Leadership Character Architecture Institute

Professional Conduct

Investigation Process and Sanctions (Proposed)

This is a proposed process. It is not in effect; no investigation has been opened, and no sanction has been imposed. The Institute will publish the process in its final form before it issues any credential.

Who may raise a concern

A concern about a credential holder's conduct may be raised by anyone with direct knowledge of the matter. A concern about a practitioner who does not hold a credential is not within this process; the practice standards in the LCABOK™ are available to any organization evaluating a practitioner's work.

How a concern is received

A concern is submitted in writing through the contact page with the subject line Conduct Concern. The Institute acknowledges receipt and does not publish the concern or the name of the person who raised it without that person's consent. A concern that does not name a credential holder, does not describe a specific act, or is submitted anonymously may be closed without investigation.

Initial review

The Institute reviews the concern to determine whether it describes conduct that, if established, would be a violation of the code. If it does not, the concern is closed and the person who raised it is told why. If it does, the Institute opens an investigation.

Investigation

The holder is told that a concern has been raised, given a description of the alleged conduct, and given an opportunity to respond. The investigation is conducted by people who are not responsible for the work under review and who have no material interest in the outcome. The holder may be asked to provide documents, records, or a written account. The Institute does not publish the fact of an investigation while it is open.

Findings and sanctions

If the investigation finds a violation, the Institute may impose one or more of the following: a formal caution, a requirement to complete specified continuing education, a suspension of the credential for a stated period, or a withdrawal of the credential. The sanction is proportionate to the seriousness of the violation and the holder's conduct during the investigation. The holder is told the finding and the sanction in writing.

Publication

A withdrawal of a credential is published in the register of credential holders. A suspension is noted against the holder's entry for its duration. A caution or education requirement is not published. The name of the person who raised the concern is not published without that person's consent.

Standards

Professional conduct standards are grounded in the LCABOK™ practice standards.

Professional Conduct