Grievance Disciplinary procedures

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Updated 9/17/25

1.0 Introduction

1.1 Purpose

The Register of Professional Archaeologists (the “Register”) was founded by four professional organizations (Society for American Archaeology, American Anthropological Association, Society for Historical Archaeology, and American Institute of Archaeology) to establish and enforce, through a formal grievance process, high standards of ethics and accountability in the field of professional archaeology (“Grievance Procedure”).

The purpose of this manual is to provide guidance and instruction to help ensure consistent and efficient execution of the Grievance Procedure. By outlining procedures, best practices, and standard operating protocols, this manual aims to promote clarity, accuracy, and uniformity across all grievances filed with the Register and provide transparency in the process to all those involved.

1.2 Code of Conduct and Standards of Research Performance

By applying for and becoming a Registrant, Registrants agreed to comply with the Code of Conduct (hereinafter “Code”) and Standards of Research Performance (hereinafter “Standards”), which are hereby incorporated by reference, and Registrants agreed to be responsible for ensuring their conduct is in compliance with the same. Intentional breach of the Code or Standards or unintentional breach as a result of negligence may result in disciplinary procedures through the Grievance Procedure described herein.

1.3 Limits of Authority of the Register

The Code and Standards require Registrants to comply with existing and applicable federal, state, local, tribal, indigenous, and international laws, applicable agency rules, and regulations. For the purpose of interpreting and implementing the Grievance Procedures, this applies to work, educational, and other professional environments, including, but not limited to harassment (including that which is related to age, ethnicity and/or Tribal affiliation, sex, gender, gender expression, or sexual orientation, or any other federally or state mandated protected class), safety violations, discrimination, gender and sexual violence, antiquities, custodianship or curation of archaeological collections, fraud, deceit, bribery, slander, plagiarism, permits for archaeological work, confidentiality laws, and/or other laws pertinent to archaeology or the Registrant’s position as an archaeologist (hereinafter “Applicable Laws”). When Applicable Laws conflict with the Code or Standards, the Applicable Laws shall govern.

If an allegation involves possible violation of Applicable Laws, then the Grievance Coordinator shall refer the grievance and/or the Accusing Party to legal authorities. The Register’s authority to investigate and act on any violation is limited to the enforcement of the Code and Standards. If a grievance is being investigated by the Register at the same time as a legal investigation pursuant to Applicable Laws, the Register shall cooperate with those legal investigations. In such an instance, the Register shall limit its investigation so as not to interfere with, tamper, impede or the legal investigation in any way.

1.4 Coordination with Founding and Affiliated Organizations

The Code shall also apply to non-Registrants who are members in good standing of any organization that has entered into a memorandum of understanding or agreement with the Register to utilize the Register’s Grievance process for investigating violations of the Code by their members (these members are hereinafter called “Affiliated Organizations’ Member(s)”). These procedures do not apply to those organizations’ own standards of research performance, which may differ from that of the Register.

2.0 Roles and Responsibilities

2.1 Accusing Party

The Accusing Party is the individual, organization, or entity that makes an allegation or raises suspicions of a violation of the Code and/or Standards by filing a Grievance Initiation Form as defined and referred to generally in this manual (hereinafter “Accusing Party”). The Accusing Party is responsible for providing all information supporting the allegation or suspicions to the Register.

The Code requires that Registrants and Affiliated Organizations’ Members report knowledge of violations of the Code by another Registrant or Affiliated Organizations’ Member. Anyone, including members of the public or non-Registrants, can initiate the Grievance Procedure against a Registrant or Affiliated Organization’s Member, subject to the limitations of disclosure and confidentiality provided in Section 3.0 of this manual.

2.2 Accused Party

The Accused Party is a Registrant or Affiliated Organization’s Member against whom allegations or suspicions of a violation of the Code and/or Standards has been submitted to the Register (hereinafter the “Accused Party”). The Accused Party is presumed not to have violated the Code and/or Standards until the conclusion of the Grievance Procedure as described herein. The Code requires Registrants and Affiliated Organization’s Members who are Accused Parties under the Grievance Procedures to cooperate with these procedures in good faith, either individually or through communication via the Accused Party’s legal counsel, if applicable.

All Accused Parties have the right to be informed of the reason for the allegations, to present information related to the allegations, and to receive a fair and impartial evaluation of the information gathered pursuant to the Grievance Procedure. The entire Grievance Procedure aims to determine whether the allegations are true with a reasonable degree of certainty, if it is found that the allegations are true, then whether actions violated the Code and/or the Standards, and if the actions did violate the Code and/or Standards to determine the response to the Accused Party related to their violation.

An Accused Party must have been a Registrant in good standing during the time of the allegation(s) or they must be an Affiliated Organization’s Member in good standing at the time of the allegation(s) as described herein or as designated by the Affiliated Organization.

2.2.1 Third-Party Investigations

All Registrants and Affiliated Organization’s Members shall provide written notice to the Register’s Grievance Coordinator if they are under investigation for alleged violations of Applicable Laws by law enforcement and/or other appropriate agencies. Once complete, the outcome of the investigation will be reviewed by the Grievance Coordinator, who will then follow the procedures in Section 6.0 of this manual.

If Registrants or Affiliated Organization’s Members fail to notify the Grievance Coordinator without good cause within 7 calendar days of their knowledge of being investigated, and the Register becomes aware of the investigation, and/or its result in any manner, the Registrant’s status will be changed to “temporary administrative leave pending an ethics investigation” and publicized as such in the RPA

Directory. The outcome of the investigation for non-Registrant members of Affiliated Organizations will be forwarded to that organization’s designated point of contact for appropriate action.

2.2.2 RPA Investigations

The Code requires that Registrants and Affiliated Organization’s Members honor and comply with the spirit and letter of the Grievance Procedures. Neither Registrants nor Affiliated Organization’s Members shall retaliate against any person or entity for filing a grievance with the Register or for cooperating with these Grievance Procedures.

2.3 Grievance Coordinator

The Grievance Coordinator is an elected position, as established by the Register’s Bylaws. The Grievance Coordinator is responsible for chairing the Grievance Council and for ensuring the Grievance Procedure is followed.

The specific duties of the Grievance Coordinator are as follows.

Review new grievance filings to make in initial determination as to whether to not move forward with the Grievance Procedure. In making this determination, the Grievance Coordinator can consult with the Grievance Review Committee or the Register’s legal counsel. The Grievance Coordinator must make two decisions in this initial stage: 1) if the filing contains enough information to make a determination, and if not, then the filing does not proceed; and 2) if the filing contains enough information to make a determination, and if found to be true, do the allegations rise to a breach of the Code and/or Standards necessitating the initiation of further investigation.

Ensure the Grievance Procedures are carried out in accordance with this manual.

Appoint and direct the work of Grievance Review Committees when needed.

Maintain communication and collaboration with the Grievance Review Committee.

Ensure that the Executive Director and President are kept informed on the status and content of all active grievances.

Direct the work of the Grievance Coordinator-Elect.

Implement the recommendations of the Grievance Review Committees.

Periodically review this manual and make recommendations to the Board regarding any helpful and/or necessary changes.

If necessary, file a formal complaint with the Grievance Council and serve as Chair.

Upon recommendation of the Grievance Coordinator-Elect and agreement of the outgoing Grievance Coordinator, the Board of Directors may appoint the outgoing Grievance Coordinator to continue to handle any one or more grievances pending at the time the outgoing Grievance Coordinator leaves office and beyond their initial term. In the event of such appointment, the outgoing Grievance Coordinator shall continue to have all the powers and duties of the Grievance Coordinator with respect to the specific grievances noted in the appointment.

2.4 Grievance Coordinator-Elect

The Grievance Coordinator-Elect is an elected position, as established by the Register’s Bylaws. The position of Grievance Coordinator-Elect was instituted by the Register to provide continuity in the affairs of the Grievance Coordinator and to provide assistance to the Grievance Coordinator in discharging their duties. The Grievance Coordinator-Elect works with the Grievance Coordinator on all grievances. The Grievance Coordinator-Elect may undertake any of the tasks or responsibilities assigned to the Grievance Coordinator in the Bylaws, this manual, or by the Grievance Coordinator, except that the Grievance Coordinator-Elect may not chair a Grievance Committee unless the Grievance Coordinator has sought recusal from the grievance, and the grievance is then assigned by the Board of Directors to the Grievance Coordinator-Elect. If both the Grievance Coordinator and the Grievance Coordinator-Elect recuse themselves from a grievance, the Board shall appoint an interim Grievance Coordinator for that particular grievance.

2.5 Special Grievance Coordinator

Where because of a language barrier or because the alleged violation(s) of the Code and/or Standards have occurred outside the United States, the Grievance Coordinator shall inform the Board of Directors and the Board of Directors may appoint any Registrant whom the Board of Directors deems qualified for such purpose to serve as a Special Grievance Coordinator to handle that grievance. Unless otherwise specified by the Board of Directors, the Special Grievance Coordinator shall have all the powers and duties of the Grievance Coordinator with respect to that grievance and shall be provided all of the same information to ensure a fair outcome.

2.6 Grievance Review Committee

The Grievance Review Committee is formed by the Grievance Coordinator to serve as the investigative review body for any given grievance. The composition of the Grievance Review Committee will vary between grievances, as determined by conflicts of interest, required expertise, geographic location, and other factors. Any given Grievance Review Committee consists of the Grievance Coordinator and two additional Registrants, who are appointed by the Grievance Coordinator based on necessary expertise to evaluate the allegation. The Grievance Review Committee is charged with formally investigating the grievance and filing a report with the Grievance Coordinator that recommends actions described in Section 6.0 of this manual.

2.7 Grievance Council

The Grievance Council is the final arbiter of any grievance that must be heard publicly pursuant to this Grievance Procedure. The Grievance Council shall be chaired by the Grievance Coordinator from the initial determination or the then-current elected Grievance Coordinator and composed of the additional Grievance Review Committee members. The Council shall also include at least two additional neutral Registrants appointed by the majority vote of the Grievance Coordinator and the two other Grievance Review Committee members. In making such appointments, the Grievance Coordinator and Grievance Review Committee members shall appoint Registrants who, in their opinion, have the necessary expertise in the geographic area and nature of work to properly evaluate the particular grievance and lack any real or perceived conflicts of interest.

2.8 RPA Executive Director

The Register’s Executive Director is responsible for overseeing the Register’s day-to-day operations, strategic direction, and overall management. The Executive Director reports to the Register’s board of directors and assists the Grievance Coordinator in gathering information about an Accused Party’s standing as a Registrant and other administrative duties. The Executive Director also coordinates with Affiliated Organizations who have agreed to use the Register’s grievance process for their members. The Executive Director shall be kept informed of all information on all cases and have full access to grievance case files.

2.9 RPA President

Failure of the grievance process to function as intended can lead to incorrect outcomes. Therefore, the President must be kept informed by the Grievance Coordinator on all grievances, including confidential information and details about the status on a periodic basis. If the President of the Register is the subject of any grievance, then the Grievance Coordinator shall report this information to the President-Elect.

2.10 RPA Legal Counsel

In the event that the Grievance Coordinator requires, or the President or President-Elect, recommends input from the Register’s legal counsel, the Grievance Coordinator is authorized (with prior permission from the President) to seek the assistance of the Register’s attorney at any point in the handling of a grievance. The Register’s attorney should be involved in all complaints that are filed by a Grievance Review Committee to the Grievance Council and must be involved in preparing for and conducting a hearing.

In the event that an Accused Party retains their own legal counsel related to a grievance filed against them, then all communication between the Register and the Accused Party shall be to the Accused Party’s legal counsel, not to the Accused Party directly.

3.0 Confidentiality and Limits on Disclosure

3.1 Right to a Fair Process

Accused Parties shall be considered not to have violated the Code and/or Standards until such time as the Grievance Procedure determines otherwise because it is a fundamental principle of justice that safeguards Registrants as such. Each Accused Party has the obligation to participate in the Grievance procedure, but also the right under the Grievance Procedure to provide information tending to show that they did not breach the Code and/or Standards.

It is not the intent of the Register to cause damage to the reputation and career of an Accused Party or Accusing Party solely by reason of being a part of the Grievance Procedure. For this reason, the information regarding all cases shall be controlled or released only as prescribed in the sections below.

3.2 Archaeological Site Locations

Confidential information is defined as information about archaeological site locations and information that is restricted from public distribution by Applicable Laws. The parties participating in the grievance process shall exercise great care to prevent information about archaeological sites to be distributed to the public or external third parties.

3.3 Record Keeping

The files documenting the implementation of these procedures shall only be maintained in the Register’s private and secured network with limited access and shall not exist in sole or duplicate form on personal computers or networks. The files and records of the Grievance Coordinator and the Grievance Council also constitute the historical record of the activities of the Register and must be maintained by the Register. In deciding whether and what information to document, the right of the Accused Party to privacy or confidentiality must be weighed against the right and duty of the Register to demonstrate to the archaeological community and to the public that the Register enforces its Code and Standards. Reports of the actions taken by the Grievance Coordinator and the Grievance Council can also serve as a guide for subsequent Grievance Coordinators and Registrants in interpreting specific provisions of the Code and Standards.

3.3.1 Confidential Case Files

The Grievance Coordinator is responsible for maintaining all official documentation of all grievances reported to the Register, as described in Section 3.3 and below. The permanent records of all grievances filed with the Register shall consist of, but not be limited to, the following:

correspondence to and from the Grievance Coordinator, Grievance Coordinator-Elect, Board of Directors, or the President of the Register specifically required or specifically permitted by this manual, and correspondence to and from the Accused Party and/or the Accusing Party;

copies of all required notices to the Accused Party and Accusing Party;

copies of all documents and information gathered by the Grievance Review Committee or submitted by the Accusing Party;

copies of statements or correspondence to or from the Accused Party;

reports of all Grievance Review Committees;

all statements of admonishment or censure of a Registrant;

a copy of each directory of Registrants that contains a statement of censure or suspension of a Registrant; and

the records of every proceeding before the Grievance Council, including, but not limited to, the formal complaint and other documents, correspondence to and from the Grievance Council, interim decisions by the Grievance Council, writings or other materials considered by the Grievance Council, the stenographic or other record of the proceeding, and/or any decision by the Council.

The Executive Director, under the supervision of the Board of Directors of the Register, shall be responsible for long-term storage of the permanent records of grievance proceedings of the Register. The Executive Director shall permit persons who have been determined by the President or Board of Directors of the Register to have a legitimate interest to inspect and copy the permanent records when that outcome has value that outweighs the confidentiality of the records. Such persons might include: a Grievance Coordinator, Grievance Coordinator-Elect or member of the Grievance Council; an Accused Party or other person involved in a current disciplinary matter whose outcome could be affected by the precedent established in the archived matter; historical researchers; and others, as determined jointly by the President and Grievance Coordinator.

3.3.2 Annual Report of Grievance Case Activity

The Grievance Coordinator shall prepare a written summary, no later than January 30 of each year, of all grievances that rise to the level of an investigation and their status and outcomes from the prior year. This report, which shall not specifically identify the individuals involved or identifying details about the grievance, unless the grievance was heard publicly before a Grievance Council, shall be published on the Register’s website. Complaints that are determined to not have merit warranting an investigation may be excluded from the Annual Report. Under no circumstances shall the identity of the Accusing Party be disclosed in any reports.

3.4 Publicity

The Register may receive requests for interviews or news releases before, during, and after a pending grievance. No information shall be given to the public without consultation with and approval from the Register’s President or Board of Directors and legal counsel. All information disseminated to the public or media in written or verbal forms must be approved in advance by the Register’s President or the Board of Directors.

4.0 Filing of Grievances

4.1 How to File

Any member of the public or Registrant can file a grievance with the Register at any time when they observe a potential violation of the Code and/or Standards. In doing so, they become an Accusing Party, as defined above.

Filing a grievance can be done in either of two ways:

1. Submit a Grievance Initiation Form, available at https://rpanet.org/about-grievance/, and email it to grievance@rpanet.org.

2. Call the Grievance Hotline at (410) 246-2150.

In order for the Register to review a grievance complaint, the Accused Party must be a Registrant at the time the alleged violation was committed (as determined by the Register) or an Affiliated Organization’s Member.

4.2 Conflict of Interest or Inability to Act

Upon receipt of a grievance filing, the Grievance Coordinator must first determine whether they have a possible or real conflict of interest in the grievance. If so, then the Grievance Coordinator shall recuse themselves and notify the President so that the Board of Directors can appoint the Grievance Coordinator-Elect for that particular case.

In the event of the inability to act, for any reason, of the Grievance Coordinator, the Board of Directors shall appoint the Grievance Coordinator-Elect to act in the place of the Grievance Coordinator. In the event of the inability to act, for any reason, of both the Grievance Coordinator and the Grievance Coordinator-Elect, the Board of Directors shall appoint another qualified Registrant to act in the place of the Grievance Coordinator. The Board of Directors shall decide who is qualified for this appointment.

4.3 Initial Determination of Merit

Upon receipt of a Grievance Initiation Form from an Accusing Party, the Grievance Coordinator has 30 days to review the allegation and document on a Grievance Complaint Summary Form the determination as to whether or not the grievance has merit and should be further investigated. Reasons for not having merit can include but are not limited to: 1) the action is a violation of Applicable Laws only and not otherwise a violation of the Code and/or Standards; 2) neither of the two means for filing of grievances in Section 4.1 have been met; or 3) the Grievance Initiation Form filing does not contain any supporting documentation or is clearly based on information from third parties.

As part of the initial determination of merit, if further information is required to determine if the grievance warrants further investigation, the Grievance Coordinator may informally contact the Accused Party to determine if the conduct resulted from bad judgement, ignorance, or both, which constitutes no violation, or at worst, a trivial violation, of the Code or Standards. For example, the Registrant may have accidentally omitted an acknowledgment from a report. These matters can often be settled by discussion with the involved parties, leading to some type of voluntary remedial action that does not rise to the level of forming a Grievance Review Committee.

If the Grievance Coordinator determines, either with or without needing to contact the Accused Party, that the grievance should not be investigated further, then at the end of the 30 day period, the Grievance Coordinator shall notify the Accused Party and Accusing Party in writing of the determination and explain the reasons for the determination. Such notice shall be kept confidential and the grievance will be closed. In the event of a disagreement of merit, the Register’s legal counsel will be consulted and the final decision will be made by the Register’s Board of Directors. If the Grievance Coordinator or, if challenged, the Board of Directors, determines that the case has merit, then the process proceeds to an investigation, as described in Section 5.0.

5.0 Investigations

5.1 Grievance Review Committee Formation

Within 30 days of the Initial Determination of the Grievance Coordinator that a grievance should be further investigated, the Grievance Coordinator shall appoint a Grievance Review Committee to investigate the grievance. In all matters requiring a decision by the Grievance Review Committee, a majority vote is required. The Grievance Review Committee is composed of the Grievance Coordinator, who serves as the Chair of the Committee, the Grievance Coordinator-Elect, and at least two additional Registrants appointed by the Grievance Coordinator. The Grievance Coordinator shall appoint Registrants who are in good standing with the Register and who have no conflict in the grievance, are knowledgeable about the technical areas involved, and about the regional context of the grievance. Each Committee member must confirm their acceptance of Committee membership, acknowledge the procedures in this manual in writing, and confirm that they have no conflict in the grievance prior to their official appointment.

Within 7 calendar days of forming a Grievance Review Committee, the Grievance Coordinator must inform, separately, the Accused Party and Accusing Party in writing that a Grievance Review Committee has been appointed, the identity of the members, the identity of the Accusing Party, and include a statement of the nature of the allegations to the extent then known. The notification shall also assure the Accused Party that the investigation will be conducted in accordance with this manual. Similarly, the notification to the Accusing Party shall include a statement that their grievance is being investigated and provide instructions on how to contact the Grievance Coordinator for more information. If the Accused Party or Accusing Party inquires about the status of the investigation at any point during the process, they should be informed of the procedural status only unless the Grievance Coordinator determines that such disclosure might impede the investigation or cause or create a bias.

5.2 Grievance Investigation

Each Grievance Review Committee shall conduct a thorough investigation of the grievance allegations to determine whether the conduct of the Accused Party violates the Code and/or Standards. The investigation may include any combination of the following: 1) review of submitted documentation; 2) oral interviews with or correspondence from the Accusing Party; 3) oral interviews with or correspondence from the Accused Party; 4) oral interviews with or correspondence from other persons, identified during the investigation to have observed or otherwise witnessed actions by the Accused Party related to the allegations; 5) oral interviews or information provided or gathered from experts or of other professionals; or 6) other information.

Once a Grievance Review Committee has been appointed, the Grievance Coordinator shall send each member of the Committee the same letter that contains: 1) a description of the allegations and any other information known at the time; 2) a proposed plan of action that directs each member of the Committee about whom to contact as an initial step and what kind of documentation needs to be collected as well as other plans for conducting the investigation; and 3) a reporting schedule. The proposed plan of action may be amended in discussion amongst the Grievance Review Committee.

Each investigation shall be completed within 90 days of the forming of the Grievance Committee. However, if a Grievance Committee, during its investigation, determines that the Accused Party may have committed violations of the Code and/or Standards other than those alleged in the grievance filing, or if there are special circumstances that warrant an extension, then the Grievance Committee may initiate further investigation as it deems appropriate. In this case, the Grievance Coordinator shall notify the Accused Party and Accusing Party in writing of the anticipated completion date. Only one extension of the investigation period shall occur and for not more than a total of 180 days; at the end of the investigation period, with or without one extension, the Grievance Committee shall take a vote on whether the allegations in the grievance constitute a violation of the Code and/or Standards and report its decision pursuant to section 5.3 herein.

5.2.1 Related Expenses

The majority of grievances should be investigated remotely, through video conferencing, phone, and email. In the rare event that travel is required or other unanticipated expenses are needed, the Register may reimburse pre-approved expenses, such as transportation, lodging, food, among others, incurred by the Grievance Coordinator and Grievance Committee members in the course of their official Register duties. The Grievance Coordinator shall submit properly documented expenses for pre-approval to the Executive Director, President, and Secretary-Treasurer of the Register. The Secretary-Treasurer should meet with the Grievance Coordinator to obtain an estimate of expenses and the Secretary-Treasurer shall relay this information to the Board in regular intervals, but not provide information related to which grievance the expenses are related. The Grievance Coordinator must obtain permission from the President in advance of their intent to consult the Register’s attorney. All notices requiring certified mail or return receipt proof of delivery shall be provided to the Executive Director to mail.

5.3 Grievance Committee Report

At the conclusion of the investigation period, the Grievance Committee shall prepare a Grievance Committee Report that contains:

a statement of the relevant facts and chronology of the investigation process;

a summary of the procedures followed in making the investigation (this may include names, addresses, and phone numbers of people interviewed, and the information and any relevant documents they provided; site visits; and similar information);

the findings of the Grievance Committee, which specifies the provisions of the Code and/or Standards that have been investigated and conclusion as to whether or not these provisions have been violated; and

a conclusion regarding sanctions, if any, to be imposed against the Accused Party and why.

The decision by the Grievance Committee to seek admonishment, censure, suspension, or termination of registration with the Register should be based upon the totality of the circumstances of the grievance. Among these circumstances are the severity of the violation, volition on the part of the Accused Party, the number of provisions of the Code and/or Standards that were violated, and the length of time over which such violations may have occurred. A single violation of a minor nature, given a context of otherwise good professional conduct, might warrant admonishment whereas a single but more serious violation or several multiple minor violations might warrant censure. If the Grievance Committee decides to ask the Grievance Council to suspend or terminate the registration of the Accused Party, it should be in cases where the Grievance Committee believes that the magnitude and seriousness violations of the Code and/or Standards warrant that severe response.

The Grievance Committee Report requires signatures and dates from both the Grievance Coordinator and all members of the Grievance Committee. The report should note how each member of the Grievance Committee voted on the grievance. Should any member disagree with the conclusion of the Grievance Committee, those member(s) may include a letter outlining the reasoning for their vote. The finalized Grievance Committee Report must be used by the Grievance Coordinator to complete the Grievance Complaint Summary Form. Within 20 days of the completion of the Grievance Complaint Summary Form and Grievance Committee Report, the following notifications shall be made in writing: 1) to the Accused Party, a copy of the Grievance Committee Report and any letters, and 2) to the Accusing Party, a copy of the Grievance Complaint Summary Form, which states the conclusion only.

The outcomes (sanctions, if any) resulting from the investigation and determined by the Grievance Committee are described further in Section 6.0.

6.0 Potential Outcomes

The Grievance Committee Report must conclude one of the following: 1) that the grievance allegations warrant no further action by the Register; 2) that the Accused Party be given the right to accept admonishment; 3) that the Accused Party be given the right to accept private or public censure; or 4) that the Grievance Coordinator shall prepare and file a formal complaint with the Grievance Council which requires a public hearing. These are described further below.

6.1 No Further Action

A decision of No Further Action in the context of a grievance investigation refers to the decision to terminate or conclude the investigation without taking further action. This decision may occur for various reasons, such as lack of sufficient evidence to support the allegations, the determination that the allegations are unfounded, unsubstantiated, and/or unreliable, the discovery of information that shows that the Accused Party did not violate the Code and/or Standards, or that the allegations are a violation of Applicable Laws only. No further action signifies the closure of the investigation, involves informing relevant parties of the decision, and documenting the rationale behind it.

If the conclusion of the Grievance Committee Report is that no further action be taken, then the Grievance Coordinator shall so notify the Accused Party and the Accusing Party in writing within 20 days of the report, pursuant to Section 5.3. The grievance shall be closed and the file retained in the permanent records of the Register.

6.2 Admonishment

In the context of a grievance investigation, admonishment is a form of disciplinary action. Admonishment results in a written warning issued to the Accused Party. And serves as a formal notice indicating the violation and advises against future misconduct. Admonishment is generally considered a milder form of disciplinary action.

If the conclusion of the Grievance Review Committee Report is admonishment, then the Grievance Coordinator shall notify the Accused Party and the Accusing Party in writing within 20 days of the report, pursuant to Section 5.3. The Accused Party must respond to accept the admonishment within 30 days of receipt of the offer. If the Accused Party accepts admonishment, the Grievance Coordinator must officially reply in acknowledgment and complete the associated disciplinary action.

If the Accused Party accepts admonishment, then their file is closed and no public announcement shall be made. In such case, the Accusing Party shall be notified that the matter has been investigated and resolved, but no specifics should be given.

If the Accused Party does not accept admonishment, or fails to respond to the notice within 30 days, then a public announcement is made and the case advances to a formal complaint with the Grievance Council and a public hearing, as described in Section 6.3.

6.3 Censure

Censure is a more severe form of disciplinary action compared to admonishment and is usually reserved for more egregious violations or repeated misconduct.

If the conclusion of the Grievance Review Committee Report is censure, then the Grievance Coordinator shall notify the Accused Party and the Accusing Party in writing within 20 days of the report, pursuant to Section 5.3. The Accused Party must respond to accept the censure within 30 days of receipt of the offer. If the Accused Party accepts censure, the Grievance Coordinator must officially reply in acknowledgment and complete the associated disciplinary action.

Censure by its nature cannot be kept confidential because, unlike admonishment, it is published in the Directory. If the Accused Party does not accept censure, or fails to respond to the notice within 30 days, then a public announcement is made and the case advances to a formal complaint with the Grievance Council and a public hearing, as described in Section 6.4.

6.4 Grievance Council Hearing

If the Accused Party does not accept or respond to admonishment or censure, or if the Grievance Review Committee Report has concluded that a formal complaint be filed with the Grievance Council, then the Grievance Coordinator must prepare a formal complaint within 60 days, which includes the following information.

Allegations of Fact. The Respondent’s specific acts or failures to act which are alleged to violate the code shall be set forth in such detail as to inform the Respondent of the facts relied upon as the basis for the Complaint. A complete un-redacted copy of the Grievance Review Committee Report shall be included in the administrative record.

Relation to Code. Each provision of the Code which is alleged to have been violated by the Respondent shall be specified and related to the allegations of fact.

6.4.1 Grievance Council Hearing

After the formal complaint has been filed (the “Complaint”), the Chair of the Grievance Council (the “Chair”) shall set the date, time and place for hearing the Complaint (the “Hearing”), such date to be not more than 90 days after the date of filing of the Complaint. The Chair shall promptly give at least thirty (30) days’ prior written notice to the Accused Party, Accusing Party, and the Register President of such date, time and place. For good cause, the Chair, on their own initiative by request of the Accused Party, may accelerate or postpone the Hearing date from time to time; provided, however, that the Hearing date shall not be postponed to a date more than six months after the date of filing of the Complaint. The Register or any Affiliated Organizations may give public notice of the time and place of the Hearing and a description of the matters set forth in the Complaint.

During the period before the Hearing there may be an information exchange phase. The purpose of this phase is for the Grievance Council and the Accused Party to exchange all information that they have related to the alleged grievance. This may take the form of the exchange of documents, lists of any potential witnesses, written questions by the parties, or recorded oral questions similar to a regular legal case.

No less than 30 days prior to the hearing, the Grievance Coordinator will submit documentary evidence in the form of a meeting packet to the Grievance Council before the Hearing so that the Grievance Council has time to review this material before the Hearing. A copy of all such documents must be sent to the Accused Party or their attorney contemporaneously with submission to the Grievance Council. The Accused Party or their attorney may also submit a meeting packet of information to the Grievance Council at least thirty (30) days prior to the Hearing date. Nothing should be inferred by the Grievance Council if the Accused Party does not submit a meeting packet.

The information against the Accused Party may be presented at the Hearing by a member of the Grievance Committee as selected by the Grievance Committee and acting as the principal spokesperson. If witnesses are called by the presenter, then that witness may also be asked questions by the Grievance Council, the Accused Party, and/or the Accused Party’s legal counsel.

Hearings before the Grievance Council are open to the public; however, public comment will not be accepted during any Hearing.

The Hearing shall be conducted substantially as follows:

The presenter shall present the information against the Accused Party by their selected means.

The Accused Party shall be entitled to be represented by legal counsel and to present information to the Grievance Council as he/she deems prudent. If an Accused Party hires an attorney, they are fully responsible for the cost of their own counsel, regardless of the outcome.

The Accusing Party shall be invited to attend the Hearing.

The Grievance Council Chair shall engage a court reporter to record the Hearing. The Accused Party, at their own expense, may engage a court reporter to separately record the Hearing or may request a copy from the Council.

The Chair shall have the power to compel any Accused Party, Accusing Party, and/or Registrant to attend the Hearing, produce evidence and give testimony, and reasonable time and expense shall be reimbursed.

The Hearing shall be open to the public except to the extent that the Chair imposes reasonable limitations to assure an orderly Hearing.

The Chair shall preside at the Hearing and shall have the power to require that the Hearing be conducted in an orderly fashion, including, but not limited to excluding irrelevant information to limit the scope of questioning of witnesses, and to rule on all procedural matters before, during and after the Hearing.

The decision of the Chair as to all procedural matters shall be final and not subject to appeal or review.

At any time during the Hearing, the members of the Grievance Council may ask questions of the Accused Party, the Accusing Party, the Grievance Coordinator, and the witnesses.

Upon completion of the Hearing, the Grievance Council shall adjourn to a closed, executive session to discuss the case. The Grievance Council shall discuss the information learned from the Hearing and shall vote (by majority) on whether the information represents a violation of the Code and/or Standards, if so, then the Grievance Council shall then decide what the response of discipline to the Accused Party shall be (the “Decision”). The Decision shall be rendered promptly, but in no event more than 30 days after the completion of the Hearing. The Chair shall send a copy of the Decision to the Accused Party, the Grievance Coordinator, and the President of the Register.

The Decision shall include any one or more of the following outcomes: no further action, admonishment, censure, suspension, or termination, as described further below. The Decision shall be final and not subject to appeal or review. Each Decision of the Grievance Council shall contain a detailed finding of fact and a specific determination as to which, if any, of the allegations of the Complaint have been proven; and if one or more such allegations has been proven, a statement of the disciplinary action to be imposed, and, if applicable, the period during which the disciplinary action is to be imposed. In making such determinations, the Grievance Council may take into account prior disciplinary action, if any, against the Accused Party.

If the Grievance Council decides there is no further action, then the case will be closed with no further action.

If the Grievance Council decides in favor of admonishment, then a statement will be entered into the permanent records of the Accused Party with the Register, calling the attention of the Accused Party to a violation of the Code and/or Standards.

If the Grievance Council decides in favor of censure, then a formal statement will be entered into the permanent records of the Accused Party with the Register, of criticism and disapproval for violation of the Code and/or Standards. The Accused Party’s name shall appear with a notation of the censure in each Directory of Registrants initially published during the period determined by the Grievance Council.

If the Grievance Council decides in favor of suspension, then a temporary suspension of registration by the Register will be imposed for a period determined by the Grievance Council, but of no more than five years. The Accused Party’s name shall appear with a notation stating the dates of suspension in each Directory of Registrants initially published during the period of suspension.

If the Grievance Council decides in favor of termination of registration, then the Accused Party shall be immediately terminated. An Accused Party whose registration has been terminated may not reapply for registration.

If the Accused Party is a non-Registrant member of an Affiliated Organization with a memorandum of agreement or understanding that directs the Register to investigate on that society or organization’s behalf, then the outcome of the hearing and the Grievance Council’s recommendation will be forwarded to the organization’s designated point of contact for appropriate action.

After conclusion of a disciplinary proceeding filed with the Grievance Council, the Register, Accused Party, or any Affiliated Organization of the Register may give public notice of the facts and outcome of the Hearing.

7.0 Legal Considerations and Referral Process

In the course of fulfilling its mandate to enforce the Code of Conduct and Standards of Research Performance, the Register may receive grievance submissions that include allegations of violations of existing law (Applicable Laws). However, it is imperative to recognize that the Register’s authority is strictly limited to addressing breaches of the ethical and professional standards established for archaeological practice. The Grievance Coordinator must not expend resources investigating alleged legal violations that are unrelated to the practice of archaeology.

7.1 Determining the Nature of the Allegation

When a grievance includes allegations of potential violations of existing Applicable Laws, the Grievance Coordinator must:

Assess Relevance to Archaeology: Carefully review the allegation to determine whether it directly relates to archaeological practice or falls within the provisions of the Code and Standards. Violations that concern issues such as site management, permits, safety protocols, or other matters linked to archaeological work may warrant further inquiry. Issues relating to scheduling, employee benefits, poor communication, ineffective teamwork, or personnel management concerns should be referred to the individual's Human Resources department or educational institution.

Separate Legal from Regulatory Concerns: Identify and clearly document any allegations that pertain solely to legal matters—such as criminal actions, personal misconduct, or non-archaeological regulatory issues—that do not intersect with the ethical or professional responsibilities of Registrants or Affiliated Organization’s Members. Portions of the Grievance allegation that do not relate to archaeological practice or fall within the provisions of the Code and Standards should not be a determining factor in the Grievance investigation procedure.

7.2 Referral to Appropriate Legal Authorities

If the Grievance Coordinator determines that the grievance includes allegations of legal violations unrelated to the practice of archaeology:

Immediate Referral: The Coordinator should promptly advise the Accusing Party to contact the relevant legal authorities.

Consult with Legal Counsel: If there is any uncertainty regarding the boundary between a breach of the Code and a potential violation of existing Applicable Laws, the Grievance Coordinator must consult with the Register’s legal counsel. This consultation will help ensure that the Register does not inadvertently overstep its jurisdiction or interfere with external legal processes.

Notify Involved Parties: Clearly communicate—both in writing and in any subsequent correspondence—that grievances that allege violations of existing Applicable Laws, when not related to archaeological practice, fall outside the Register’s investigative purview and will be referred to the proper legal channels. The Grievance Coordinator shall inform the accused of the requirement of notification to the Register within 7 days if the accused is notified by legal authorities of an investigation.

7.3 Documentation and Communication Protocol

To maintain transparency and protect the integrity of the Grievance Procedure, the Grievance Coordinator shall:

Maintain Detailed Records: Document separately and in detail the aspects of the grievance that relate to the Register’s Code and Standards and those that pertain only to potential legal violations. This clear delineation is critical in ensuring that the investigative scope remains focused.

Provide Clear Guidance to Parties: When notifying the Accusing Party and the Accused Party, include an explanation of the separation between issues governed by the Register’s disciplinary process and those that must be handled by external legal authorities. This explanation should outline:

o Which allegations will be investigated under the Register’s current procedures.

o Which allegations are being referred to the appropriate external entities or legal counsel.

Safeguard Ongoing Legal Processes: In instances where there is a concurrent legal investigation, ensure that any action taken by the Register does not impede or conflict with the legal process. Full cooperation with law enforcement or other legal bodies is required at all times.

7.4 Final Considerations

The Register’s primary role is to uphold the professional and ethical standards of archaeological practice. The Grievance Coordinator must always remember that:

The investigative mandate is limited to breaches of the Code and Standards.

Allegations that involve legal violations unrelated to these standards must be clearly separated and, when necessary, referred to the proper authorities. The Register retains the responsibility to investigate violations of the Code and Standards that amount to legal violations, if warranted, only following appropriate legal intervention.This balanced approach not only protects the rights and reputations of the individuals involved but also preserves the integrity of the Register and its disciplinary process.

By following these guidelines, the Grievance Coordinator will ensure that the Register’s resources are applied appropriately—addressing only those violations within its jurisdiction and referring any purely legal matters to the appropriate channels.

Appendix A. Examples and Forms

Sample Letter Notifying Accused of Appointment of Grievance Review Committee

Dear Ms. Smith:

This is official notification that questions have been raised about the adequacy of your survey of a construction project in Tasmania carried out in June 2003. Specifically, it has been alleged that you may have violated Section X of the Register’s Code of Conduct and Sections Y and Z of the Standards of Research Performance, among other provisions.

After preliminary investigation of these allegations, I have reached the conclusion that a formal investigation is necessary to determine whether or not the allegations are valid. Therefore, in accordance with the Register’s Grievance Procedures (a copy of which is enclosed), I have appointed the following RPAs with expertise in your region to act with me as a Grievance Committee to investigate the allegations:

Dr. P. Processual Post

P.O. Box 1234

Antiquus, Montana

(404) 632-1966

and

Prof. Ima Grubber North Zulch College Zulch, Colorado

(303) 236-6691

The Grievance Committee’s investigation will focus on, but will not necessarily be limited to, the foregoing allegations.

Please be assured that the Grievance Committee will endeavor to conduct its investigation in an objective manner as quickly and discreetly as possible. A Committee member will contact you to seek your response to the circumstances relating to the allegations.

If you have any questions about the Disciplinary Procedures or the requirements of the Code of Conduct or Standards of Research Performance don’t hesitate to contact me at

. Sincerely yours,

Jeremiah H. Spiderwistle Grievance Coordinator

cc: Dr. Post

Prof. Grubber

/Register attorney/

Sample Letter Offering Admonishment

Dear Ms. Smith:

The Grievance Committee that investigated questions about your survey of a construction project in Tasmania has concluded that some of the fieldwork was substandard and constitutes violations of Sections X and Y of the Register of Professional Archeologists’ Standards of Research Performance.

Because you, as Principal Investigator, are responsible for those violations, the Committee has concluded that you be offered the opportunity to accept admonishment therefore. The Committee’s reasons for their conclusions, and the findings of fact upon which they are based, are set forth in the Committee’s Report, a copy of which is enclosed herewith.

In accordance with the Register’s Disciplinary Procedures, a copy of which is enclosed, I hereby offer you the right to accept censure for violations of Sections X and Y, as specified in the Grievance Committee’s Report. In deciding whether or not you wish to accept this admonishment, I refer you to the Disciplinary Procedures, Sections X and Article Y, wherein the consequences of your accepting admonishment, or declining to accept admonishment, are explained. If you do accept censure, a formal statement of criticism and disapproval will be entered into the permanent records of the Grievance Coordinator and will be noted in the Register’s Directory of Registered Professional Archaeologists.

You should understand that failure to notify me in writing whether or not you elect to accept admonishment, within 30 days after you receive this letter, will require that the Grievance Committee prepare a formal Complaint against you. This Complaint will be filed with the Grievance Council, which will then schedule a Hearing. See Section X and Article Y of the Greivance Procedures.

I regret having to send you this letter, but hope you will respond promptly. Sincerely,

Jeremiah H. Spiderwistle Grievance Coordinator

cc: / members of Grievance Committee and Register’s attorney/

Sample Letter Acknowledging Acceptance of Admonishment

Dear Ms. Smith:

This will acknowledge receipt of your letter dated 4 March 2003, in which you accept admonishment, as specified in the Grievance Committee Report Regarding Alleged Violations of Standards of Research Performance by Penelope Q. Smith.

The file on the case is now closed and there will be no public announcement by the Register of the outcome of the investigation.

Sincerely yours,

Jeremiah H. Spiderwistle Grievance Coordinator

cc: / Members of Grievance Committee and Register attorney/

Sample Letter Acknowledging Acceptance of Censure

Dear Ms. Smith:

This will acknowledge receipt of your letter dated 4 March 2003, in which you accept censure, as specified in the Grievance Committee Report Regarding Alleged Violations of the Code and Standards by Penelope Q. Smith.

In accordance with Section X of the Greivance Procedures, a formal statement of criticism and disapproval of your conduct will be entered into the permanent records of the Grievance Coordinator and will be noted in the Register’s Directory of Registered Professional Archaeologists.

Sincerely yours,

Jeremiah H. Spiderwistle Grievance Coordinator

cc: / members of Grievance Committee and Register’s attorney/

Sample Complaint

Introduction

On 1 April 2003, allegations of professional misconduct on the part of Prof. Ivan A. Wimple, an RPA, were brought to the attention of the Grievance Coordinator, Jeremiah H. Spiderwistle. It was alleged that Prof. Wimple had carried out excavations at the Smythe Site in Carolina County, West Dakota which were inadequate for proper study of the site; that he then reported to his client, Scenic Highways, Inc., and to the County of Carolina that his work at the site constituted adequate mitigation by data recovery; and that there would be no significant loss of cultural information when the site was later destroyed by a construction project.

After preliminary inquiries indicated that there might be substance to the allegations, the Grievance Coordinator appointed two RPAs to serve with the Grievance Coordinator as a Grievance Committee to investigate the matter. They were I. Doug Plenty of Bugtussle, Texas and U. Delve Deep of Towanda, Illinois.

During 2003 the Committee investigated Prof. Wimple’s professional conduct in connection with the work at the Smythe Site. The committee’s investigation and findings are detailed in the appended Grievance Committee Report Regarding Alleged Violations of the Code and Standards by Ivan A. Wimple, which is incorporated herein.

Findings of the Grievance Committee

The committee found substantial evidence that Prof. Wimple’s professional conduct had been in violation of the Register’s Code and Standards. Specifically, the findings of the Committee are as follows:

Violation 1 (Code Section X). Prof. Wimple did not give adequate consideration to the possibility of preserving important midden deposits in place at the site.

Violation 2 (Standards Y). Prof. Wimple employed field methods during the testing phase that were inadequate for testing the site.

Violation 3 (Standards Z). Prof. Wimple adopted a research design for mitigation by data recovery that was inadequate for that purpose.

Violation 4 (Standards Section AA). Prof. Wimple was unacceptably negligent for failing to notice and record a pit feature clearly exposed by a test unit that should have been conspicuous not only in the field, but also during distributional analysis of materials at the site and in writing the final report of the field work.

Violation 5 (Code Section BB). Prof. Wimple deliberately misrepresented his true evaluation of the Smythe Site’s physical integrity to his client, Scenic Highways, Inc., and to the County of Carolina.

Conclusions

In consideration of these findings, the Grievance Committee has concluded that Prof. Wimple has violated Sections X and Y of RPA’s Code of Conduct, and Sections

Z (three counts) and AA of Register’s Standards of Research Performance. These sections read as follows:

[insert]

The Grievance Committee requests that Prof. Wimple’s registration by the Register of Professional Archaeologists be terminated.

Jeremiah H. Spiderwistle Date Grievance Coordinator in behalf and on recommendation of

The Grievance Committee

Grievance Initiation Form

Register of Professional Archaeologists

GRIEVANCE INITIATION FORM

Date:

Name of Complainant: Address: City: State: Zip: Phone: E-mail:

Name of Accused Registrant: Address:

City: State: Zip: Phone: E-mail:

Indicate the specific sections of the Code of Conduct (Code) and Standards of Research Performance (Standards) alleged to have been violated. Provide a brief description of the nature of the alleged violations of the Code and Standards.

Provide the names and contact information for other individuals knowledgeable of the allegations and able to provide evidence of the violation.

Please return the completed form to the current Grievance Coordinator listed on the RPA website (http://www.rpanet.org)

Grievance Complaint Summary Form

[Form to be completed by the Grievance Coordinator]

Register of Professional Archaeologists

GRIEVANCE COMPLAINT SUMMARY FORM

Date Complaint Received:

Acknowledged by (Name of Grievance Coordinator):

Name of Complainant: Address: City: State: Zip: Phone: E-mail:

Name of Accused Registrant:

I have verified that is currently a RPA: Yes: No:

[Go to http://rpanet.org and check Directory to verify current registration status; check with the Registrar for registration history information, if needed]

Contact Information for Accused Registrant:

Address: City: State: Zip: Phone: E-mail:

List the specific sections of the Code of Conduct (Code) and Standards of Research Performance (Standards) that the complainant alleges were violated by the accused. Provide a summary of the alleged violations.

Initial Inquiry Findings [Append to form]

1)

Provide dates(s) and summary information from the complainant.

2)

Provide dates(s) and summary information from the accused RPA.

3)

Provide date(s) and summary information from the other sources.

ACTIONS:

There is sufficient evidence to appoint a Grievance Committee: YES NO

The inquiry will be closed due to:

a)

Lack of evidence of a violation: YES NO

b)

Lack of means to substantiate the allegations: YES NO

Date inquiry closed:

Date complainant notified of inquiry closure:

Date accused RPA notified of inquiry closure: