Procedures for Filing and Investigating Ethics-Related Complaints

The Bylaws of NAFSA: Association of International Educators declare that the Board of Directors shall adopt and maintain a Code of Ethics for NAFSA and its members (Article I, Section B). The Standing Rules charge the Membership Committee with managing the Association’s ethics program (Rule VII, Section E). The Subcommittee on Ethical Practice (SEP) was created to resolve complaints based on violations of the NAFSA Code of Ethics. The Procedures for Filing and Investigating Ethics-Related Complaints were adopted by the Board of Directors on May 27, 2001 and the Executive Committee approved rewording of the document to reflect the name of the Subcommittee on November 17, 2005. This document, although a part of the NAFSA Standing Rules, is published as a separate document per Rule XI.

A fundamental precept that guides the SEP in the discharge of its responsibilities is that an effective Code of Ethics requires an orderly and fair administration and enforcement of its terms. The SEP recognizes that each case must be judged on an individual basis, and that no two cases are likely to be identical. Thus, the SEP has the responsibility to exercise its judgments on the merits of each case and on its interpretation of the Code.

• Section 1. Definition of Terms
• Section 2. General Operating Rules
• Section 3. Complaints
• Section 4. Investigations
• Section 5. Sanctions
• Section 6. Reconsideration of Initial Decision by the SEP
• Section 7. Appeal of the SEP Decision to Executive Committee

Section 1. Definition of Terms

1. SEP or Subcommittee: Subcommittee on Ethical Practice
2. NAFSA or Association: NAFSA: Association of International Educators
3. Code: NAFSA’s Code of Ethics
4. Complainant: The person(s) alleging a violation of the Code
5. Respondent: The alleged offender
6. Chair: Chair of the Subcommittee on Ethical Practice
7. Executive Committee: The Executive Committee of the Board of Directors
8. Staff: NAFSA staff liaison(s) to the Subcommittee on Ethical Practice

Section 2. General Operating Rules

1. The SEP shall base its actions on NAFSA’s Code of Ethics, Bylaws, Standing Rules, and these Procedures.
2. Four members of the SEP shall constitute a quorum. Except as otherwise noted in these Procedures, all decisions shall be by majority vote of those members present, or in the case of a vote by mail or electronic mail, a majority of those members responding. Meetings may be held by conference call.
3. The staff member shall serve as a liaison between NAFSA and the complainant and between NAFSA and the respondent. The staff shall maintain contemporaneous notes of all telephone conversations or meetings with the respondent or complainant. The staff liaison shall remain impartial at all stages of these proceedings and shall at all times throughout these proceedings work with the complainant and the respondent in an attempt to resolve the complaint informally.
4. All information concerning complaints shall be confidential, except that any information may be shared with any member of the Subcommittee , with the staff liaison, with the Executive Director and CEO of NAFSA or any staff of NAFSA designated by the Executive Director and CEO to assist the Subcommittee with its work, with the Executive Committee of the Board of Directors of NAFSA, with NAFSA legal counsel, and with other duly appointed persons authorized by the Executive Committee to assist it in carrying out its functions. In addition, information may be disclosed when compelled by a valid subpoena, when otherwise required by law, or as otherwise presented in these Procedures.
5. In the interest of fairness to all parties involved, all proceedings under these Procedures shall proceed as expeditiously as possible. Where a specific timetable is not outlined in these procedures, a 30-day time period shall be observed. The complainant and respondent shall observe all deadlines unless circumstances related to the case make this unfair or impossible. In such instances the complainant and/or respondent may request an extension of time. The staff may grant such extensions and retains the authority to alter the timetable at his or her discretion. If the respondent fails to observe a deadline and fails to request an extension of time, the investigation shall proceed nevertheless. If the complainant fails to observe a deadline and fails to request an extension of time, the complaint may be dismissed.
6. All mail shall be sent to the complainant and the respondent either by Certified Mail, Addressee Only, Return Receipt Requested, or by overnight mail.

Section 3. Complaints

1. Any individual or group, whether or not a NAFSA member, may file a complaint against a NAFSA member for an alleged violation of the Code of Ethics. All complaints must be in writing on a NAFSA Ethics Complaint Form and must cite the specific Code provision that is allegedly violated.
2. The Subcommittee shall not act on anonymous complaints.
3. Complaints must be filed within one year after the alleged conduct either occurred or was discovered by the complainant, unless very serious conduct likely to cause substantial harm is alleged. For purposes of determining time limits, a complaint shall be considered filed with NAFSA when the staff receives the completed complaint form.
4. To file a complaint, the complainant should contact the NAFSA staff liaison to the Subcommittee on Ethical Practice. The staff liaison will assist the complainant to clarify the nature of the violation, complete the NAFSA Ethics Complaint Form, and encourage the complainant to contact the respondent directly to attempt to resolve the complaint informally.
5. Absent compelling circumstances, Subcommittee action will be stayed pending the outcome of any civil or criminal litigation involving the subject of the complaint.
6. The staff shall send the Chair a copy of all complaints received. The Chair, in consultation with the staff liaison, shall review all complaints in such manner as they deem necessary and proper and shall determine whether, in their sole discretion, the complaint merits investigation. Among the factors to be considered are: a) whether the respondent’s alleged actions, if proved, would constitute a breach of ethics; and b) whether the allegations constitute only minor or technical violations that would not warrant further action, have already been adequately addressed, or are likely to be corrected. In deciding whether a complaint merits investigation, incredible, speculative, and/or internally inconsistent allegations may be disregarded. If the Chair and the staff determine that a complaint merits investigation, an investigation shall be conducted in accordance with the procedures set forth in Section 4. Final authority for determining whether or not a case shall be investigated rests with the Chair.
7. When the SEP becomes aware of information regarding a serious alleged violation of the Code, it may initiate an investigation without a formal complaint.

Section 4. Investigations

1. The staff shall conduct the investigation under the supervision of the Chair and shall work closely with the Chair. In the Chair’s discretion, in the case of difficult or complicated investigations, the Chair may appoint a member of the Subcommittee to assist the staff in conducting the investigation.
2. The staff shall notify the respondent of the complaint in writing and shall provide the respondent with copies of the Code, of these procedures, of the written complaint, and of all evidence in the file. In addition, the staff shall notify the respondent that a) the respondent’s answer to the complaint shall be in writing, including any evidence or relevant information regarding the complaint; b) the respondent’s answer must be received by the staff no more than 45 days after the date of notice to the respondent; and c) that information submitted by the respondent shall become a part of the record and can be used in any proceedings. At his or her discretion, the staff may seek additional information from the complainant, the respondent, or third parties, at any time. A final decision of any state, federal, regulatory or judicial body may be considered as evidence.
3. The staff shall consider all information secured from his or her investigation and shall recommend an Initial Decision to the Subcommittee.
4. If the Subcommittee finds that there is insufficient evidence to warrant further proceedings, the Chair, on behalf of the Subcommittee, shall so advise the respondent and the complainant, and shall terminate the investigation.
5. If the Subcommittee finds that there is sufficient evidence to warrant further proceedings, it shall make an Initial Decision that shall include a) the finding of violation, and b) the proposed sanction.
6. The Chair shall provide the respondent with the Subcommittee’s notice of its Initial Decision. The notice shall advise respondent of the right to request Reconsideration by the Subcommittee, and of the right, after Reconsideration, to appeal to the NAFSA Executive Committee. The procedures to be followed in exercising those rights are described in Sections 6 and 7 of these Procedures.

Section 5. Sanctions

The Subcommittee may impose one or more of the following sanctions upon the respondent, as well as other conditions determined by the Subcommittee in its sole discretion. When the Subcommittee deems it appropriate, it may issue an educative letter, to be shared only with respondent, concerning the allegations or related matters. An educative letter may be issued whether or not the Subcommittee finds a violation of the Code.

1. Reprimand—Reprimand is appropriate if the Subcommittee finds that the respondent has violated the Code, but the violation is not of a kind likely to cause harm to another person or the profession. In the event the Subcommittee finds that reprimand is appropriate, the Chair shall send a confidential letter to the respondent declaring the respondent to be in noncompliance with the Code and demanding that the respondent cease the practice in violation. After the Initial Decision has become final or has been affirmed by the Executive Committee, the complainant shall be notified that the respondent has been reprimanded but no public disclosure shall be made. The complainant shall be advised that the Initial Decision is strictly confidential.
2. Suspension—Suspension is appropriate if the Subcommittee finds that the respondent has violated the Code and the violation is of a kind likely to cause harm to another person or the profession. In the event the Subcommittee finds that suspension is appropriate, the respondent shall be suspended from NAFSA membership for a period of time to be determined by the Subcommittee. During this time the respondent shall be ineligible for grants from NAFSA, barred from presenting or exhibiting at conferences and from advertising in NAFSA publications, and prohibited from purchasing mailing lists of members. During a period of suspension, the respondent shall not be precluded from attending NAFSA conferences or purchasing NAFSA publications as a nonmember. Notice of suspension shall be published in NAFSA’s newsletter after the Initial Decision has become final or has been affirmed by the Executive Committee.
3. Expulsion—Expulsion is appropriate if the Subcommittee finds that the respondent has violated the Code, the violation is committed with malice, and is of a kind likely to cause harm to another person or the profession. Expulsion is also appropriate if the Subcommittee finds that the respondent has repeatedly made serious violations of the Code. In the event the Subcommittee finds that expulsion is appropriate, the respondent shall be permanently expelled from NAFSA membership and shall enjoy none of the rights or benefits of NAFSA membership. Expelled persons shall be ineligible for grants from NAFSA, barred from presenting, exhibiting, and attending NAFSA conferences and advertising in NAFSA publications, and prohibited from purchasing mailing lists of members. Expelled persons shall not be precluded from purchasing NAFSA publications as a nonmember. Notice of expulsion shall be published in NAFSA’s newsletter after the Initial Decision has become final or has been affirmed by the Executive Committee.
4. Reinstatement—Persons whose membership has been suspended may apply to the SEP for reinstatement at the conclusion of the designated period of suspension. Persons who have been expelled may apply to the SEP for reinstatement after ten years. The applicant bears the burden of demonstrating with appropriate documentation that conditions that led to the suspension have been rectified and that, on reinstatement, the applicant will abide by the Code. The person suspended or expelled may appeal any decision of the SEP with respect to reinstatement as described in Section 7.

Section 6. Reconsideration of Initial Decision by the SEP

1. When the Subcommittee has made an Initial Decision that respondent has violated the Code, respondent may request that the Subcommittee give Reconsideration to the Initial Decision.
2. Respondent’s request for Reconsideration shall be in writing and must be received by the Chair no later than 30 days after the date of notice of Initial Decision. The request for Reconsideration must specify in what respects the Initial Decision was allegedly wrong and why. In the absence of a timely request for Reconsideration, the Initial Decision shall be the final decision of the SEP, and respondent shall have no further right of appeal to the Executive Committee.
3. If respondent submits a timely request for Reconsideration by the SEP, the SEP shall schedule a hearing and notify respondent. Disciplinary action will not take effect while the request for Reconsideration is pending.
4. At the hearing, the respondent shall be entitled to make a written submission or to appear personally to present evidence, to call witnesses, and to be accompanied by counsel. The names and addresses of all witnesses shall be provided to the Subcommittee at least 15 days before the hearing. The hearing shall be informal. Strict adherence to the rules of evidence shall not be observed. As an alternative to personal appearance at the hearing, the SEP shall offer respondent the opportunity to make a presentation to it via a conference call.
5. At the Subcommittee’s discretion, it may request the presence of the complainant or other witnesses at the hearing. In this case, the Association shall bear the cost of such appearances.
6. At the Subcommittee’s discretion, it may designate legal counsel to advise it at the hearing.
7. Respondent shall bear the cost of his or her expenses in connection with the hearing, including travel, lodging, counsel, and witnesses called by respondent.
8. The hearing shall be transcribed in full at the cost of the Association. On request, the Subcommittee shall make a copy of the transcript available to the respondent at respondent’s expense.
9. At the conclusion of the hearing, the SEP shall render its decision and notify respondent. If the evidence presented at the hearing warrants, the SEP may modify the finding or increase or decrease the severity of the sanction that was announced to respondent in the notice of Initial Decision. This decision shall be the SEP decision and, in the absence of a timely appeal to the Executive Committee, the SEP decision shall be final.

Section 7. Appeal of the SEP Decision to Executive Committee

1. Respondent may appeal the SEP decision to the Executive Committee. The notice of appeal shall be in writing and staff must receive it no later than 30 days after the date of notice of the SEP decision. The notice of appeal must specify in what respects the SEP decision was allegedly wrong and why. Disciplinary action shall not take effect while an appeal to the Executive Committee is pending.
2. The Executive Committee will review the record before the SEP for procedural fairness, interpretation of the Code, and appropriateness of the sanction.
3. Within 90 days of receipt of a timely appeal, the Executive Committee shall issue a Decision and notify the respondent and the complainant. The Executive Committee may modify the finding or increase or decrease the severity of the sanction that was announced to respondent in the SEP Decision. The Executive Committee decision shall be final.

Revised May 2001
Updated by the Executive Committee to reflect the Association’s new structure November 2005.