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Member Code Process and Procedure

Updated August 2020

All complaints must be in writing and in the format approved by the RWA Board of Directors (“Board”). Anonymous complaints will not be accepted.

The complainant must clearly state which portion of the Code of Ethics that they believe has been violated. A complaint may include supporting documentation if available, but the complainant is not required to “prove” their case in the complaint submission.

If the action is brought on behalf of RWA, the President will file the complaint and act as the complainant and refrain from participating in Board discussions and deliberations on the matter. If the President is the accused, the President-Elect will file the complaint and act as the complainant and refrain from participating in Board discussions and deliberations on the matter.

All complaints must be submitted to the RWA Executive Director and Ethics Committee Chair via email, postal mail, or commercial delivery service (e.g., UPS or FedEx). Complaints must be filed within 45 days of the date of the alleged action.

All complaints made against RWA members shall be adjudicated exclusively through these procedures and not through any separate process at the Chapter level.

Initial Review

Upon receipt of a complaint of a violation of the Code of Ethics:

  • The RWA Executive Director or other authorized RWA staff will review the complaint to ensure it is complete and signed according to the complaint procedures.
  • If the RWA Executive Director and Ethics Committee Chair jointly agree that a complaint does not fall within the scope and is outside the jurisdiction of the Code of Ethics, then the complainant shall be so informed by the Executive Director (accompanied by an appropriate explanation) and the complaint shall not be forwarded to the Ethics Committee, but the Executive Director shall report in summary fashion monthly to the Ethics Committee as to all such complaints which did not move forward. If the Executive Director and Ethics Committee Chair do not jointly agree as to whether a complaint does not fall within the scope and is outside the jurisdiction of the Code of Ethics, then the complaint shall move forward to the Ethics Committee.
  • The RWA Executive Director or other authorized RWA staff will inform the complainant of alternative dispute resolution options in order to handle the complaint through an informal process. A complainant who elects to move through an informal process is not precluded from withdrawing from the process and reinstating the formal complaint.

Notice

Upon receipt of a properly documented claim and after the initial review:

  • The RWA Executive Director or authorized RWA staff member must notify the respondent of the allegation(s) within five (5) days.
  • Notice to the respondent shall include the name(s) of the complainant(s); the specific allegation(s) against the respondent; and any supporting documentation provided by the complainant.
  • The respondent shall have forty-five (45) days to provide a written response to the allegation(s) to RWA. If the respondent fails to submit a response within the required time frame or request an extension not to exceed thirty (30) days, the respondent will be deemed to have waived their right to provide a written response.
  • In their response, the respondent can acknowledge and agree to the violation of the Code of Ethics or can present their argument(s) against the allegation(s). All supporting evidence must be included in the response filed within forty-five (45) days of the initial notice.

Procedures

Ethics Committee Procedures

  • The RWA Executive Director or authorized RWA staff member will provide the Ethics Committee with the complaint, response, and all supporting materials submitted by the parties. If a response has not been submitted, the Committee will render its decision based on the complaint alone.
  • If the respondent admits in writing to the allegation(s) set forth by the complainant, then, within five (5) business days from the date of the admission, the Ethics Committee must forward to the Board the Code of Ethics allegation(s), the supporting documentation, and the accompanying admission of violation, along with the Ethics Committee’s report recommending sanctions.
  • If the respondent submits a written response denying the allegation(s), the Ethics Committee shall conduct a thorough investigation within a reasonable period of time, but no more than forty-five (45) days, to determine if a violation of the Code of Ethics has occurred. The Committee may request additional information from either or both parties.
  • Upon completion of the Committee’s investigation, the Committee will make recommendation to the Board as to whether a violation of the Code of Ethics has occurred. Should the Committee find in favor of the respondent, the Committee will submit a report to the Board recommending that the matter be dismissed from further consideration. If the Committee finds that a violation of the Code of Ethics has occurred, the Committee will submit to the Board a report recommending sanctions and specifying which sanctions it recommends. In either event, the Committee must provide its report to the Board within five (5) days of completing its investigation and voting on the disposition of the matter.

Board of Directors Procedures

  • The Board will consider any pending reports of the Ethics Committee at its next regularly scheduled meeting; however, if no meeting is scheduled within forty-five (45) days of the Ethics Committee submitting its report, the Board shall hold a special meeting to deliberate on the matter.
  • The Board shall be provided with the Ethics Committee’s report, which shall include a summary of the facts, all documentation acquired in the investigation, as well as recommended course of action.
  • The Board will consider each complaint before it in Executive Session. Discussions in Executive Session cannot form the basis of a Code of Ethics complaint and may not be introduced in a Code of Ethics complaint due to the confidential nature of Executive Session.
  • Any Board member who is a party to a Code of Ethics action shall recuse themselves from any Board discussion or deliberation on the matter.
  • After considering the Ethics Committee’s report, the Board may: (i) adopt the findings of the Ethics Committee; (ii) reject the findings of the Ethics Committee; (iii) reject the findings of the Ethics Committee and require further investigation; or (iv) modify the recommended sanctions if the Board determines that the sanctions are not proportional to the violation. The Board may only reject the findings of the Ethics Committee for the following reasons: (i) substantive violation of a party’s due process; (ii) misapplication of the RWA Code of Ethics; or (iii) material misinterpretation of the facts of the complaint. All decisions of the Board must be in writing and provide clear reasoning for its decision.
  • All parties will be notified of the Board’s decision within five (5) days.

Appeals

Upon receipt of the decision, either party shall have ten (10) days to file an appeal with RWA. Appeal forms must be requested from and submitted to the RWA Executive Director. Appeals will only be granted if:

(i) the appealing party can clearly demonstrate new evidence that was not available at the time of the initial investigation that is material to the reversal or modification of the decision; or

(ii) a violation of the Code of Ethics procedures in the investigation or deliberations by the Ethics Committee or the deliberations by the Board.

The outcome of an appeal may be a reversal, modification or confirmation of the underlying decision and/or the sanctions imposed, or sending the case back to the Ethics Committee for additional fact-finding and/or deliberations based on the Appeals Panel’s instructions.

In each instance where an appeal is filed:

  • The RWA Ethics Committee Chair shall appoint an ad hoc Appeals Panel to adjudicate the appeal made up of three independent, non-conflicted RWA General members, such Panel which shall not include any current RWA staff, any current members of the RWA Board of Directors or Ethics Committee, or anyone else with a conflict of interest with respect to the appeal.
  • Should the Appeals Panel require additional and/or substantiating information, the RWA Executive Director will make such a request of the parties, who shall comply within the requested reasonable time frame.
  • The Appeals Panel shall provide its decision to the parties within ten (10) days of its convening, unless an extension is granted by the Ethics Committee Chair, such extension which shall not be unreasonably withheld. The decision(s) of the Appeal Panel will be final and not subject to further reconsideration.

There shall be no limitation on members of any Appeals Panel from serving as members of future Appeals Panels, so long as they remain independent and non-conflicted.

Confidentiality and Conflicts of Interest

RWA Directors, RWA staff, and Ethics Committee members involved in the investigation must hold all information, including the results of an investigation, in the strictest confidence.

All ethics case information will be held electronically or otherwise at the RWA office and will be destroyed either three years after the Board’s finding of no violation of the Code of Ethics or three years after the respondent has completed any required sanctions.

Any Ethics Committee members, RWA Directors, and/or RWA staff with a conflict of interest in an investigation must not participate in any investigation or deliberation on the matter. Any RWA Director who is either the complainant or the respondent in an investigation must recuse themself from the portion(s) of any Board meeting(s) or other Board deliberation(s) that concerns such investigation or the matter generally.

The RWA President (as an ex officio member of all RWA committees) shall not be a voting member of the Ethics Committee. No RWA Director or Officer shall participate in any ethics investigations.

Sanctioning Guidelines

Compliance with the RWA Code of Ethics is at the heart of RWA’s membership. Determining that a violation of one or more Articles of the Code of Ethics has occurred is only a part of the RWA Ethics Committee’s job. Of equal importance is issuing disciplinary action that is commensurate with the violation. When determining appropriate sanctions for violations of the Code of Ethics, the Committee shall consider:

  • The nature of the violation.
  • The harm caused by the violation.
  • Whether the violation was due to a lack of awareness or understanding of the Code of Ethics.
  • Whether the violation was due to an intentional or unintentional disregard of the Code of Ethics.
  • If the individual has been found in violation of the Code of Ethics previously. If so, when? How many times?
  • Any mitigating or extenuating circumstances.

With these factors in mind, the Ethics Committee can follow the below guidelines in determining disciplinary action for a violation of the Code of Ethics. The Committee may, within its discretion, issue any combination of sanctions (none should be considered mutually exclusive).

First Violation

1. The violation is considered relatively minor, little or no harm was caused to others, and/or the violation was due to a general misunderstanding or ignorance of the Code of Ethics.

  • Written reprimand
  • Attendance at a Code of Ethics training (or required to view Code of Ethics training video)
  • Multi-month ban on holding any RWA and/or RWA chapter leadership positions
  • Any combination of the above

2. The violation is considered relatively serious, or some harm was caused to others, and/or the violation was a result of a reckless, grossly negligent, or negligent disregard of the Code of Ethics.

  • Written reprimand
  • Attendance at a Code of Ethics training (or required to view Code of Ethics training video)
  • Removal from RWA and/or RWA chapter officer, director and/or other RWA leadership position(s)
  • Multi-month ban on holding RWA and/or RWA chapter leadership positions
  • Temporary ban from participating in particular or all RWA and/or RWA chapter programs and activities, including but not limited to RWA Forums
  • Temporary suspension of RWA and RWA chapter membership (up to six months)
  • Any combination of the above

3. The violation is considered very serious, substantial harm was caused to others, and/or the violation is due to a knowing disregard of the Code of Ethics.

  • Written reprimand
  • Attendance at a Code of Ethics training (or required to view Code of Ethics training video)
  • Removal from RWA and/or RWA chapter officer, director and/or other RWA leadership position(s)
  • Permanent ban on holding RWA and/or RWA chapter leadership position(s)
  • Permanent ban from participating in particular or all RWA and/or RWA chapter programs and activities, including but not limited to RWA Forums
  • Permanent expulsion from RWA and RWA chapter membership
  • Any combination of the above

Repeat Violations

For repeated violations during a three-year period, the Ethics Committee, in its discretion, may escalate sanctions beyond the guidelines for the particular violation. Any RWA member who is found in violation of the Code of Ethics three times in three years may be permanently removed from RWA and RWA chapter membership.