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Policies

Grievances and Disciplinary Actions Policy

CFRE International was established to identify for the public those men and women engaged in the generation of philanthropic dollars who possess the knowledge, skills, and commitment to perform their duties in an effective, conscientious, ethical, and professional manner. In addition, the Program was developed to help advance the evolution of the field of philanthropic fund raising from an emerging discipline to a recognized profession.

Those individuals certified (referred to as “certificants”) have successfully completed the required certification process, which includes meeting certain education, performance, and service criteria, passing a written examination testing a core body of knowledge, and verifying professional experience. Individuals granted certification status by CFRE International agree, in writing, to uphold the Accountability Standards of CFRE International In addition, CFRE International endorses the Donor Bill of Rights and encourages certificants to do the same.

Successful candidates are granted certification status by the CFRE International and may hold themselves out to the public as such. In order to maintain and enhance the credibility of the CFRE program and in furtherance of its mission, CFRE International has adopted these administrative procedures to allow consumers and others to bring complaints concerning certificants’ conduct to CFRE International or for CFRE International to take action on its own in the event that it learns of possible misconduct by certificants. In the event of a violation of the Accountability Standards or other substantive requirements of the certification process by a certificant, CFRE International may reprimand or suspend the certificant, or it may revoke the certificant’s credential.

CFRE International shall ensure that information concerning the grievance process, as developed by CFRE International, shall be available to all consumers and the public. These administrative procedures shall apply to all complaints or inquiries received about a certificant.

Actions taken under these administrative procedures do not constitute enforcement of law, although referral to appropriate federal, state, and local government agencies may be made about a certificant’s conduct in appropriate situations. Individuals bringing grievances are not entitled to any relief or damage by virtue of this process, although they shall receive notice of the action taken.

All CFRE certificants must agree to abide by the CFRE Accountability Standards.

GRIEVANCE AND DISCIPLINARY PROCEDURE

A) GRIEVANCE COMMITTEE

The Board of Directors of CFRE International shall appoint a Grievance Committee with at least three members for terms to be determined by the Board of Directors. This Grievance Committee shall serve to oversee the compliance of the certificants to the CFRE International Accountability Standards. This oversight shall include the review of any complaints made regarding the violation of the CFRE International Accountability Standards by certificants. The members of the Grievance Committee shall be CFRE certificants, and members of the CFRE International Board of Directors may serve on the Grievance Committee. The CFRE International Board of Directors also shall appoint a Chair of the Grievance Committee.

B) NOTICE OF GRIEVANCE

Anyone may lodge a grievance against a certificant based on the CFRE International Accountability Standards.

Any grievance shall be directed to the Chair of CFRE International in written form. The written notice should include all known applicable information listed below and be addressed to: Chair, CFRE Grievance Committee, CFRE International, 4900 Seminary Road, Suite 670, Alexandria, VA 22311 and marked “CONFIDENTIAL”

-Name, address, and phone number of the certificant in question

-Name, address, and phone number of the complainant

-Date, time, and place of the incident

-Description of the incident, which should be as specific and factual as possible

-Name, address(es), and phone number(s) of all witnesses involved.

Once a complaint is received in the CFRE International office, it shall be reviewed by the Executive Director.

The complaint shall be forwarded to the Chair of the CFRE Grievance Committee, along with a summary from the Executive Director, to determine whether the complaint has reliable and sufficient information to find probable cause of a violation of the CFRE International Accountability Standards.

Within thirty (30) days of receipt by the CFRE International office, the Chair of the CFRE Grievance Committee shall take one of the following actions:

If the complaint is determined to be frivolous or not substantive, the Chair of the Grievance Committee shall dispose of the written report by mailing a letter to the complainant stating the reason(s) for return.
If it is determined that there is probable cause that the complaint is valid and actionable, the complainant shall be notified. Any information provided by the complainant may be used in the investigative process.

At this stage of the process, the only individuals within CFRE International privy to the names of the individual certificant being considered for disciplinary action shall be limited to the CFRE Board Chair, the Chair of the Grievance Committee, and the Executive Director. Discussions with committee members and recommendations to the Board shall use the individual’s certificant identification number as an identifier.

If it learns of a possible violation by a certificant of the CFRE International Accountability Standards, CFRE International may initiate the disciplinary process against the certificant on its own. In such event, the matter shall be sent to the Chair of the Grievance Committee to determine whether there is reliable and sufficient information to find probable cause of a violation of the CFRE International Accountability Standards. If it is determined that there is probable cause that the complaint is valid and actionable, the complainant shall be notified. Any information provided by the complainant may be used in the investigative process.

In addition to any action taken by CFRE International, the Chair of the Grievance Committee shall forward the complaint to the chairs of the appropriate disciplinary bodies of the professional associations in which the individual is a member for possible further action.

C) INFORMAL INVESTIGATION

If the Chair of the Grievance Committee determines that there is probable cause that a complaint is valid and actionable, that the matter is capable of resolution without formal proceedings, and that the certificant is amenable, the Chair of the Grievance Committee may attempt to resolve the complaint through an informal process directly with the certificant. The Chair of the Grievance Committee shall provide a written report of any such determination to the CFRE International Board of Directors.

D) EMERGENCY SUSPENSION WITHOUT HEARING

If the Chair of the Grievance Committee determines that there is probable cause that a certificant has violated the CFRE International Accountability Standards and that such violation poses an immediate threat to public health or safety, then the Grievance Committee may suspend the credential of the certificant, pending further investigation and a final determination by the Grievance Committee.

E) NOTIFICATION AND RESPONSE

If the Chair of the Grievance Committee finds probable cause that a complaint is valid and actionable, the Chair of the Grievance Committee shall see to it that the certificant whose conduct is in question is notified via certified, return receipt mail. If the Grievance Committee has suspended the certificant’s credential due to an immediate threat to public health or safety, such suspension shall be included in the notification.

Upon receipt of notification, the certificant in question has thirty (30) days to respond and provide information. Any information provided may be used in the investigative process.

F) INVESTIGATIVE PROCESS

REVIEW: The Grievance Committee or the Chair of the Grievance Committee shall review the matter and determine its severity. All valid and actionable matters shall be investigated by the Grievance Committee, and the Chair or Grievance Committee may seek legal counsel throughout the process.

INVESTIGATION: The Grievance Committee may contact the complainant, if there is one, or the certificant who is the subject of the investigation for additional information with respect to the matter. The Chair of the Grievance Committee shall supervise and direct all Grievance Committee members and use discretion concerning who to contact who may have knowledge of facts and circumstances surrounding the matter.

CONFIDENTIALITY: CFRE International shall attempt to conduct all investigations in confidence, objectively, and without any indication of prejudgment. An investigation may be directed toward any aspect of a matter which is relevant or potentially relevant. Formal hearings are not conducted unless the factual circumstances of the matter are disputed.

Members of the Grievance Committee are expected to represent the interests of the public.

Grievance Committee members are volunteers but may be reimbursed for expenses under applicable guidelines of the CFRE Board.

G) HEARING PROCESS

The Chair of the Grievance Committee may call for a hearing provided the matter meets the requirements established by CFRE International. The purpose of a hearing is to provide a non-judicial step in the grievance process for getting at the truth between the involved parties when at least one of the following is applicable:

There is disagreement regarding the facts in question which cannot be clarified by the Committee members by phone or written communication;
Testimonies are necessary to determine the facts.

The certificant may be represented by legal counsel during the hearing, and the Chair of the Grievance Committee or the CFRE Board may consult with legal counsel throughout the proceedings.

The certificant shall be notified concerning the date and time of the hearing via certified, return receipt mail. The certificant must confirm his or her availability for the meeting within the time frame stated in the notice.

The hearing shall be conducted by members of the Grievance Committee. The Chair of the Grievance Committee shall act as a facilitator or shall appoint a facilitator from members of the Committee.

Hearings are not open to the public and therefore no public notice shall be given.

The process shall being with a discussion of the confidentiality agreements and statement of purpose for the hearing.

The certificant shall be given time to speak to the matter.

Questions shall be asked by the Grievance Committee members and/or facilitator to clarify the statements being made or to gather more substantive information pertaining to the matter.

Testimony shall be recorded, either electronically or via written minutes.

The certificant may not be present during Grievance Committee deliberation. The deliberation shall not be recorded on tapes or notes.

There is no time limit on the deliberation. The facilitator shall ensure that each Grievance Committee member presents an opinion and both sides of the issue are discussed. The outcome of the deliberation shall be decided by a majority vote.

A determination of a violation and recommendation of sanction shall be completed through a voting process by the Grievance Committee immediately after the deliberation. This vote shall be recorded in writing. A rationale for the decision shall be included. All Grievance Committee members must agree to keep the discussion confidential.

RECORDS: Recorded hearings or minutes are property of CFRE International and may only be reviewed as a reference in the aid of a fair determination of the alleged violation. Reviews must take place in the presence of a Committee member or the chief certification staff person and are limited to the CFRE Board chair, individuals serving on the ad hoc committee in question, witnesses, the certificant, and the complainant, if there is one, unless required by law.

RECORDER: A recorder may be present to take minutes or record the proceedings. The recorder need not be a member of the Grievance Committee.

H) DETERMINATION OF VIOLATION

Upon completion of deliberations, the Grievance Committee shall determine whether there has been a violation of the CFRE International Accountability Standards. Should the Committee make a determination that there has been a violation, the Committee shall recommend the imposition of a sanction that must reasonably relate to the nature and severity of the violation, focusing on the reformation of the conduct of the certificant and the deterrence of similar conduct by others. The determination and recommended sanction shall be communicated in writing to the Chair of CFRE International to begin the approval process.

If the Grievance Committee recommends against a determination that a violation has occurred, the complaint shall be dismissed with notice to the certificant and complainant, if any; a summary report shall also be made to the Chair of CFRE International with a rationale included.

SANCTIONS

Any of the following sanctions may be imposed upon a certificant by CFRE International based on the recommendations of the Grievance Committee:

The CFRE Grievance Committee may send a written reprimand to the certificant. A copy shall be kept on file with CFRE International and shall be considered public information. The written reprimand shall be sent via certified, return receipt mail.
After a written reprimand, if the Grievance Committee determines that the same violation has occurred again, greater sanctions may be imposed without the need of further Board or Grievance Committee approval, if so stated in the initial written reprimand.
CFRE International may suspend a certificant’s certification status and all rights associated with that status for a designated period. The certificate and letter of official notice of award of certification must be returned to CFRE International during this time.
CFRE International may call for the revocation of the CFRE credential. If the credential is revoked, the certificant may not apply for recertification or apply for initial certification at a later date. Revoked certificates and letters of official award of certification must be returned to CFRE International once notice is received. Notice of revocation of the credential shall be published in CFRE News.
Other resolutions such as restrictions, written promises, or required actions to resolve the problem may be recommended by the Grievance Committee.

APPROVAL OF THE RECOMMENDATION OF SANCTIONS BY CFRE INTERNATIONAL

It is the responsibility of CFRE International to assure that the mission, Accountability Standards, procedures and policies are adhered to by Committee Chair and committee members. If a recommendation from the Grievance Committee is found to be incongruent with policies, procedures, the mission statement, Accountability Standards or legal advice, the CFRE Board may ask the Committee or Committee Chair to revise the recommendation.

The CFRE Board Chair may choose to bring the recommendation forward to the full CFRE Board or a special committee of the Board.

The recommendations are reviewed to determine ONLY that the process and outcome is consistent with the Board’s current policies, procedures, guidelines and Accountability Standards. The Grievance Committee Chair may be present during questions. The CFRE Board or CFRE Board Chair may confer with legal counsel to determine approval.

VOTING: The recommendation is stated in a motion by a CFRE Board member and seconded. Only Board members not involved in the investigation may vote. Anyone who may have a bias must declare their bias and not vote. The recommendation is approved or rejected by a majority vote of the remaining members of the Board. In the event there is an even number, the Chair of the Board shall vote. If there are no members on the Board who qualify to vote, the CFRE Board Chair shall confer with legal counsel to approve or reject the recommendation. If a Board member is the subject of the complaint, the Board member shall be excused during discussion and voting. If the recommendation is not approved, modifications shall be considered with the involvement of the Chair of the Grievance Committee.

The outcome of the vote is effective immediately.

REPORTING: After making their final decisions, the Board of Directors shall submit the outcomes to the Chair of the Grievance Committee for placement in the appropriate case files.

J) NOTIFICATION OF SANCTIONS

Following approval of a sanction as above, the certificant shall be notified via certified, return receipt mail. A copy shall be sent to the complainant, if there is one.

Determination that the certificant has been notified must be verified before any other parties are informed of the outcome.

After the 30-day window for appeals have lapsed, if the CFRE credential is revoked, such revocation shall be printed in CFRE News

Written notice shall be provided to any related professional association of which CFRE International is aware that the certificant is a member.

K) APPEAL

Within thirty (30) days from the receipt of notice of a sanction, the affected certificant may submit to the CFRE Board, in writing, a request for an appeal. In the request for an appeal, the certificant shall state the reasons why he/she feels an appeal is warranted. The following are appropriate grounds for appeal of the decision of the Grievance Committee:

There were errors of facts or omissions that would have significantly changed the outcome of the investigation;
The Committee failed to conform to published criteria, policies, or procedures which significantly changed the outcomes of the investigation.
- The CFRE International Board of Directors may only review whether the determination of a violation of the Accountability Standards, policies, or any requirement established by CFRE International by the Grievance Committee was inappropriate because of the stated reasons in #1 and #2 above. The appellant may consult with legal or other counsel at any time during the appeal process. The CFRE Board may consult legal counsel at any time during the appeal process.
- The decision of the CFRE Board shall either affirm or overrule the determination of the Grievance Committee, but shall not address a sanction imposed by the Grievance Committee. The CFRE Board decision is binding upon CFRE International, the certificant who is subject to the determination, and all other persons. The CFRE Board may decide to take one or more of the following actions:
  - Upholding the process carried out by the original Grievance Committee;
  - Initiating a process to re-investigate the violation;
  - Establishing a new Grievance Committee or discharging certain members.

If the CFRE Board determines that errors were made in the process that could have significantly changed the outcome, it may require the investigative procedures to be re-opened and order the process to be modified to focus on the aspect that was performed incorrectly or incompletely. A new Committee may be established or Committee members may be discharged depending on the approved recommendations of the CFRE Board.

Notification to the certification, the complainant, if there is one, and all other appropriate parties as determined by the CFRE Board shall be sent via certified, return receipt mail. An explanation of the continuation of the process, if necessary, shall be included.

L) RESIGNATION

CFRE International shall not accept the voluntary resignation of any certificant who is the subject of a disciplinary investigation.

M) ADMISSION OF GUILT

Investigative procedures shall be stopped and the Committee shall recommend a sanction to CFRE International for approval and notification, if a certificant who is the subject of a disciplinary investigation admits to having violated the Accountability Standards, policies, or any requirements established by the CFRE Board that are the subject of the investigation. By admission of guilt, the certificant waives his/her right to a hearing or appeals process.

N) VIOLATION OF OTHER SIGNED CODES OF ETHICS

If a certificant is found by a professional association of which he or she is a member to have violated its code of ethics, CFRE International shall immediately take action to revoke the certificant’s credential.

Approved 12-09-2002