Disciplinary procedures

ARTICLE I: GRIEVANCE COORDINATOR

Section 1.1. Referral of Complaints. Complaints and any other information of any kind from any source whatsoever concerning alleged violations by any Registered Professional Archaeologist (“RPA”) of the Code of Conduct or Standards of Research Performance (the “Code”), shall be referred to the Grievance Coordinator. Within 90 days after the receipt of any such matter (an “Allegation”), the Grievance Coordinator shall appoint a Grievance Committee to investigate and act upon the Allegation unless the Grievance Coordinator, in his or her sole discretion, determines that the Allegation is of such nature that no further action or investigation is required, in which event no further action or investigation will be taken in connection therewith.

Section 1.2. Annual Report. The Grievance Coordinator shall submit to the Board of Directors, at least 30 days prior to the annual meeting of the Register, a statistical report of all Allegations received and all action taken since the last annual report.

Section 1.3. Relationship to Grievance Coordinator-Elect. The Grievance Coordinator may appoint the Grievance Coordinator-Elect to act under his or her direction in any work of the office of Grievance Coordinator, including but not limited to, the investigation of Allegations before and after the appointment of a Grievance Committee, the preparation of Reports and Complaints and the conduct of Hearings.

Section 1.4. Inability to Act of Grievance Coordinator. 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 a Director of the Register or a former Grievance Coordinator to act in the place of the Grievance Coordinator.

Section 1.5. Outgoing Grievance Coordinator. Upon recommendation of the incoming Grievance Coordinator, the Board of Directors may appoint the outgoing Grievance Coordinator to continue to handle any one or more grievance matters pending at the time the outgoing Grievance Coordinator leaves office because of expiration of his or her term of office or otherwise, and 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 grievance matters specified by the Board of Directors in the appointment.

Section 1.6. Special Grievance Coordinator. Where because of a language barrier or because the alleged violation(s) of the Code have occurred outside the United States, none of the persons specified in Section 1.4 above is willing and able to handle a particular grievance matter efficiently, the Board of Directors may appoint any RPA whom the Board of Directors deems qualified for such purpose to serve as Special Grievance Coordinator to handle that grievance matter. 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 matter.

ARTICLE II: GRIEVANCE COMMITTEES

Section 2.1. Appointment. Each Grievance Committee shall consist of the Grievance Coordinator and two RPAs appointed by the Grievance Coordinator. In making such appointments, the Grievance Coordinator shall appoint RPAs who, in his or her opinion, have the necessary expertise in the geographic area and nature of work to properly evaluate the Allegation.

Section 2.2. Notice to RPA. Promptly upon the appointment of a Grievance Committee to investigate the Allegation against an RPA (hereinafter, the “Respondent”), the Grievance Coordinator shall notify the Respondent of the appointment of such Grievance Committee and of the nature and source of the Allegation.

Section 2.3. Vacancies. In the event that a member of a Grievance Committee cannot act, the Grievance Coordinator shall appoint another RPA to serve.

Section 2.4. Majority Rule. A Grievance Committee may act on the concurrence of a majority of its members.

ARTICLE III: INVESTIGATION PROCEDURE

Section 3.1. Investigation. Each Grievance Committee shall conduct a thorough investigation of the Allegations referred to it to determine whether or not, in the opinion of the Grievance Committee, the conduct of the Respondent violates the Code. In addition, if a Grievance Committee, during its investigation, determines that the Respondent may have committed violations of the Code other than those alleged in the Allegations referred to it, the Grievance Committee may initiate such further investigation as it deems appropriate.

Section 3.2. Grievance Committee Report. Upon completion of each investigation, the Grievance Committee shall prepare and file with the Grievance Coordinator a Grievance Committee Report (a “Report”), containing the following:

1. A statement of the relevant facts;
2. A summary of the procedures followed in making the investigation;
3. The findings of the Grievance Committee, which shall include, if applicable, a statement of the particular provision or provisions of the Code which the Grievance Committee deems to have been violated; and
4. A conclusion in accordance with Section 3.3 below.

Section 3.3. Permitted Conclusions. Each Report shall contain one of the following conclusions:

1. That no disciplinary action be taken and that the file be closed; or
2. That the Respondent be given the right to accept admonishment or censure (as defined in Section 4.5 below) in the form and substance and for the period of time set forth in the Report; or
3. That a formal complaint be prepared and filed with the Standards Board.

Section 3.4. Action Subsequent to the Filing of a Grievance Committee Report. Upon the filing of a Report, the Grievance Coordinator or Grievance Committee shall take the applicable action set forth below:

1. If the conclusion of the Report is that no disciplinary action be taken, the Grievance Coordinator shall so notify the Respondent and shall close the file and retain it in the permanent records of the Grievance Coordinator.
2. If the conclusion of the Report is that the Respondent be given the right to accept admonishment or censure in the form and substance and for the period of time set forth in the Report,

• the Grievance Coordinator shall, within 20 days of the filing of the Report, forward a copy thereof to the Respondent, whereupon the Respondent shall have a period of 30 days from the date of receipt to advise the Grievance Coordinator, in writing, as to whether or not the Respondent elects to accept the proposed admonishment or censure.
• If the Respondent elects to accept the proposed admonishment or censure, the Grievance Coordinator shall complete the disciplinary action.
• If the Respondent elects not to accept the proposed admonishment or censure, or if his or her written response is not received by the Grievance Coordinator within the 30-day period allowed for this purpose, the Grievance Coordinator shall so advise the Grievance Committee, and, within 60 days after receipt of such advice, the Grievance Coordinator shall prepare a formal complaint and file it with the Standards Board.
• If the Report concludes that a formal complaint should be prepared and filed with the Standards Board, then within 60 days after the date of filing of the Report the Grievance Coordinator shall prepare a formal complaint and file it with the Standards Board.
• The formal complaint shall be deemed to be filed with the Standards Board when it is received by the Chair of the Standards Board. Contemporaneously with filing the formal complaint with the Standards Board, the Grievance Coordinator shall send a copy thereof, together with a copy of the Report, to the Respondent.

Section 3.5. Publicity. After conclusion of a disciplinary proceeding in which a Grievance Committee was appointed (other than a proceeding resulting in admonishment) but in which no formal complaint was filed with the Standards Board, the Register or any Sponsoring Organization of the Register may give public notice of the facts and outcome of such proceeding.

Section 3.6. Formal Complaint. Each formal complaint (“Complaint”) filed with the Standards Board shall include the following:

1. 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.
2. 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.

ARTICLE IV: STANDARDS BOARD PROCEDURES

Section 4.1. Hearing Date. After the Complaint has been filed, the Chair of the Standards Board (the “Chair”) shall set the date, time and place for hearing the Complaint (the “Hearing”), such date to be not more than eight months after the date of filing of the Complaint. The Chair shall promptly give written notice to the Respondent and the Grievance Coordinator of such date, time and place, such notice to be given not less than 30 days prior to the Hearing date. For good cause, the Chair, on his or her own initiative or at the request of the Grievance Coordinator or of the Respondent, 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 eight months after the date of filing of the Complaint unless the Respondent and the Grievance Coordinator agree to such postponement. The Register or any Sponsoring Organization of the Register may give public notice of the time and place of the Hearing and a description of the matters set forth in the Complaint.

Section 4.2. Hearing Procedure. The Hearing shall be conducted in accordance with rules which the Standards Board may establish from time to time; provided, however, that the Hearing shall be conducted substantially as follows:

1. The Grievance Coordinator, personally or through his or her representative, shall present the case against the Respondent by means of witnesses, other evidence and oral argument.
2. The Respondent shall be entitled to be represented by legal counsel and to present a defense by means of witnesses, other evidence and oral argument.
3. The Chair shall appoint a secretary, who need not be a member of the Standards Board, to keep minutes of the Hearing. The Chair may record or engage a court reporter to record the proceedings. The involved RPA, at his or her own expense, may record or engage a court reporter to record the proceedings.
4. The Chair shall have the power to compel any RPA to attend the Hearing, produce evidence and give testimony.
5. The Hearing shall be open to the public except to the extent that the Chair imposes reasonable limitations to assure an orderly Hearing.
6. The Chair shall preside at the Hearing and shall have the power to require that the Hearing be conducted in an orderly fashion, to exclude irrelevant evidence, to limit the scope of examination of witnesses, and to rule on all procedural matters before, during and after the Hearing.
7. The decision of the Chair as to all procedural matters shall be final and not subject to appeal or review.
8. At any time during the Hearing, the members of the Standards Board may ask questions of the Respondent, the Grievance Coordinator and the witnesses.
9. The Grievance Coordinator and the Respondent may enter into an agreement setting forth relevant facts not in dispute.
10. The Standards Board may but shall not be obligated to decide the matter without a Hearing if the Grievance Coordinator and the Respondent agree to waive the Hearing.
11. The matter may be settled by agreement between the Grievance Coordinator and the Respondent, provided that the terms of such settlement are approved by the Standards Board.
12. If, because of illness, conflict of interest or other reason the Chair is unable to perform the functions of Chair in a particular case, the Chair (or if the Chair is unable to make such appointment, the President of the Register) may appoint another member of the Standards Board to act as interim Chair with all of the powers and duties of the Chair in the particular case.

Section 4.3. Procedure Following the Hearing. Upon completion of the Hearing, the Standards Board shall adjourn to executive session to discuss the issues. The decision of a majority of the members of the Standards Board shall be the decision of the Standards Board (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 Respondent,
• the Grievance Coordinator, and
• the President of the Register.

The Decision shall be final and not subject to appeal or review.

Section 4.4. Standards Board Decision. Each Decision of the Standards Board shall contain:

1. A detailed finding of fact; and
2. 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 Standards Board may take into account prior disciplinary action, if any, against the Respondent.

Section 4.5. Disciplinary Action. Any one or more of the following disciplinary actions may be imposed:

1. Admonishment. A statement, entered into the permanent records of the Grievance Coordinator, calling the attention of the Respondent to a violation of the Code.
2. Censure. A formal statement, entered into the permanent records of the Grievance Coordinator, of criticism and disapproval for violation of the Code. The Respondent’s name shall appear with a notation of the censure in each Directory of RPAs initially published during a period of not more than two years.
3. Suspension. A temporary suspension of registration by the Register for a period of not more than two years. The Respondent’s name shall appear with a notation stating the dates of suspension in each Directory of RPAs initially published during the period of suspension.
4. Termination of Registration. A complete termination of registration by the Register. A Respondent whose registration has been terminated may not reapply for registration until three years after the date of the Decision.

Section 4.6. Publicity. After conclusion of a disciplinary proceeding filed with the Standards Board, the Register or any Sponsoring Organization of the Register may give public notice of the facts and outcome of the proceeding.

ARTICLE V: PERMANENT RECORDS

Section 5.1. Content. The permanent records of disciplinary proceedings of the Register shall consist of the following:

1. Correspondence from the Grievance Coordinator, Grievance Coordinator-Elect, Board of Directors or the President of the Register specifically required or specifically permitted by these Disciplinary Procedures, and correspondence from the Respondent pursuant to Section 3.4(b)(i) above;
2. The Reports of all Grievance Committees;
3. All statements of admonishment or censure of an RPA;
4. A copy of each Directory of RPAs which contains a statement of censure or suspension of an RPA; and
5. The records of every proceeding before the Standards Board, including, but not limited to, the Complaint and other pleadings, correspondence to and from the Standards Board, interim rulings by the Standards Board, writings or other materials admitted into evidence by the Standards Board, the stenographic or other record of the Hearing, and the Decision.

Section 5.2. Assembly, Maintenance, and Storage.

1. The Grievance Coordinator shall be responsible to assemble and temporarily maintain the permanent records of all disciplinary matters which are processed during his or her term of office but which do not reach the Standards Board.
2. The Chair of the Standards Board shall be responsible to assemble and temporarily maintain the permanent records of all disciplinary matters which reach the Standards Board during his or her term of office.
3. Upon expiration of the terms of their respective offices, the Grievance Coordinator and the Chair of the Standards Board shall deliver to the archives of the Register all permanent records which he or she is responsible to assemble and temporarily maintain.
4. The archivist of the Register, under the supervision of the Board of Directors of the Register, shall be responsible for long-term storage of the permanent records of disciplinary proceedings of the Register. The archivist shall permit persons who have been determined by the President or other officer of the Register to have a legitimate interest to inspect and copy the permanent records. Such persons might include (i) a Grievance Coordinator, Grievance Coordinator-Elect or member of the Standards Board, (ii) a Respondent or other person involved in a current disciplinary matter whose outcome could be affected by the precedent established in the archived matter, (iii) historical researchers, and (iv) others.