Appeals Policy & Procedures
NCCCO has established policies and procedures by which sanctioned individuals may appeal adverse decisions.
Notification of Rights of Appeal
In cases involving sanctions by the Program Integrity Team (PIT), within 10 days of the PIT meeting at which the action was taken, NCCCO Program Integrity Staff shall send an appropriate letter reflecting the action taken and advising the program participant or person of the action taken and any applicable rights of appeal.
In cases involving sanctions by the Ethics and Discipline Committee, within 30 days of the Committee meeting at which the decision was made, NCCCO Program Integrity Staff shall send an appropriate letter reflecting the action taken and advising the candidate or certificant of the action taken and any applicable rights of appeal.
The responsible bodies for initial decisions and appeals of particular program participants are set forth in NCCCO’s Decisions/Appeals Process.
Click here for a chart of NCCCO’s Decisions/Appeals Process (updated 3/20).
Deadlines for Appeals
Sanctioned persons shall have 30 days from the date of notification in which to request an appeal of the adverse decision. In such an event, NCCCO’s Program Integrity Staff shall notify the appropriate Appeals Panel that an appeal has been filed.
Information Included in the Appeal
Any appeal of an adverse decision must be made in writing and must be mailed by traceable courier or certified mail, return receipt requested, as instructed in the notification letter.
The appellant shall state the specific grounds why the appeal should be considered. The appellant may not present, include, or rely on facts that were not presented in the proceedings; provided, however, that the Appeals Panel may, in exceptional cases, and in its discretion, grant waivers of this requirement and consider additional facts.
Information Included in the Appeal
In the event that the appellant timely and properly appeals the adverse decision, the appropriate appellate body shall constitute and serve as an Appeals Panel and shall notify the appellant of the date and location of the appeal hearing.
The foregoing notification shall be provided at least 14 calendar days prior to the appeal hearing.
Procedures for Appeal Hearings
The appeal hearing must be scheduled as soon as possible after receipt of the appellant’s notification of appeal.
The appeal shall be heard and conducted at an NCCCO office or another location designated by NCCCO, or by telephone, as necessary or appropriate. The appellant may elect to attend the appeal hearing by telephone. The appellant shall pay for his or her expenses incurred in connection with the appeal.
The appellant shall have the right to bring his or her own attorney to counsel the certificant at the hearing, but in no event shall counsel be allowed to present argument or provide testimony in lieu of, or on behalf of, the appellant.
The hearing shall be closed to third parties. Neither factual witnesses nor expert witnesses will be permitted to participate in the appeal hearing.
The Appeals Panel shall consider the available evidence presented and which formed the basis for the underlying adverse determination, and such other evidence as it may, in its discretion, deem appropriate.
A program participant’s failure to respond to pursue an appeal or participate in the appeal hearing shall be considered by the Appeals Panel in reaching a determination.
A formal record of the hearing appeal proceeding shall be kept by Program Integrity Staff.
Standard of Review on Appeal
The Appeals Panel shall only overrule or modify the underlying adverse determination in the event of the following:
- The policies at issue were incorrectly applied;
- The findings of fact were clearly erroneous, arbitrary or capricious; and/or disproportionate to the facts surrounding the violation;
- The disciplinary sanctions imposed were grossly disproportionate to the facts surrounding the violation.
The decision of the appropriate Appeals Panel shall be final and not subject to further appeal.
Notification of Disposition on Appeal
Within 30 days from the appeal hearing, Program Integrity Staff shall notify the appellant in writing of the decision by the Appeals Panel.
Program Integrity Staff shall report the name(s) of the sanctioned certificant and the violation(s) of the Code of Ethics. Such information may be posted on the NCCCO website, and in any other appropriate locations as reasonably determined by NCCCO, consistent with NCCCO’s Information Release Policy.
Upon request, Program Integrity Staff may provide such report to any interested person or public agency deemed necessary to protect the public, consistent with NCCCO’s Information Release Policy.
Close of Appeal
Once a final decision has been made concerning an appeal, the matter shall be closed and the relevant files shall be retained for a reasonable period of time by NCCCO Program Integrity Staff.
Members of the Appeals Panel, and others in contact with materials related to the investigation, shall destroy or return all information received during the investigation to NCCCO Program Integrity Staff.