POLICIES

Review the Policy Manual.

Commitment to Impartiality

The Certification Commission shall act impartially in relation to its applicants, candidates and certified persons. Representatives of the Commission shall understand the importance of making decisions related to certification in accordance with its policies and procedures, and shall exercise due diligence in doing so. The Commission shall make public the policies and procedures affecting applicants, candidates and certified persons, and shall fairly and accurately convey information about the certification program to all stakeholders and interested parties. The Commission shall understand threats to impartiality, which include, but are not limited to: self-interest, activities from related bodies, relationships of personnel, financial interests, favoritism, conflict-of-interest, familiarity and intimidation. The Commission shall periodically conduct a threat analysis to determine the potential, both real and perceived, of an individual or an organization to influence the certification processes or benefit from them.

Position on Training & Education

The Certification Commission does not require applicants for certification to take prescribed training or education programs from any company or organization. The Commission does not recommend or endorse any training or education programs as preparation for the certification examination, nor does it accredit or endorse any source of education as a guarantee of success on the certification examination. Certification is awarded solely on the basis of an individual’s ability to meet the certification requirements.

Confidentiality

Information regarding the status of an applicant or candidate will only be discussed with the applicant or candidate or their legal representative.  Certification personnel may release information regarding a candidate’s performance on the certification examination to an employer or entity only with written permission from the candidate.  Certification personnel shall release upon request the name and certification status of certified persons.

Challenging the Exam

The Certification Commission shall provide candidates with an opportunity to provide feedback on the examination content and procedures regarding:

  • The technical accuracy of the examination.
  • Fairness in the administration of the examination.

A candidate who has a concern about administrative procedures at a testing site or who has observed a breach of security or other improper conduct during a test should submit a report in writing to certificationteam@artba.org within five calendar days after taking the examination.

A candidate who has a question or a concern about the reliability, validity, and/or fairness of the test may submit the question or concern in writing to certificationteam@artba.org no later than five calendar days after taking the examination.

The Commission will not consider reports about improper test administration procedures or test content which exceeds the five day deadline for doing so, or are not submitted in writing.

Code of Ethics

The Code of Ethics of the Certification Commission requires certified persons to uphold the rules and requirements for the Safety Certification for Transportation Project Professionals™ (SCTPP) program.

The Code of Ethics allows for the proper discharge of the responsibilities of those they serve, and for the protection and integrity of the credential. Agreement to uphold and abide by the Code of Ethics is a requirement for earning and maintaining SCTPP certification. Implicit in this agreement is an obligation not only to comply with the mandates and requirements of all applicable laws and regulations, but to act in an ethical manner in all professional services and activities. Certified persons who fail to comply with the Code of Ethics are subject to disciplinary procedures which may result in sanctions, including but not limited to revocation of certification status. The Code of Ethics is not set forth to determine behaviors resulting in criminal or civil liability, nor are they intended to resolve matters of market competition.

As a Safety Certified Transportation Project Professional, I agree to uphold and abide by the follow tenets:

  • Perform duties in a safe, ethical and competent manner.
  • Provide complete and accurate information when applying for certification and recertification.
  • Represent qualifications with honesty and integrity.
  • Abide by and uphold the policies of the Certification Commission.
  • Use the logo and certification marks only in an authorized and approved manner.
  • Pay all fees and provide information required by the Certification Commission.

The following sanctions may be imposed for failure to abide by the Code of Ethics. The sanction shall be based on the severity of the violation, and shall include, but not be limited to:

  • Cease and Desist
  • Written reprimand
  • Written reprimand with remediation
  • Censure
  • Suspension
  • Revocation
  • Permanent revocation

In addition to imposing sanctions, the ARTBA Foundation shall have the authority to report sanctions to legal and regulatory authorities, and other credentialing organizations as appropriate.

Ethics & Discipline Committee

The Ethics and Discipline Committee shall have the power to investigate all alleged violations of the Code of Ethics. The Committee is obligated to investigate only complaints which are valid and actionable. If, during the investigation, the Committee determines that there may be additional violations, the Committee may investigate and reach appropriate findings regarding such additional violations. The reporting of a criminal conviction resulting in a misdemeanor or felony will automatically trigger the conduct of an investigation.

All information disclosed to the Ethics and Discipline Committee shall remain confidential except during circumstances in which the Committee is required to disclose such information when compelled by a validly issued subpoena required by law or to parties essential to the investigation. A file of materials related to the investigation shall be maintained by certification personnel in a secure location and accessible only to authorized individuals. Upon the closing of each investigation, the Committee shall return to the certification administrator all materials reviewed for disposition of the complaint. Certification personnel shall maintain a file consisting of one copy of all documents related to the investigation. Additional copies of documents shall be disposed of in a confidential manner.

Timeline

The timelines set forth below shall be guidelines and as such may be shortened or extended at the Ethics and Discipline Committee’s discretion, depending on the circumstances of each proceeding.

Candidate Handbook

Disciplinary Procedures

Initial Consideration

Within 45 days after receiving a complaint, certification personnel shall determine whether sufficient information exists to proceed with a formal investigation.  The investigation shall not proceed without first having received the complainant’s acknowledgement and consent that all information disclosed in the complaint will be disclosed to the certified person and others pursuant to the investigation.  If the complainant does not consent to the disclosure of all information, the complaint shall be dismissed.

Notification of Formal Investigation

If it is determined that a formal investigation is warranted, the Ethics and Discipline Committee Chair shall be notified to begin the investigation.  Within 30 days of notification of a formal investigation, the Ethics and Discipline Committee Chair shall send written notification to the complainant and the certified person regarding the conduct of the investigation.  Such notification shall include the complaint and a description of the alleged behaviors involved in the complaint, including the specific sections of the Code of Ethics that are alleged to have been violated.  The Chair’s notification shall include a request that the certified person respond to the allegations within 30 days from the date of notification.  The Chair’s notification shall include the name of the complainant, unless the committee has proceeded on its own initiative.  The Chair’s notification shall be sent by certified mail, return receipt requested.

Response to Complaint

The certified person’s response to the complaint shall be in writing and shall contain complete information concerning the complaint.  The certified person’s failure to respond to the complaint or lack of cooperation shall not prevent the continuation of the investigation as the Committee deems appropriate.

Investigation

The Ethics and Discipline Committee shall conduct its investigation by collecting information, conducting phone inquiries or any other appropriate means of inquiry.  If after receipt of the certified person’s response the Committee determines that additional information is warranted by either or both parties, or from any third parties, the parties shall be notified and shall submit the additional information within 30 days from the date of the Committee’s request for additional information.  The Ethics and Discipline Committee may, at its discretion, convene individuals with expertise in the matter of the complaint to participate in the investigation.

Disposition of Complaint

If the Ethics and Discipline Committee concludes that some type of action is warranted, it shall adopt any one or more of the following sanctions or take any other appropriate action:

  1. Notify all parties, in writing, that based on the investigation, no action is warranted against the certified person and dismiss the complaint;
  2. Require that the certified person cease and desist the alleged conduct;
  3. Reprimand the certified person in writing;
  4. Require corrective actions be taken;
  5. Refer the matter to a national, regional, state or local professional association;
  6. Suspend the certified person’s certification status for an appropriate period of time, including permanently;
  7. Revoke the certified person’s credential(s);
  8. Prohibit approval of application for addition credentials; and
  9. Take any other action that is warranted under the circumstances.

Any action taken against a certified person shall become part of the certified person’s record, which record shall be considered during any future consideration regarding the certified person’s certification status.

Report to the Certification Commission

The Ethics and Discipline Committee Chair shall provide written notification to the Commission within 30 days of determination of the complaint.  The Commission shall review the findings of the investigation within 30 days of its receipt of the findings and shall uphold the determination of the Ethics and Discipline Committee, unless evidence warrants further investigation, in which case the investigation shall continue, or unless the Commission has evidence that the Ethics and Discipline Committee has acted erroneously, or in an arbitrary or capricious manner.

Notification and Publication of Sanction

The Ethics and Discipline Committee Chair shall notify the complainant and the certified person of the committee’s findings and determination within 30 days from the date of the decision of the Commission.  The Chair shall report the name(s) of the sanctioned person and the violation of the Code of Ethics as determined by the Ethics and Discipline Committee.  Pending request of an appeal, such information shall be published on the certification program website, and any other appropriate locations as reasonably determined by the Ethics and Discipline Committee.  Upon request, the Certification Commission Chair shall provide such report to any interested person or public agency deemed necessary to protect the public.

Appeal

The certified person shall have 30 days from the date of the Chair’s notification to request an appeal of the Committee’s findings.  In such an event, certification personnel shall notify the Commission that an appeal has been filed.

Information Included in Appeal

The certified person’s appeal of the decision must be made in writing and must be mailed by certified mail, return receipt requested, to the certification administrator.  The certified person shall state the specific grounds why the appeal should be considered.  The certified person may not present, include, or rely on facts that were not presented in the proceedings.

Appeals Hearing

In the event that the certified person timely and properly appeals the decision, the Commission shall appoint an Appeals Panel that shall consist of individuals who were not a part of the decision, and who are qualified to serve on the panel.  Certification personnel shall notify the certified person of the date and location of the appeal hearing.  The appeal hearing must be scheduled as soon as possible after the Commission’s receipt of notification of appeal.  The appeal shall be heard and conducted at ARTBA Headquarters or another mutually agreed upon location.  The certified person shall pay for his or her expenses.  The certified person shall have the right to bring his or her own attorney to the hearing, but in no event shall counsel be allowed to provide testimony in lieu of, or on behalf of, the certified person.  The hearing shall be closed to third parties with the exception of any witnesses, experts, consultants and legal counsel.  The Appeals Panel may exclude any individual(s) from the hearing at any time at its discretion, with the exception of the certified person and his/her legal counsel, if any, who shall be entitled to be present at all times.  The Appeals Panel shall consider all available evidence presented to the Ethics and Discipline Committee, which formed the basis for the Committee’s determination, and such other evidence as it may, in its discretion, deem appropriate.  The appeal hearing shall be recorded by a court recorder and a formal record of the proceeding shall be filed by the certification staff.

Appeals Panel’s Decision

The Appeals Panel shall only overrule the Ethics and Discipline Committee’s recommendations and conclusions in the event of the following:

  • The Code of Ethics were incorrectly applied;
  • The findings of facts by the Committee were clearly erroneous, arbitrary or capricious; and/or
  • The disciplinary sanctions recommend by the Committee were grossly disproportionate to the facts surrounding the violation.

The Appeals Panel decision shall be final.

Notification Publication of Sanction

Within 30 days from the appeal hearing, certification personnel shall notify the complainant and the certified person in writing of the decision. Certification personnel shall report the name(s) of the sanctioned person and the violation of the Code of Ethics as determined by the Committee and upheld by the Appeals Panel. Such information shall be included on the certification website, and any other appropriate locations as reasonably determined by the Ethics and Discipline Committee. Upon request, the Commission shall provide such report to any interested person or public agency deemed necessary to protect the public.

Close of Case

Once the final decision has been made, the matter shall be closed and the files shall be retained in the certification office. Committee members and other individuals involved in the investigation shall return all information received during the investigation to the certification administrator, where one set of records shall be maintained and the remainder destroyed.

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