Findings Verification Committee (FVC)
The FVC shall be made up of no fewer than three (3) SAA members, at least one member elected by the Membership and the remainder of the committee is appointed by the Board of Directors. Committee members serve staggered three (3)-year terms. The Committee
shall be authorized to review Formal Complaints and shall be charged with recommending to the Board under Article IX, Section 4 of the SAA Bylaws whether Subject Individual should be barred from future SAA events.
The FVC is charged
by the Board of Directors with verifying credibility of evidence (principally the Findings), relevance of any Findings for event safety, and recommending to the Board whether a Subject Individual should be barred from attending the SAA Annual Meeting
or other SAA-sponsored events and for what period. In determining its recommendation, the FVC shall receive and review evidence that the Subject Individual has been found, by a court of competent jurisdiction or an administrative or regulatory body,
to have engaged in conduct or actions contrary to the ideals, objectives, and accepted standards of the Society as set forth in these Bylaws, Board policies, or the SAA Principles of Archaeological Ethics. The FVC shall not have the authority to independently
receive Formal Complaints, or to initiate its own inquiry or investigation with respect to any individual or group.
The FVC’s deliberations may include SAA Counsel, identified to it by the SAA President or Board of Directors.
FVC Report and Recommendation
Upon determining that the documentation underlying the Formal Complaint is sufficient, relevant to annual meeting safety, and credible, the Committee shall document its review and recommend to the Board whether the Subject Individual should be barred
from the SAA Annual Meeting and other SAA-sponsored events (“FVC Report.”) Copies of the FVC Report and recommendation shall be made available to the Complainant, the Subject Individual, and the Board of Directors.
The FVC has
authority to redact the Report and its recommendation to protect any identities, including that of the Complainant, should it determine it is prudent to do so.
Upon receipt of the FVC Report and recommendation, the Board shall review. In
cases where the FVC Report recommends action be taken against a Subject Individual, the Subject Individual will be provided the FVC Report and recommendation. The Subject Individual shall have 15 business days to respond.
Fifteen
(15) business days after providing the Subject Individual with the FVC Report or longer, the Board will then review the FVC Report and recommendation as well as any response from the Subject Individual and determine what action to take.
If an FVC recommendation to bar a subject individual is adopted by the Board of Directors, SAA Staff shall be directed to implement all appropriate administrative steps to ensure the Subject Individual is prevented from registering for or attending the relevant future SAA events, including the Annual Meeting. Such steps may include measures to identify and prevent the Subject Individual from onsite registration for the relevant SAA events and may involve asking registrants to provide identification when they pick up their badges.
Reconsideration
Subject Individuals against whom the SAA Board of Directors has barred from attending SAA events may request reconsideration (“Reconsideration”) as described below.
Foremost, the Meeting Safety Policy is designed
to protect the safety of Attendees at SAA meetings and events. Accordingly, the purpose of a Reconsideration policy is not to ‘allow’ Subject Individuals to return, but rather to ensure that the Board does not rely on arbitrarily set terms
of exclusion that could allow Subject Individuals to return without demonstrating their ability to conduct themselves in a way that does not hinder the safety of other Attendees. The success of a Reconsideration request requires the Subject Individual
to show—beyond a reasonable doubt—that they have taken appropriate and concrete steps to educate themselves about the impacts of their offending behavior and to change the underlying attitudes and behavioral patterns at issue.
Reconsideration requests must include a signed declaration from the Subject Individual of their fitness to return to active SAA annual meeting and event attendance and should explicitly and in detail identify steps taken (1) to understand
the impacts of their offending actions in the past and (2) to prevent involvement in future safety violations with any relevant evidence to support the request. Reconsideration requests should be authored by the Subject Individual, and the FVC will
not consider personal letters or character references unless they are from Threatened Individuals who disclose themselves as such in the supporting document. To avoid appearance of retaliatory behavior, however, the Subject Individual is advised not
to initiate contact with a Threatened Individual for such a letter. Thus, any letter from a Threatened Individual would need to explain that they are writing on their own volition.
A Subject Individual is not eligible for Reconsideration
until at least twenty-four (24) months have passed since the SAA Board action that established their exclusion.
The FVC is charged with evaluating Reconsideration requests and submitting its recommendation to the Board who will determine
whether to grant the Reconsideration.
Confidentiality and Records
Confidentiality
All matters falling under this Policy will be held strictly confidential and limited to a need-to-know basis within the SAA Board of Directors, FVC, Ombuds, SAA Staff, and SAA Counsel. Confidentiality shall be maintained in the interest of protecting
the Complainant and the Subject Individual against whom a Disclosure or Report is made.
Notwithstanding the confidentiality of any Disclosure or Formal Complaint, the identity of any individual or party to a Disclosure or Formal Complaint
may be made known on a need-to-know basis. It is understood that when an adverse determination is made against a Subject Individual, the identity of such Subject Individual will be disclosed on a need-to-know basis, to effectuate the intent of this
Policy.
Records
All SAA deliberations regarding any Disclosure or Formal Complaint, including but not limited to deliberations of the Ombuds, FVC, and SAA Board, shall be kept strictly confidential and destroyed by the Executive Director.
Register of Professional Archaeologists (RPA) Referral and Request for Investigation
The following process allows the SAA to work with the Register of Professional Archaeologists (“RPA”), a regulatory body for purposes of this policy, to handle referrals concerning potential misconduct (“Referral.”)
In some cases, an Advance Formal Complaint may be submitted to the SAA without a Finding. In other words, the Advance Formal Complaint does not include verifiable evidence that the Subject Individual has been found, by a court of competent jurisdiction
or an administrative or regulatory body, to have engaged in conduct or actions contrary to the ideals, objectives, and accepted standards of the Society as set forth in these Bylaws, Board policies, or the SAA Principles of Archaeological Ethics.
An Advance Formal Complaint may not include a Finding, either because no Finding has been made or because the Finding is sealed or otherwise unavailable.
In cases in which an Advance Formal Complaint lacks a Finding and in which Complainant
and the Subject Individual are SAA members, the FVC may make a Referral to the RPA. The FVC chair will work with the SAA Meetings and Membership Manager to ensure that the Subject Individual is a SAA member and that the Complainant is a SAA member
or a registered SAA event Attendee.
In the event that the FVC is unable to make a determination on the information presented in an Advance Formal Complaint based on the absence of a Finding, the FVC chair will offer the Complainant
the option to move to a next phase of review through the RPA’s Grievance Process, understanding that without the added review the FVC has concluded that it would not otherwise be able to recommend SAA action against the Subject Individual for
lack of a Finding relevant to the claim. In cases in which the Complainant is using a Third Party Advocate, the Complainant will have to be named in order to pursue the Referral process.
Once a Referral has been made by the Chair
of the FVC, the Formal Complaint will be forwarded to the RPA’s Grievance Coordinator for review under the RPA’s Grievance Process using the RPA’s Code of Conduct (outlined in the Memorandum of Understanding [MOU] between the SAA
Board and RPA Board). By forwarding the Formal Complaint, the SAA agrees to the terms of the RPA’s Grievance Process. The Complainant will be notified of this Referral by the SAA at the time that this has been done. If a Grievance Committee
is convened, that Committee shall follow the RPA’s Grievance Process and RPA notification procedures would prevail from this point forward. For non-RPA registrants, the highest level of action by the RPA shall be a Grievance Coordinator report
to the SAA FVC. For RPA registrants, the RPA may also take action independent of SAA.
The Referral will be evaluated by the RPA using its MOU with SAA. This process follows RPA’s procedures, available here [https://rpanet.org/about-grievance].
The decision to review or decline the Referral will be conveyed to the FVC chair consistent with the RPA’s procedures for making a determination of merit. Updates provided to the FVC chair will also follow the RPA’s procedures.
The RPA’s Grievance Coordinator will report their finding to the FVC. By accepting receipt of the RPA report, SAA agrees that any materials will not be shared beyond those who have a need to know. The RPA report will include:
●
Merit determination by the RPA Grievance Coordinator
● A report on the nature, scope, and gravity of any Finding
Pursuant the SAA Meeting Safety Policy, the FVC evaluates all Findings and then makes a recommendation to the SAA
Board of Directors regarding any action in response to the Finding. This does not preclude the RPA from taking action separately in instances in which the Subject Individual is also a Registrant. Any recommendation for action by the SAA shall be made
without regard to the RPA registration status of anyone under investigation.
Ombuds
Role
For each SAA Annual Meeting, the SAA will designate Ombuds (“Ombuds”) to serve as confidential resources for meeting Attendees. The primary duties of the Ombuds are (1) to work with meeting Attendees to explore and assist them in determining
options to help resolve conflicts, problematic issues, or concerns, and (2) to bring systemic concerns to the attention of the organization for resolution.
The Ombuds will operate in a manner to preserve the confidentiality of meeting
attendees who come to them, will maintain a neutral/impartial position with respect to the concerns raised, and are independent of formal SAA organizational structures.
Attendees who submit a Disclosure or Formal Complaint will be encouraged
to speak with the SAA Ombuds at the Annual Meeting as well. The Ombuds will explore with the Attendee ways to stay safe and ways to participate as fully as possible in the meeting. If a formal report has not been submitted by the Attendee (in cases
where a Disclosure has been made), the Ombuds may discuss the option of filing an Onsite Formal Complaint with the SAA as outlined in this Policy; a complaint with the Subject Individuals’ employing institution or local law enforcement; or a
grievance with the Register of Professional Archaeologists or another adjudicating body; along with exploring local, institutional, legal, and interpersonal options.
Scope
Activities and functions most frequently undertaken by an Ombuds include, but are not limited to:
● Listens and understands issues while remaining neutral with respect to the facts. The Ombuds doesn’t listen to judge or to decide who
is right or wrong. The Ombuds listens to understand the issue from the perspective of the individual. This is a critical step in developing options for resolution.
● Assists in reframing issues and developing and helping individuals evaluate
options. This helps individuals identify the interests of various parties to the issues and helps focus efforts on potential options to meet those interests.
● Guides individuals to deal directly with other parties, including the use of formal
resolution resources of the organization. An Ombuds often seeks to help individuals improve their skill and their confidence in giving voice to their concerns directly.
● Refers individuals to appropriate resolution resources. An Ombuds may refer
individuals to one or more formal organizational resources that can potentially resolve the issue.
● Assists in surfacing issues to formal resolution channels. When an individual is unable or unwilling to surface a concern directly, the Ombuds
can assist by helping give voice to the concern and/or creating an awareness of the issue among appropriate decision-makers in the organization.
● Facilitates informal resolution processes. An Ombuds may help to resolve issues between parties
through various types of informal mediation in cases where parties consent to this informal process.
● Identifies new issues and opportunities for systemic change for the organization. The unique positioning of the Ombuds serves to provide unfiltered
information that can produce insight to issues and resolutions. The Ombuds is a source of detection and early warning of new issues and a source of suggestions of systemic change to improve existing processes.
What an Ombuds does not do
Because of the informal, neutral, confidential, and independent positioning of an Ombuds in an organization, they typically do not undertake the following roles or activities:
● Participate in formal investigations or play any role
in a formal issue resolution process.
● Serve in any other organizational role that would compromise the neutrality of the Ombuds role.
● Receive notice for the organization.
● Make binding decisions or mandate policies.
● Create
or maintain records or reports of individual visitors and individual consultations for the organization.
For the SAA Annual Meeting, the Ombuds will not be archaeologists. The SAA Ombuds will be as visible as possible at the Annual Meeting
to be easily identified by meeting Attendees.
SAA Ombuds may, with the permission of the Attendees who come to them, make recommendations to the SAA President and Executive Director about specific actions that might enhance the safety and well-being of the individuals while at the Annual Meeting. In situations where the Code of Conduct is implicated, the SAA President and Executive Director shall advise the individual of the disclosure and reporting process outlined in Section IV below.
Ombuds will be on-site and accessible during the Annual Meeting and available by e-mail, phone, and for face-to-face meetings. Ombuds’ contact information will be published in all SAA Annual Meeting collateral materials (printed and
online), including on SAA meeting badges.
Any meeting Attendee may reach out to the SAA Meeting Ombuds. This is an independent, informal, and confidential process that enables attendees to discuss any matter of discomfort or distress. The
topic of concern may have occurred at an SAA event or elsewhere, or at any point in the past. Connecting with the Ombuds does not require identifying the individual against whom the report is being made (“Subject Individual”) nor naming
the Attendee to the Subject Individual(s) or to the SAA.
Ombuds visits are intended to explore creatively the range of legal, institutional, policy, and personal options and to discuss with the visitor benefits and disadvantages to help
the individual identify solution(s) that best support them.
While high-level data about the overall categories and types of issues will be shared with the Board by the Ombuds (in the interest of improving the meeting in the future), the
Ombuds will adhere to their obligation of confidentiality (unless the individual consents to disclosure), and no specific or identifying information will be shared with the SAA.
Visiting an Ombuds is not mutually exclusive with other processes
(e.g., Disclosure or Formal Complaint.)
Selection and Identification
The SAA Ombuds retained for the SAA Annual Meeting shall hold the CO-OP® certification from the International Ombudsman Association or possess the appropriate professional qualifications and experience to fulfill the obligations and duties as described
herein. At the SAA Annual Meeting, there shall be at least one Ombuds. If there are more than one (1) Ombuds, they shall be of different genders. The Ombuds positions will be filled by the SAA Executive Director after candidate interviews
have taken place with a panel made up of the SAA President or designee(s) and SAA Counsel. Upon selection, the SAA Annual Meeting Ombuds’ names and contact information will be published in all appropriate Annual Meeting collateral materials.
The SAA Ombuds will be as visible as possible at the Annual Meeting and be clearly badged as the “Ombuds.”
Documentation
The Ombuds will summarize for the Board within two (2) months of the Annual Meeting basic demographics and problem categories of those who utilized the service (without any identifying information) at the SAA Annual Meeting and will provide any feedback
and recommendations the SAA might wish to consider regarding future meetings.
EVENT CODE OF CONDUCT
SAA meeting participants involved in SAA activities and events are expected to conform to the principles and provisions of this Policy, the SAA Principles of Archaeological Ethics, and the RPA’s Code of Conduct (as outlined in the Memorandum of
Understanding between Register of Professional Archaeologists and SAA).
The following behaviors are prohibited at the SAA Annual Meeting and SAA events:
● Harassment of any kind, including sexual harassment, sexual assault,
and coercion
● Physical or verbal abuse, including bullying.
● Unwelcome comments and/or exclusionary behaviors related to an individual’s age, sex, gender identity and expression, perceived sexual identity, appearance or body
size, military status, ethnicity, individual lifestyle, marital status, sexual orientation, physical or cognitive abilities, political affiliation, race, religion, or nationality.
● Intimidation, stalking, or following.
For clarity,
harassment may include, but is not limited to, offensive jokes, slurs, epithets or name calling, unwelcome physical contact, or threats, intimidation, ridicule or mockery, insults or put-downs, offensive objects or pictures, interference with event
performance, or otherwise engaging in conduct that is severe or pervasive enough that a reasonable person would consider it harassing, hostile, or abusive. This includes, but is not limited to, sexual misconduct, bullying, intimidation, or retaliation.
.
Professional argument and disagreement, petty slights, annoyances, and isolated incidents (unless extremely serious) will not rise to the level of violation of the Code of Conduct, although any matter is eligible for confidential discussion
with the Ombuds.
Any Attendee who is required by their employer or by a legal process to refrain from certain behaviors or from contact with certain individuals is expected to adhere to those restrictions while participating in all SAA
activities. Violation of employer requirements and/or legal restrictions will constitute a violation of this Code of Conduct if disclosed or reported.
Prohibition against Retaliation
Retaliation is when someone penalizes another person for
● Reporting, or expressing an intent to report, what the person believes in good faith to be assault, harassment, or any conduct prohibited by the SAA as stated herein.
● Assisting
another in reporting assault or harassment, or any conduct prohibited by the SAA.
● Participating in any SAA inquiry, review, or investigation pertaining to misconduct
● Having previously reported assault, harassment, or misconduct, and/or
having participated in an inquiry, review, or investigation, whether the potential violation occurred at SAA or elsewhere.
SAA strictly prohibits retaliation to ensure that SAA event participants feel comfortable coming forward with their
concerns without fear of reprisal. Any person who engages in retaliation in violation of this Policy will be subject to barring or expulsion from SAA events, possible termination of membership, and will be ineligible for any future support or awards
from the SAA. Violations of retaliation policy may be subject to other disciplinary actions, including SAA Board rescission of any awards or honors.