Standing Ethics Committee Policies and Procedures

This document contains the details of the operations of NASW's Standing Ethics Committee, to be implemented if proposed changes to Article VII pass. It reflects the details presented in the initial proposal, with the exception that the identity of the Standing Ethics Committee is known.

The Board shall appoint a Standing Ethics Committee at the start of each fiscal year. Members of the Standing Ethics Committee may be called upon to act on complaints concerning NASW members covered by Article VII, Section 4 of NASW's Bylaws. No member of the Standing Ethics Committee shall be a current member of the Board. As with other committees, the names of the Standing Ethics Committee will be published to members. Standing Ethics Committee members, in addition to being covered by the protections of the federal Volunteer Protection Act of 1997, will be indemnified by NASW while carrying out the acts of obligations of the Association, subject to certain restrictions where doing so would be against public policy (e.g., where the committee member does not act in good faith, for a purpose s/he reasonably believes to be in the best interests of NASW, or where the committee member had reasonable cause to believe that his or her conduct was unlawful, or where there is misconduct).

Upon receiving a Complaint, the Administrator (i.e. the Executive Director) shall determine whether any relationship exists between any member(s) of the Standing Ethics Committee or the Board (a “Conflicted Member”), on the one hand, and the Reporter or the Subject, on the other hand, which could reasonably be expected to impair such Standing Ethics Committee member(s)’ or Board member(s)’ ability to review the Complaint in an unbiased manner. (The Subject of a Complaint will always be a Conflicted Member with respect to that Complaint.) The Administrator shall then forward the Complaint to all members of the Board who are not Conflicted Members. The Review Committee shall consist of two (2) current Board members and three (3) current members of the Standing Ethics Committee. No member of the Review Committee shall be a Conflicted Member. The Review Committee shall be a Committee of the Corporation as described in Article III, Section 16 of NASW's Bylaws.

Upon receiving a Complaint from the Administrator, the Review Committee shall undertake a preliminary investigation to determine the merit of the Complaint. If the Review Committee determines that the Complaint has merit, it shall recommend to the Board (excluding any Conflicted Member from such communication) that the Review Committee undertake a full investigation. Upon approval by the Board, the Review Committee shall proceed with a full investigation, which may include, but is not limited to, consulting the Subject and/or other persons who may have knowledge or information relevant to the Complaint, collecting evidence, consulting legal counsel, etc.; provided, however, that the Review Committee shall not, without the prior approval of the Board, enter into any material contracts or arrangements, including but not limited to engagement letters with legal counsel, accountants or other professionals, initiate communications with law enforcement or government authorities, or engage in other activities that materially impact NASW or expose NASW to material financial or legal liability.

Complaints will be handled with sensitivity and discretion. Complaints will remain confidential to the extent allowed by the circumstances and the law, consistent with NASW’s need to investigate, correct and prevent misconduct. Generally, this means that Complaints will only be shared with those who have a need to know so that the Association can conduct an effective investigation, determine what actions to take based on the results of any such investigation, and, in appropriate cases, communicate with law enforcement personnel. During the Review Committee’s full investigation, it should consult with the Reporter as appropriate to discuss what level of confidentiality the Reporter is requesting, and whether and how that level of confidentiality can be achieved. If the Review Committee believes that, for any reason, the level of confidentiality being requested by the Reporter cannot be provided, the Review Committee will contact the Reporter to discuss whether alternate options are available (e.g., filing the original Complaint as an anonymous submission to be referred to by the Review Committee and/or the Board if they receive other complaints about the Subject). However, circumstances may arise in which the Review Committee determines, in consultation with the Board (and, typically, with legal counsel), that it is required, by law or otherwise, to proceed with investigating a Complaint, even if the Reporter would prefer to withdraw the Complaint, and even if it is not able to preserve the level of confidentiality requested by the Reporter. Moreover, in certain circumstances, the Board may determine (typically, in consultation with legal counsel) that the Subject of the Complaint has the right to know the identity of the Reporter in order that the Subject may mount a defense.

Based on the results of the full investigation, the Review Committee shall vote whether or not to proceed with the Complaint. An affirmative vote of no fewer than three out of the five members (or alternate members, if applicable) of the Review Committee is required to proceed with the Complaint. Barring emergency circumstances, this vote must occur within 30 days of receipt of the Complaint by the Review Committee. If the Review Committee votes not to proceed with the Complaint, it will make a recommendation to the Board (excluding any Conflicted Member from such communication) as to whether the Board should notify the Subject of the existence or nature of the Complaint. The Board shall notify (or direct the Administrator or Review Committee to notify) the Reporter of the status of the Complaint not later than the end of this 30-day period.

Should the Review Committee vote to proceed with the Complaint, the Committee shall provide the Board (excluding any Conflicted Member), for the Board’s approval, a draft notice of the Complaint to the Subject (the “Notice of Complaint”), which should include sufficient detail for the Subject to mount a defense. If the Board approves the Notice of Complaint, the Board shall send a copy of such notice to the Subject. The Board will inform the Review Committee prior to making any changes to the Notice of Complaint.

Upon receiving the Notice of Complaint, the Subject may choose to submit a formal written response (the “Response”) or schedule a hearing before the Board, which will generally be by teleconference unless the Subject requests an in-person hearing and the Board determines that an in-person hearing is necessary. Barring emergency circumstances, such hearing must occur, or Response be received by the Board, within 30 days from the date of the Notice of Complaint. After such hearing or receipt by the Board of the Response, or, if the Subject does not submit a Response or request a hearing within 30 days from the date of the Notice of Complaint after good faith efforts by the Board to make contact with the Subject, barring emergency circumstances, the Board will discuss and vote on a proposed sanction. An affirmative vote by no fewer than two-thirds of the Board members who are present at the time of a vote and who are not Conflicted Members, if a quorum is present at such time, is required to sanction a member or terminate membership.

The Board must notify the Subject of its decision and any sanction(s) (the “Notice of Decision”) within 14 days of the hearing, of the Board’s receipt of the Response, or of the close of the 30-day period from the date of the Notice of Complaint, whichever is applicable. Upon receipt of the Notice of Decision, the Subject shall have 14 days to appeal the Board’s decision by writing to the Review Committee with reasons for the appeal, which must include new evidence or extenuating circumstances. If the Subject does not so appeal, such decision by the Board and any sanction(s) shall be deemed to take effect as of the date of the Notice of Decision. If the Subject does appeal, the Review Committee will investigate the appeal and make a recommendation to the Board, within 14 days of the Review Committee’s receipt of such appeal, to uphold, amend, or remove the sanction(s). Upon receipt of the Review Committee’s recommendation, the Board shall determine whether to amend or remove the sanction(s). An affirmative vote by no fewer than two-thirds of the Board members who are present at the time of a vote and who are not Conflicted Members, if a quorum is present at such time, shall be required to amend or remove the sanction(s). If the Board does not vote to amend or remove the sanction(s), the Board’s decision and any sanction(s) set forth in the Notice of Decision shall stand. The Board shall notify the Subject of the Board’s decision on the appeal (the “Notice of Decision on Appeal”) within 14 days of such Board vote. Such decision by the Board shall be final and shall take effect immediately upon the date of the Notice of Decision on Appeal.

The Board shall also notify (or direct the Administrator or Review Committee to notify) the Reporter of the status of the Complaint. The Board may, at its discretion, inform NASW members of the nature of any Complaint received and acted upon as the situation merits. For the avoidance of doubt, the proceedings of the Review Committee and the Board described in this document are confidential unless otherwise determined by the Board. NASW shall not prohibit the Reporter or the Subject from discussing the nature of any Complaint with others, unless NASW is doing so pursuant to a confidentiality agreement it entered into with the Reporter or the Subject, as applicable.