IEEE Policies

7.11   Procedures for Member Conduct Complaints

Part A - The Complaint.

1. Submission of Complaint.  The Ethics and Member Conduct Committee considers only those complaints, delivered by traceable mail (i.e. courier services such as FedEx, DHL) to IEEE, c/o Corporate Activities, 445 Hoes Lane, Piscataway, NJ 08854.  Complaints should be addressed to the Chair, Ethics and Member Conduct Committee.
   
   
2. Form and Contents of Complaint.  The complaint shall be in the form of an affidavit, typewritten, notarized, and signed by a member of IEEE in good standing.  The complaint shall include: 
   
   

   a)	the name and address of the IEEE member(s) whose conduct is the subject of the complaint;
   b)	a statement which sets forth with reasonable specificity the alleged conduct of the IEEE member(s) which is alleged to constitute a material violation of the Constitution, Bylaws, or Code of Ethics of IEEE or conduct which is seriously prejudicial to IEEE;
   c)	the specific provisions of any documents described in Part A.2(b) which the conduct is alleged to have violated;
   d)	the name and address of the person(s) believed to have knowledge pertaining to the subject of the complaint;
   e)	the identification and location of any documentation or materials upon which the complaint in whole or part, is based; the complaint may be accompanied by any materials or documentation which are thought to be relevant to the Committee’s consideration and review;
   f)	a statement declaring that the person submitting the complaint will be present at any hearing at which the complaint is considered upon the written request of either the Ethics and Member Conduct Committee or the IEEE member charged in the complaint.

   
   
3. Timeliness of Complaint.  No complaint shall be accepted or considered by the Ethics and Member Conduct Committee if based upon conduct alleged to have occurred more than two years prior to the date on which the notarized complaint is received,except that with respect to alleged acts of plagiarism, no complaint shall be accepted or considered by the Ethics and Member Conduct Committee if based upon acts of plagiarism alleged to have occurred more than ten years prior to the date on which the notarized complaint is received.
   
   The Chair shall return such complaints to the submitter without further distribution.
    
4. Acknowledgment.  The Ethics and Member Conduct Committee Chair, or his/her designee, shall acknowledge receipt of the complaint. 
   
   
5. Distribution.  Concurrent with the acknowledgement, copies of the complaint shall be distributed to the Committee members.  No other distribution or duplication of the complaint shall be made, except the Committee may copy (1) IEEE legal counsel, and (2) the IEEE member(s) charged, only if a proceeding is instituted against the member(s).

  Part B - Review of the Complaint.

1. Preliminary Investigation.  
   
   

   a)	The Ethics and Member Conduct Committee shall have a maximum of ninety days, from the date the Chair acknowledges receipt of the complaint, to consider, investigate, and prepare the Report on Preliminary Investigation.
   b)	The Preliminary Investigation shall be limited to a determination of the complaint, if true and capable of being proven would constitute a material violation of the IEEE Constitution, Bylaws or Code of Ethics or conduct seriously prejudicial to the IEEE. This may involve interviewing the complainant, ascertaining whether there are witnesses or documents to corroborate the allegations, and determining if certain conduct is permissible.
   c)	During the period of investigation, the Ethics and Member Conduct Committee may contact the member charged when, it has determined that such contact shall aid the investigative process. In such cases the complainant shall be notified of the committee’s action. The Ethics and Member Conduct Committee shall follow these procedures when contacting the member charged: All communication shall be in writing. The member charged shall be provided with a copy of the full complaint. The committee shall, by action, agree on the specific information to be requested. The member charged shall be given 30 days from the date the request for information is received to respond in writing. The member charged shall be notified that IEEE will not reimburse expenses incurred in the preparation of the response. Information provided by the member charged shall remain confidential and shall not be shared with the complainant unless a hearing board is convened. The EMCC shall inform the complainant that the member charged is being contacted for information. Should the complainant disagree or request that no such action be taken the case shall be terminated.
   d)	During the period of its investigation, the Ethics and Member Conduct Committee, acting on its own behalf or through ad hoc committees appointed by and under the direction of the Chair of the Ethics and Member Conduct Committee, may seek relevant information from IEEE staff, members and others as may be appropriate to the nature and contents of the complaint.  Such relevant information as may be obtained shall be reduced to writing and included in the case file.
   e)	During the Committee's investigation, the contents of the complaint, identity of the persons involved and the scope of the Committee's inquiry shall remain undisclosed to the extent practicable, consistent with the need for information and expeditious review.  If the identity of any person complained against is disclosed during the Preliminary Investigation, the person or entity to whom such disclosure was made shall be notified of the complaint's final action.
   f)	Final action shall mean either the termination of the complaint by the Ethics and Member Conduct Committee or the final action of the Board of Directors.

  Part C - Findings of the Ethics and Member Conduct Committee.

1. Report of Findings.  The Ethics and Member Conduct Committee must determine whether a reasonable basis exists for believing that:
   
   

   a)	the facts alleged in the complaint, if proven, constitute cause for expulsion, suspension, or censure of the member(s) charged; and
   b)	the facts alleged in the complaint can be proven.

   These findings shall be made in writing by the Committee, dated and signed by its members. These findings shall be the Committee's "Report on Preliminary Investigation".
   
   
2. Termination of the Investigation.
   
   

   a)	The Ethics and Member Conduct Committee, upon determination that there is not a reasonable basis for believing both that the facts alleged in the complaint constitute cause, and that the facts can be proven, shall conclude its investigation.
   b)	Notice of the Committee action to terminate the complaint shall be sent by traceable mail to the complainant from the Chair, and shall include a copy of the Report on Preliminary Investigation.
   c)	The Committee shall reconsider or review its findings only upon receipt of newly discovered information which by due diligence could not have been discovered at the time the complaint was filed. The complainant shall have ten business days following service of notice to provide such information.
   d)	The Committee shall have a maximum of 60 days, from the date the Chair acknowledges receipt of newly discovered information, to reconsider its decision. If the Committee affirms the findings contained in its Report on Preliminary Investigation terminating the matter, no further reconsideration shall be granted.
   e)	The Committee may, at its discretion, decline to undertake another preliminary investigation that pertains to the same or substantially similar conduct, or subject matter, involving the person(s) charged in the initial complaint.

3. Other Reasons for Termination. The Ethics and Member Conduct Committee, may terminate a preliminary investigation if:
   
   

   a)	there is any disclosure or publication of the complaint or its contents by the complaining party before the Ethics and Member Conduct Committee has concluded its Report of Preliminary Investigation. In such event, the Committee may remit the complaint to the initiating party and the Chair shall notify the Executive Committee of its actions.
   b)	the complainant fails to respond to a written request for further information within 45 days following receipt of such request.
   c)	the complainant has initiated legal proceedings, which are based upon the same or related circumstances underlying the complaint.

4. Affirmative Findings.
   
   

   a)	Upon an affirmative finding, the Chair shall advise the President, by transmittal of the Report on Preliminary Investigation, of the Committee's decision and request the date, place and time at which the complaint shall be presented to the Hearing Board.
   b)	The date selected by the President shall be chosen to permit service of notice on the IEEE member(s) to be charged at least ninety days prior to the date set for hearing the matter and shall not be more than six months following receipt by the President of the Report on Preliminary Investigation.
   c)	The Ethics and Member Conduct Committee Chair shall serve notice, by traceable mail, on the IEEE member(s) to be charged.  The notice shall include: (1) the time, place and date of the hearing (2)   the date by which the member(s) charged shall notify the Committee Chair whether the member will attend the hearing in person, or be presented by a person authorized by the member (3) a copy of the complaint (4) the Report on Preliminary Investigation. (5)   notice that any materials for the presentation, intended for submission by the member(s), be received by the Committee Chair for distribution to the Hearing Board twenty days in advance of the hearing date.
   d)	Materials that are to be a part of the Ethics and Member Conduct Committee’s presentation to the Hearing Board, shall be distributed to both the Hearing Board members and the member(s) charged fifteen days in advance of the hearing date.
   e)	Any persons appearing before the Hearing Board on behalf of either the Ethics and Member Conduct Committee or the member(s) charged, shall present written authorization for their appearance.

Part D - Hearing Board; Procedures.

1. Hearing Board Members.
   
   

   a)	Appointment. The IEEE President, with the concurrence of the Executive Committee, shall appoint no fewer than five and not more than nine IEEE voting members, not currently serving on the IEEE Board of Directors, to serve as the Hearing Board to hear the presentations by the Committee and by the IEEE member(s) charged. The IEEE President with the concurrence of the Executive Committee shall at the same time appoint alternate members, designated as first alternate and second alternate, to serve as may be required.
   b)	The member charged shall be notified of the appointment and membership of the Hearing Board.
   c)	The Hearing Board shall select one of its members to be the Chair of the Hearing Board who shall preside over the hearing and prepare their findings and recommendations.
   d)	The Hearing Board, by majority vote, shall disqualify one or more members, if warranted to assure impartiality.  Any member may disqualify himself or herself in like circumstances.
   e)	A member charged may request disqualification of Hearing Board members in writing to the Hearing Board Chair. Such request shall be made at least three weeks prior to the date of the hearing.

2. Procedure at the Hearing.
   
   

   a)	The session shall be in confidence.
   b)	Alternate forms of meeting (i.e., teleconference) shall be allowed if agreed to by both parties.
   c)	A sound recording shall be made of the hearing.
   d)	All recordings and written materials presented to the Hearing Board shall be filed with the Staff Secretary of the Board of Directors.
   e)	The Hearing Board Chair shall convene the session and shall be the final authority in any matters relating to procedures and administrative functions of the hearing.  The hearing shall include: (1) Opening instructions by and at the discretion of the Hearing Board Chair; (2)  Opening statements by the Ethics and Member Conduct Committee and the member charged; (3)  Presentation of evidence by the Ethics and Member Conduct Committee; (4)  Cross-examination by the member charged; (5)  Presentation of evidence by the member charged; (6)  Cross-examination by the Ethics and Member Conduct Committee; (7) Closing statements by the Ethics and Member Conduct Committee and the member charged; and (8) Conclusion/adjournment by the Hearing Board Chair.

3. Appearance of Member Charged.
   
   

   a)	Failure to Make Presentation.  In the event that the member charged or the authorized representative fails to appear on the hearing date, the Hearing Board may either act upon the presentation submitted by the member or the matter may be considered at the discretion of the Hearing Board, on a subsequent date.
   b)	Notice of Postponement. The Chair of the Hearing Board shall notify the member(s) and the Committee, by traceable mail, of the new date, time and place for such postponed hearing.  The notice shall be given within such period as the Hearing Board determines to be reasonable under the circumstances.  Failure of the member(s) or the authorized representative(s) to appear on the new hearing date shall not be cause for further delay of the Hearing Board's final action.  If the member charged failed to submit a presentation, the Hearing Board shall act upon the presentation of the Committee.
   c)	Postponement or Delay.  The length of postponement or delay of hearing or final action by the Hearing Board shall be discretionary; provided, however, no delay or postponement approved by the Hearing Board shall operate to extend the final action of the Hearing Board beyond six months from the date on which the hearing procedure was initiated.

Part E - Deliberation and Findings by Hearing Board.

1. Deliberation of Cause & Sanctions.  Upon conclusion of the hearing, the Board shall convene in executive session to consider the evidence presented for cause and sanctions. The Hearing Board shall determine, on the basis of the evidence presented, whether the conduct in question:
   
   

   (1)	constitutes a material violation of the Constitution, Bylaws or Code of Ethics of IEEE; or
   (2)	is seriously prejudicial to IEEE.

   The determination of whether to expel, suspend or censure a member charged shall be made by the Hearing Board based on the severity of the wrongful conduct of the member charged, the extent to which IEEE's interests were prejudiced as a result of such conduct, and other factors which the Hearing Board considers relevant in the circumstances of the particular case.
   
   
2. Findings.
   
   

   a)	The Hearing Board, after resolving these issues in executive session, shall be reconvened for the purpose of recording the ballots and the final action taken pertaining to the issue of cause for censure, suspension or expulsion.
   b)	If the Hearing Board finds cause, it shall concurrently record its vote and determination on the issue of censure, suspension or expulsion. A finding that a member charged's conduct constitutes cause for censure, suspension or expulsion shall require the affirmative vote of two-thirds of the Hearing Board members.
   c)	The Hearing Board, should it find cause, shall make a recommendation to the Board of Directors as to whether the identity of the member charged should be included in any notification to the membership.

3. Final Hearing Board Action; Notice.
   
   

   a)	The Hearing Board, acting through its Chair, shall prepare its findings, and determinations or recommendations, in writing, including any opinions or statements from individual members of the Hearing Board.
   b)	Final Hearing Board action shall comprise the recorded ballots and findings made in writing on the issues of cause and sanction.
   c)	Notice of final Hearing Board action shall be served, by traceable mail, on the IEEE member(s) charged, the IEEE member(s) initiating the complaint, the Chair of the Ethics and Member Conduct Committee, and the IEEE Board of Directors.  The notice shall include the record of the final action by the Hearing Board.  The Chair of the Hearing Board shall serve notice within five business days of the date on which the Hearing Board takes its final action.
   d)	Within thirty days of the receipt of the notice of the final action of the Hearing Board by the Board of Directors, the Executive Committee shall notify, by traceable mail, both the member(s) charged and the Chair of the Ethics and Member Conduct Committee of the date on which the Board of Directors will review the Hearing Board’s final action.
   e)	Within thirty days of the receipt of the notice of final action, the member(s) charged may submit, in writing, such comments and recommendations to the Board of Directors as they deem relevant to that Board's deliberations.

Part F - Board of Directors; Sanction, Publication.

1. Sanction by Board of Directors.  A director who has signed the complaint against the IEEE member(s) is disqualified to vote.  Any other director may disqualify himself on his own motion or be disqualified by vote of plurality of the Board members voting on the question of sanction.
   
   
2. Final Action by the Board of Directors (On Review of Hearing Board Decision).
   
   

   a)	If the Hearing Board's findings for cause or sanction imposed are not sustained by the required vote of the Board of Directors, the Board shall make its own findings as to cause and sanction.
   b)	The Board of Directors, if it sustains the Hearing Board's findings as to cause, may reduce, but shall not increase, the sanction determined by the Hearing Board.
   c)	Final action by the Board of Directors shall comprise the recorded ballots and findings made in writing on the issues of cause and sanction.

3. Publication of Final Action by Board.
   
   

   a)	The Board at its discretion may notify the membership of IEEE of its final action and the final action by the Hearing Board.
   b)	Any such publication or notice to the IEEE membership shall be issued through the office of the IEEE Executive Director.