Members Guide to Ethics Complaints[(]

June 2010

1.  Q. I believe someone violated the Code of Ethics, Rules of Professional Conduct or Standards of Practice for Right of Way Professionals. Can I file an anonymous complaint?

A. No, complaints must be in writing and signed by the complainant. Disciplinary Rule 5.A.

2.  Q. How do I file a complaint?

A. You must send a written complaint, which can be in the form of a letter, to the Chapter President of the chapter where the individual who is being accused of a violation is a member. The complaint must be signed and dated. If the accused individual holds membership in two or more chapters, the letter shall be sent to the chapter where the primary membership is held. Disciplinary Rule 5.B.

3.  Q. I have been accused of an ethics violation. What are my rights?

A. First, all complaints are confidential. Only those involved in the investigation will know who the complainant and accused member are. Disciplinary Rule 2.

Second, the burden of proving the allegations against you is on the accuser. You are presumed not to have committed the violation and you have no obligation to prove that you didn’t commit a violation. You will be given a copy of the complaint and have the right to know who your accuser is. You will be given an opportunity to respond to the complaint as part of the investigation, but you are not required to do so. Disciplinary Rule 1.

4.  Q. I am the Chapter President and I received a letter accusing a chapter member of violating the IRWA Code of Ethics or Rules of Professional Conduct or Standards of Practice. What do I do?

A. First, you must acknowledge receipt of the complaint, in writing, within ten (10) days and must inform the complainant that an investigating committee will be appointed to review the allegations. Disciplinary Rule 5.C.

You must also notify the member who is the subject of the complaint. You must provide the member with a copy of the letter of complaint, and a copy of the Code of Ethics, Rules of Professional Conduct, Standards of Practice for Right of Way Professionals, and the Disciplinary Procedures. Disciplinary Rule 5.D. All are available online at www.irwaonline.org.

Finally, you must send copies of all the documents to the International Ethics Committee chair. Disciplinary Rule 5.E.

Next, you must establish an Investigating Committee. You will appoint two (2) members from your chapter, and the Ethics Committee chair will appoint a third person from your region, but not from your chapter. At least one of the members of the Investigating Committee must be an SR/WA. Disciplinary Rule 6.A.

Although there is no specific time frame for forming the Investigating Committee, time is of the essence and it must be done promptly. A general guideline would be to have the Investigating Committee formed within thirty (30) days of receipt of the complaint. Once the Investigating Committee is formed, you shall provide the Investigating Committee members with a copy of the complaint and the governing documents.

5.  Q. Who can be appointed to the Investigating Committee?

A. The Investigating Committee consists of three (3) individuals (see Disciplinary Rule 6.A and Q and A 4 above), who shall be impartial and unbiased. The Chapter President shall use his or her discretion in appointing two chapter members who the President believes can be impartial and do not have, or appear to have, a conflict of interest with either the complainant or the accused member. For example, a co-employee of the complainant should not be asked to serve on the committee because there may be an appearance of bias. If possible, members who do not know either the complainant or the accused member should be approached to serve on the committee.

6.  Q. I have been appointed to the Investigating Committee. Now what?

A. The three appointed members must elect a Chair, who is responsible for coordinating the review of the complaint to determine whether Probable Cause of an ethics violation exists. The committee may interview the complainant, the Member Charged, and any other individuals it believes is necessary to aid in its investigation. The committee shall complete its investigation within forty-five (45) days of receipt of the complaint from the Chapter President. Disciplinary Rule 6.B.

7.  Q. What is “Probable Cause”?

A. When all of the facts developed after the committee’s investigation, taken as a whole, would lead a reasonably intelligent and prudent person to believe that the Member Charged violated the Code of Ethics, Standards of Practice for the Right of Way Professional, or Rules of Professional Conduct. Disciplinary Rule 3.I.

8.  Q. What if the Investigating Committee finds no Probable Cause?

A. Complainant and Member Charged are notified and all files destroyed. Disciplinary Rule 7.

9.  Q. If the Investigating Committee finds Probable Cause, does the Member Charged have a right to appeal?

A. Yes. Depending on the recommendation of the Investigating Committee, different appeal procedures may be applicable. See Disciplinary Rules 8, 9 and 10. Further appeals may also be applicable for the most severe penalties. See Disciplinary Rule 12.

10.  Q. If the Investigating Committee finds Probable Cause, what are the possible consequences?

A. Depending on the severity of charge, a finding of Probable Cause could result in an Admonishment, Reprimand, Censure, Suspension or Expulsion. See Disciplinary Rules 4 and 8. See also the procedures set forth in Disciplinary Rule 9.

11.  Q. If the Association expels a member, may he or she be reinstated at a later date?

A. An expelled member shall not be considered for reinstatement sooner than five (5) years from the date of expulsion. Any reinstatement is subject to review and approval. Disciplinary Rule 17.

12.  Q. What is the difference between Suspension and Expulsion?

A. A Suspension is a temporary revocation of the rights and privileges of membership in the Association for a maximum period of two (2) years, during which time all evidence of membership in the Association must be returned to Headquarters and will be held during the suspension period. At the end of the suspension period, the individual will automatically be restored to previous membership status and the evidence of membership will be returned to him or her, provided the member has complied with all additional disciplinary education requirements and has once again fulfilled all obligations (i.e., courses and examinations) to achieve the status of Senior, Senior Candidate or Certified member. Disciplinary Rule 4.D.

An Expulsion is a complete termination of membership or any affiliation with the Association. Disciplinary Rule 4.E.

13.  Q. Are any members exempt from being charged with an ethics violation?

A. No, every member of the Association is subject to the Disciplinary Procedures if accused of an ethics violation. See Disciplinary Rules 3.G, 3.H and 18.

14.  Q. What if the Member Charged resigns from the Association after a complaint is filed?

A. The Member Charged can voluntarily resign at any time during the disciplinary proceedings. However, the effects of resigning will differ depending on when the resignation is tendered in relation to the status of the proceedings. See Disciplinary Rule 14.

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[(]* This does not replace the official IRWA Disciplinary Procedures, but is merely a summary of the various roles, rights and responsibilities. Please consult the Disciplinary Procedures for the complete set of procedures to be followed. All references to the Procedures are to the specific paragraph and subsection of the applicable Disciplinary Procedure.