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How CCAR Keeps the Professional Standards Process Fair and Impartial

by

When someone files a disciplinary complaint, everyone involved is owed a process that is fair, neutral, and handled with care. We take neutrality seriously. Between strict confidentiality, clear rules about who can serve, opportunities to challenge potential panelists, and built-in safeguards against bias, we work hard to make sure every complaint is heard by a fair, balanced, and impartial panel.

Here’s how we make sure of that:

✔️ Everything is Confidential
All details—allegations, findings, recommendations, and decisions—stay strictly confidential. Only what must be shared with C.A.R. per the Code of Ethics and Arbitration Manual (Section 39) is reported.

✔️ Carefully Selected, Qualified Panel Members
Detailed thought goes into who reviews or hears each case. For example:

  • Only one person from the same company can sit on a panel.
  • No one can sit on more than one panel for the same matter.
  • Anyone connected to the case—whether personally, through family, or through business—is automatically disqualified.
  • Before participating, panelists sign a statement confirming they can be completely impartial.

✔️ Fair Panel Selection From the Start
Both parties receive a list of potential panel members and can request the removal of anyone who may not be fully neutral—based on valid reasons like personal or business ties. Challenges must be based on valid reasons (not protected characteristics like race or gender), and the goal is simple: no surprises, no bias, and full confidence in a fair process.

✔️ Panelists Can Remove Themselves Too
Even if no one challenges them, panelists are expected to step down if they see anything that might create bias or the appearance of bias.

✔️ Balanced Panels
Panels always have an odd number of members to avoid tie votes. And if a salesperson is involved, at least one salesperson must be on the panel—ensuring representation by “a peer,” similar to a jury system.

✔️ No Off-the-Record Contact
To keep things fair, parties (and their representatives) cannot contact panel members outside the hearing or try to influence them in any way except through evidence and arguments during the official proceeding.

✔️ Extra Safeguards During Reviews
If a decision is reviewed by our Board of Directors, the review panel has at least three Directors who must meet the same impartiality standards—and directors are not allowed to serve on the Grievance or Professional Standards committees to avoid conflicts.

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