to investigate the facts pertinent to a Complaint within a reasonable timeframe.
4.5.1 If extraordinary resources are necessary in order to facilitate an investigation, the CLO and Chair of the Standards Committee shall petition the Board of Directors for funding, which shall be granted at the discretion of the Board of Directors.
4.5.2 Any costs incurred by the Subject Company in providing evidence or otherwise participating in the SCOPe shall be borne wholly by the Subject Company and IPOA and/or the Standards Committee shall not be liable for any reasonable costs associated with responding to a Complaint.
4.6 The Review Panel must vote unanimously in order to extend the period of review by thirty (30) day increments solely for the purpose of ongoing inquiries. The Review Panel may extend the period of review no more than once.
4.7 After reviewing the Complaint, the Review Panel must either recommend the Complaint to the full Standards Committee or dismiss the Complaint.
4.8 All decisions by the Review Panel must be accompanied by a written justification and completed Form S-873 “Review Panel Adjudication”.
4.9 A representative of the Subject Company to the Complaint may, at the discretion of the Review Panel, be permitted to attend hearings – in person or by telephone – held by the Review Panel.
Recommendation of Complaint
4.10 If the Review Panel deems the Complaint to be valid, and that a transgression of the Code is adjudged to have occurred, the Review Panel shall refer the Complaint to a Compliance Panel.
4.11 Recommendation of a Complaint shall not be construed as a punitive measure; rather, recommendation of a Complaint shall be construed as providing the Subject Company an opportunity to return to – and prove – compliance with the Code.
Rejection of Complaint
4.12 If the Review Panel deems the Complaint to be invalid, and that a transgression of the Code is adjudged to not have occurred, the Review Panel shall dismiss the Complaint.
4.13 If the Complaint is dismissed by the Review Panel, the CLO shall file a Form S-183 “Dismissal of Complaint” within seven (7) days.
4.14 The CLO shall circulate the completed Form S-883 to the following parties:
- the Complainant; and
- the Subject Company to the Complaint.
Section 5 – Compliance Panel
Purpose of the Compliance Panel
5.1 If the Review Panel recommends a Complaint, it shall be heard by the Compliance Panel.
5.2 The purpose of the Compliance Panel shall be to review the operations and procedures of a Subject Company, to suggest and impose remedies, and to monitor the compliance of the Subject Company with the Code.
Composition of the Compliance Panel
5.3 The Compliance Panel shall be comprised of the full Standards Committee but for those delegates that recuse themselves subject to s.2.10 or s.2.11.
Duties of the Compliance Panel
5.4 The Compliance Panel must complete its review within thirty (30) days of circulation of Form S-873.
5.5 The Compliance Panel shall be permitted to recommend and impose the following remedies on a Subject Company:
5.5.1 Where a Complaint provides either lacks or provides minimal supporting evidence, a Notification may be sent to the Subject Company, which shall consist of a letter:
- outlining the allegations received from the Complaint; and
- requesting that the Subject Company review its guidelines and procedures relevant to the Complaint.
5.5.2 Where a Complaint is believed to be valid with supporting evidence, a Request for Clarification may be sent to the Subject Company, which shall consist of a letter:
- outlining the allegations received from the Complaint; and
- requesting a formal explanation from the Subject Company on what steps were taken in response to the incident(s) in question and what policies and procedures are in place to ensure that such incident(s) do not reoccur.
5.5.3 Where a Complaint is believed to be valid with supporting evidence and it is further believed that the problem(s) in question is ongoing, a Request for Explanation may be sent to the Subject Company, which shall consist of a letter:
- outlining the allegations received from the Complaint;
- requesting specific changes in company policies, procedures and/or actions regarding the problem(s) in question; and
- outlining a period of oversight by the Standards Committee to ensure that that Subject Company returns to compliance.
5.6 The Compliance Panel must vote unanimously to extend the period of review by thirty (30) day increments solely for the purpose of ongoing oversight. The Compliance Panel may extend the period of review no more than twice.
5.7 After the completion of the Compliance period, the Compliance Panel must either adjudge that the Subject Company has returned into compliance with the Code or that the Subject Company continues to be non-compliant.
5.8 All decisions by the Compliance Panel must be accompanied by a written justification and completed Form S-874 “Compliance Panel Adjudication”.
5.9 A representative of the Subject Company to the Complaint shall be required to attend hearings held by the Compliance Panel.
Adjudication of Compliance
5.10 If the Compliance Panel deems the Subject Company to have met and complied with the Compliance Panel’s requirements and to be in compliance with the Code, the Complaint shall be deemed to have been completed and the Subject Company in question shall continue to remain a Member in good standing.
5.11 The CLO shall circulate the completed Form S-889 “Completion of Complaint” to the following parties:
- the Complainant; and
- the Subject Company to the Complaint.
5.12 The Subject Company shall be permitted to publicize the result of the Complaint, and/or request that IPOA publicize the result of the Complaint in a public forum.
Adjudication of Non-Compliance
5.13 If the Compliance Panel deems the Subject Company to have not met and complied with the Compliance Panel’s requirements and to be in continued non-compliance with the Code, the Compliance Panel may refer the Subject Company to the Disciplinary Panel for recommended expulsion.
5.14 The CLO shall circulate the completed Form S-874 to the following parties:
- the full Standards Committee;
- the IPOA Board of Directors; and
- the Subject Company to the complaint.
Section 6 – Disciplinary Panel
Purpose of the Disciplinary Panel
6.1 If the Compliance Panel recommends expulsion of a non-compliant Subject Company, the Disciplinary Panel shall provide a final ruling on expulsion.
6.2 The purpose of the Disciplinary Panel shall be as final arbiter of Complaints.
Composition of the Disciplinary Panel
6.3 The Disciplinary Panel shall be comprised of the full IPOA Board of Directors.
Duties of the Disciplinary Panel
6.4 The Disciplinary Panel must complete its review within thirty (30) days of circulation of Form S-874.
6.5 After the completion of its review of the Complaint and the recommendation of expulsion by the Compliance Panel, the Disciplinary Panel must either to uphold or dismiss the recommendation of expulsion.
6.6 The Subject Company shall be permitted to appeal the recommendation of the Compliance Panel to the Disciplinary Panel within seven (7) days of circulation of Form S-874.
Adjudication of Compliance
6.7 If the Disciplinary Panel dismisses the recommendation of the Compliance Panel and deems the Subject Company to be in compliance with the Code, the Complaint shall be deemed to have been completed.
6.8 The CLO shall circulate the completed Form S-889 “Completion of Complaint” to the following parties:
- the Complainant; and
- the Subject Company to the Complaint.
6.9 The Subject Company shall be permitted to publicize the result of the Complaint, and/or request that IPOA publicize the result of the Complaint in a public forum.
Expulsion
6.10 If the Disciplinary Panel upholds the recommendation of expulsion by the Compliance Panel, the Subject Company shall be removed from IPOA and any remaining membership dues, in whole or in part, shall be forfeited.
6.11 At the conclusion of the process, IPOA shall publicize the result of the Complaint in an appropriate public forum.
6.12 If a Subject Company is expelled from IPOA, it shall not be permitted to re-apply for membership for a minimum twelve (12) months.
Section 7 – Voluntary Disclosures
Purpose of Voluntary Disclosures
7.1 Member Companies may submit Voluntary Disclosures regarding incidents that occur that could be of interest or concern to the Standards Committee.
7.2 The purpose of a Voluntary Disclosure is to provide information and prior notice in good faith to the Standards Committee about a potential external Complaint.
7.3 Voluntary Disclosures shall be deemed confidential to IPOA and Standards Committee delegates unless otherwise stated in writing by the Subject Company.
Duties of the Subject Company
7.4 Voluntary Disclosures must be made in writing to IPOA by mail, facsimile transmission, electronic mail or web site submission. Verbal disclosures shall not be accepted.
7.5 Voluntary Disclosures must be directed to the Chief Liaison Officer (CLO) of the Standards Committee.
7.6 Member Companies must state their full name and, upon request, inter alia, their address, telephone number, and other relevant identifying information.
7.7 Voluntary Disclosures may be as simple as a press release or as detailed as necessary for a Subject Company to effectively communicate relevant information to the Standards Committee.
Duties of the Chief Liaison Officer
7.6 Upon receiving the Voluntary Disclosure, the CLO shall immediately file a Form S-877 “Receipt of Voluntary Disclosure” within seven (7) days, detailing:
- the identity of the Subject Company;
- the original text of the Voluntary Disclosure;
- the date that the Voluntary Disclosure was received; and
- the Case Number, which shall be assigned by the CLO.
7.7 The CLO shall circulate the completed Form S-877 to the full Standards Committee.
Duties of the Standards Committee
7.8 The Standards Committee may choose to review a Voluntary Disclosure as a Complaint pursuant to s.4 of the SCOPe, however there shall be no requirement for a Complaint to proceed.
7.9 Filing of a Voluntary Disclosure shall not be considered to absolve a Subject Company from responsibilities under the Code nor shall it provide a Subject Company immunity from review or potential expulsion. However, the filing of a Voluntary Disclosure shall be considered positively and given significant weight by the Standards Committee and IPOA Board in any subsequent investigations involving the Subject Company.
7.10 If a member of the Standards Committee proposes a Complaint stemming from a Voluntary Disclosure within seven (7) days of the circulation of a Form S-877, and that proposal is seconded by another member of the Standards Committee, the Complaint shall be referred to a Review Panel.
Section 8 – Reporting
Promulgation of Rules and Dissemination of Information
8.1 The Standards Committee may promulgate rules separate from the Code or the SCOPe that better define practical application of IPOA standards. These rules may not conflict with the provisions of either the Code or the SCOPe. These rules shall be recorded in Publication S-830 “Standards Committee Gazette.”
8.2 IPOA shall publicize facts and figures relating to the SCOPe proceedings, however specific names of complainants, Subject Companies and precise details of Complaints shall remain confidential.
8.3 IPOA shall provide information to the public regarding Companies that have been expelled from IPOA as a result of the SCOPe proceedings.
Public Notices
8.4 Regardless of the status or outcome of a Complaint, the Standards Committee may publish Public Notices that would notify the Membership – and if the Standards Committee so chooses, the public at‐large – that a Complaint had been received.
8.4.1 Public Notices shall not reveal the identity of either the Complainant or the Subject Company subject to the Complaint nor any individuals or other third parties related to the Complaint.
8.4.2 Public Notices shall not provide specific information, but shall instead describe the broad concept of the Complaint. Public Notices shall remind the Membership of its obligations under the Code with reference to the issue under consideration by the Standards Committee.
8.4.3 Public Notices shall not prejudice or otherwise indicate judgment on a Complaint.
Directives
8.5 Regardless of the status or outcome of a Complaint, the Standards Committee may publish Directives that would alert the Membership about relevant standards and ethics issues with the intent of reminding Member Companies of their obligations under the Code.
8.5.1 Directives shall not reveal the identity of either a Complainant or a Subject Company subject to any Complaint nor any individuals or other third parties related to any Complaint.
8.5.2 Where Directives are published as a result of a Complaint, Directives shall not provide specific information, but shall instead describe the broad concept of a Complaint. Directives shall remind the Membership of its obligations under the Code with reference to the issue under consideration by the Standards Committee.
8.5.3 Directives shall not prejudice or otherwise indicate judgment on any Complaint.
Section 9 – Confidentiality
Non-Disclosure Agreements
9.1 All delegates to the Standards Committee must sign a Non-Disclosure Agreement (NDA) prior to participation in the SCOPe proceedings.
9.2 All delegates to the IPOA Board of Directors must sign a NDA prior to participation in SCOPe proceedings.
9.3 All staff members of IPOA must sign a NDA prior to participation in SCOPe proceedings.
Confidentiality of Information
9.4 Submissions by complainants shall be deemed public unless a specific request for confidentiality is received by the CLO.
9.5 Submissions by Subject Companies shall be deemed confidential unless a specific waiver of confidentiality is received by the CLO. Nevertheless, IPOA may nevertheless be legally required to furnish any and all information in connection to a Complaint where mandated by appropriate legal and governmental authorities.
Section 10 - Execution and Application
10.1 Standards Compliance and Oversight Procedure adopted on September 25, 2009 without reservation (Rule # S/9-09/03).
10.2 This version of the Standards Compliance and Oversight Procedure shall supersede all previous versions of both it and the Enforcement Mechanism and shall be retrospectively applicable.
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