The Complaint Process

How do I file a complaint?

You can file a complaint by submitting an online complaint form.

Once a complaint has been filed, the respondent (sponsor or entity complained against) is sent a copy of the allegation and is requested to send a written response to the complaint. Depending on the nature of the response, additional information from all parties may be requested. Our investigation may require:

  • access to the CPE program sponsor’s participation records
  • review of the CPE program sponsor’s promotional materials
  • an independent review of a program offered by the CPE program sponsor

Can I file a complaint anonymously?

Yes, but you still need to submit the online complaint form. If there is not sufficient information within the complaint and NASBA is unable to contact you for additional information, the investigation will be closed without any action taken against the organization. 

I’ve contacted an attorney and may want to pursue litigation. May I still file a complaint?

Yes, but if there is pending litigation related to the complaint, NASBA will defer action until the matter has been litigated. We may also request your attorney’s contact information for additional follow-up.  

What types of complaints do you receive?

Our complaints vary. Sometimes they involve administrative infractions. For administrative infractions, we request sponsors to make corrective actions and provide evidence of those actions. Sometimes complaints involve program content issues. To investigate program content issues, we may conduct an anonymous review of the sponsor’s program. If NASBA incurs expenses in order to investigate a complaint, then, according to the Sponsor Agreement, the sponsor may be required to reimburse NASBA for the reviewer’s participation, course registration and travel time.

How long does it take to process a complaint?

The time varies depending on the nature of the complaint and cooperation of the involved parties. NASBA's intention is to close complaints within a 3-month period.

What are the possible complaint outcomes?

  1. If NASBA determines that the sponsor is in compliance with the Standards and/or other National Registry program requirements, then the investigation will be closed and a resolution letter is sent to the sponsor.
  2. If the investigation indicates that non-compliance has occurred, then the sponsor will be required to correct issues within 60 days of notification. NASBA reviews the corrective action plan. If the plan is accepted, NASBA will send an acknowledgement letter. 
  3. Serious non-compliance matters that cannot readily be corrected will result in the removal of the sponsor from the National Registry of CPE Sponsors. Failure to respond to NASBA’s request to correct non-compliance matters or to provide evidence that appropriate action has been taken within the 60-day period will result in removal from the National Registry of CPE Sponsors.