ASSOCIATION OF SERVICE AND
COMPUTER
DEALERS INTERNATIONAL
AND
PROCEDURE FOR FILING AND
PROCESSING COMPLAINTS
CODE OF PROFESSIONAL
CONDUCT AND PRACTICES
Members of the Association of Service and Computer Dealers International (the “ASCDI”) and Subscribers to the Association of Service and Computer Dealers International Network (the “ATN”) have pledged to honor and abide by the Code of Ethics (the “Code”) to ensure the public of high standards in all dealings with ASCDI Members and ATN Subscribers.
The ASCDI seeks to enforce the Code through an Ethics Committee consisting of members of the ASCDI, which considers alleged violations and renders Sanctions, including expulsion from the ASCDI and suspension from the ATN.
The Code reflects the dedication of the Members of the ASCDI and Subscribers to the ATN to maintain the highest level of ethics and responsibility in their relationship with the public, other members of the industry and customers.
Members of the ASCDI and Subscribers to the ATN agree to the following:
To maintain and enforce high standards of ethical professional conduct making Membership in the ASCDI a recognized mark of experience, integrity and competence.
To regard as confidential all information concerning the business and affairs of the customer.
To conduct business in a manner which brings credit to and enhances the reputation of the service and computer dealer industry.
To publicize products and services in a professional manner, avoiding all conduct, practices and promotions likely to discredit the industry.
To broaden public understanding and enhance confidence in the service and computer dealer industry so that customers and users will be encouraged to use Member products and services as their primary resource.
In keeping with these principles, Members of the ASCDI and Subscribers to the ATN make the following pledge:
a) To follow through and complete any agreement made verbally or otherwise to any ASCDI Member or non-member, prospect or customer.
b) To conclude a transaction in a competent and professional manner once the parties have agreed to complete a specific transaction.
c) To honor an offer that has been accepted as expeditiously as possible.
d) To fully disclose all limitations on the authority of an employee or agent representing a Member or Subscriber in a transaction.
e) To use only one name, identity or affiliation in all negotiations or in a competitive bidding environment.
f) To refrain from disparaging others by statement or innuendo.
g) To respond to any complaint alleging violation of the Code and participate in all proceedings prescribed by the ASCDI Board of Directors.
Conclusion
The Ethics Committee reviews infractions of the Code with regard to ethical behavior and the integrity of its Members and ATN Subscribers. Members found in violation of the Code will be subject to disciplinary action, including expulsion from the ASCDI.
PROCEDURE FOR FILING AND PROCESSING
COMPLAINTS
Preamble
This Procedure for Filing and Processing Complaints (the “Complaint Procedure”) has been developed to provide an orderly process for resolving complaints alleging violations of the ASCDI Code of Ethics. The Complaint Procedure explains how complaints will be filed and processed by the Ethics Committee. The Ethics Committee consists of Members of the Board of Directors of the Association. The Committee does not render awards of monetary damages.
Definitions
The term “Association” or “ASCDI” as used herein means the Association of Service and Computer Dealers International.
The term “Code” as used herein means the ASCDI Code of Ethics.
The term “Ethics Committee” as used herein means the ASCDI Board of Directors.
The term “Complainant” as used herein means the party filing a complaint.
The term “Respondent” as used herein means the party against whom a complaint is filed.
The term “Service” as used herein means the process by which a Respondent receives a complaint.
The term “Subscriber” as used herein means a subscriber to the Association of Service and Computer Dealers International Network (“ATN”).
I.
Filing a
Complaint
A. Against Members
Members or non-members of the Association may file complaints against Members of the Association. By filing a complaint, a non-member agrees to be bound by the Code, follow the Complaint Procedure and participate in proceedings hereunder.
B. Against Subscribers
Members or non-members of the Association may file complaints against Subscribers to the ATN. A complaint filed against a Subscriber, who is a non-member, is treated as a filing against a Member. By filing a complaint against a Subscriber, a non-member agrees to be bound by the Code, follow the Complaint Procedure and participate in proceedings hereunder.
C. Against Non-Members
The Association does not have jurisdiction over non-members. However, if a non-member is willing to abide by the Code and participate in these proceedings, the Ethics Committee, at its discretion, may process the complaint.
II.
Complaint
Procedure
A. Form of Complaint
1. All complaints must be in writing on an ASCDI Complaint Form and sent to the ASCDI Administrative Office. ASCDI Complaint Forms are available through the ASCDI Administrative Office, or on the Internet at http://www.ascdi.com.
2. The complaint must include the following: (a) a brief summary of the facts; (b) the party against whom the complaint is filed; (c) the specific Articles of the Code alleged to have been violated; and (d) the act that constitutes the alleged violation. Copies of all relevant supporting documents must be submitted with the complaint.
B. Ethics Committee Procedures
1.
Processing and Service of Complaint and
Response
(a) Upon receipt of the completed complaint form and all relevant documents, the case will be forwarded to the Chair of the Ethics Committee (the “Chair”) for processing.
(b) The Chair will review the complaint and, assuming the facts to be true, make a threshold determination as to whether the facts, as alleged, constitute a violation of the Code.
(c) If the threshold determination is that a violation did not occur, the matter will be closed.
(d) If the threshold determination is that a violation did occur, the complaint will be served on the Respondent by certified mail, return receipt requested, initiating the proceedings.
(e) Following Service of the complaint, the Chair will attempt to resolve the issues giving rise to the complaint. If this initiative is successful, the matter will be dismissed without further proceedings. If this initiative is not successful, the Respondent must submit a written response to the complaint as provided in Paragraph II B (f).
(f) Upon Service of the complaint, the Respondent shall file a written response within 30 days thereafter. If a response is not received within 30 days of Service, the following actions will occur:
(i) If the complaint is against a Member or Subscriber, the Ethics Committee will treat the facts, as alleged, as having been admitted, and the case will proceed to the Sanction level.
(ii) If the complaint is against a non-member, the lack of response will be taken as a refusal to participate. Notice of such refusal will be given to the Members. The Complainant and Respondent will be informed that notice will be placed in the Association’s periodic publication, made a part of the Association’s permanent record and posted on the Association’s Internet Home Page. No further action will be taken by the Ethics Committee.
(g) If a response is received, a copy will be sent to the Complainant, and the matter will be set for hearing.
2.
Hearing
(a) After Service of the response, the Chair will schedule a hearing involving the Complainant, Respondent and the Hearing Panel.
(b) The Hearing Panel consists of three Members of the Ethics Committee (“the Hearing Panel”). Copies of the complaint, response and all supporting documents will be forwarded to the Members of the Hearing Panel.
(c) Both parties will be given an opportunity to participate, with counsel or without counsel, on a teleconference with the assigned Hearing Panel. If a Complainant chooses not to participate in the hearing process, the complaint will be heard on the basis of the complaint, together with evidence submitted by the Respondent. Failure of the Respondent to participate, unless excused in advance by the Chair, shall result in a finding against the Respondent.
(d) The hearing will last 30 minutes, during which each party will be allotted 10 minutes to state the facts and present any evidence. Members of the Hearing Panel may conduct a question/answer session after the presentation of evidence. Following the hearing, the matter will be taken under advisement by the Hearing Panel, and a written decision will be rendered accordingly.
III. Sanction
Levels
A. It is the responsibility of the Hearing Panel to determine whether: (a) the information presented constitutes a violation of the Code; (b) the information presented does not constitute a violation of the Code; or (c) the facts as presented are inconclusive as to whether a violation of the Code occurred. If a violation is found, the Hearing Panel will recommend any of the following sanctions:
1. Level 1: A finding of violation with notice given only to the Complainant, Respondent and the Ethics Committee.
2. Level 2: A finding of violation with notice given to the Membership and the Ethics Committee. The notice will contain the name of the Respondent, the name of the Complainant and a brief explanation of the facts and the violation.
3. Level 3: A finding of violation with a recommendation to the Ethics Committee to suspend the Member’s privileges from the Association and/or the Subscriber’s access to the ATN for a specified length of time not to exceed 12 months. The decision shall be effective, and the suspension period shall begin, on the date the Respondent is notified of the determination of the Hearing Panel. Notice of the decision will then be given to the Complainant and Respondent only, which decision shall remain secret and confidential, pending appeal as provided in Paragraph III B.
4. Level 4: A finding of violation with a recommendation to the Ethics Committee for expulsion from the Association and/or removal from the ATN. A two-thirds vote of the Ethics Committee shall be required in order to expel a Member or remove a Subscriber from the ATN, but only after the Respondent has been given an opportunity to address the Ethics Committee with or without counsel. The Ethics Committee’s decision shall be effective on the date the Ethics Committee votes to affirm the Hearing Panel’s recommendation to expel a Member and/or remove a Subscriber from the ATN. Notice of the Ethics Committee’s final decision shall be given to the Membership as provided in Paragraph B.
B. In the event of a Level 3 or 4 sanction, no action will be taken for 20 days, pending an appeal. In the event no appeal is taken, the decision shall become final and binding, and the matter will be considered concluded.
C. If the Ethics Committee does not confirm the Hearing Panel’s recommendation, the case will be returned to the Hearing Panel for further review consistent with the determination of the Ethics Committee.
D. The Chair will make a presentation of the Ethics Committee activities at all semi-annual Association meetings. The Chair will publicly announce and review all recommended sanctions to the Board of Directors and the Membership.
IV. Withdrawal
In the event a party attempts to withdraw its complaint or the parties agree to dismiss the complaint, the Ethics Committee reserves the right to take further action on the complaint. Once a complaint has been heard, settlements made between the parties will not alter the Ethics Committee’s findings.
V. Three Complaints Against a Company
In the event three complaints resulting in Sanctions have been filed against a party within any 12-month period, the Chair and the President of the Association shall review and, if appropriate, notify the Membership of the following:
A. The names of the parties to each complaint;
B. The date of filing of each complaint; and
C. The outcome of each complaint.
VI. Responses to Inquiries
A. Matters involving Level 1 sanctions are and will remain private and confidential.
B. Matters involving Level 2 through Level 4 sanctions are a matter of public record. Only the sanction level and the Code provision(s) that were violated will be divulged.
C. A copy of the notice sent to the Membership regarding three complaints against one company, pursuant to Paragraph V, shall be furnished in response to any inquiry about such company for the 12 months following the notice regarding the three complaints filed.
ASCDI ETHICS COMPLAINT
FORM
Important:
This form must be completed in its entirety. Please print or type and mail to the
ASCDI Administrative Office,
The undersigned hereby asserts that there has been a
violation of the ASCDI Code of Professional Conduct and Practices. (See enclosed copy.) The particulars
follow:
|
COMPLAINANT |
RESPONDENT |
|
Company: |
Company: |
|
Street:
|
Street:
|
|
City: |
City: |
|
State, Zip: |
State, Zip: |
|
Phone: |
Phone: |
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Fax: |
Fax: |
|
Contact Person: |
Contact Person: |
|
Email: |
Email: |
|
ASCDI Member?
o
YES o
NO |
ASCDI Member?
o
YES o
NO |
|
ATN Network Subscriber?
o
YES o
NO |
ATN Network Subscriber?
o
YES o
NO |
|
ALLEGED
CODE VIOLATION:
ARTICLE(S): |
Is this complaint being filed with any other
association?
o YES
o
NO
If yes, please disclose which association(s).
__________________________________________
Give a brief statement of the facts giving rise to this
complaint.
|
|
Complainant
Title
Date
(signature)
|
FOR ASCDI USE
ONLY: Date Received
Date
Processed
Case
Number
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ASCDI ETHICS RESPONSE
FORM
Respondent Company Name
Contact Person
Title
Phone
Please print or type and mail to the ASCDI
Administrative Office,
Give a brief statement of the facts in this case as you
see them. If you require additional
space, please use a separate sheet and attach it to this
form.
|
|
Respondent
Title
Date
(signature)
|
FOR
ASCDI USE ONLY: Date Received
Case
Number
Date Sent to
Committee/Complainant
|