ENFORCEMENT OF THE CODE OF ETHICS

I. PURPOSE

1. Enforcement of the Code of Ethics of the Association is not punitive in nature. The purposes to be served by enforcement of the Code of Ethics are as follows:

1. To educate both the individual accused and membership in general of the ethics of the profession and the importance of ethical behavior.

2. To advise the criminal justice system of those individuals who engage in serious unethical activity, in order to promote the ends of justice.

3. To protect the reputation of the Association from those members who may engage in unethical activity.

2. In every consideration of a charge of ethical misconduct the distinction must be made between unethical behavior and an honest difference of opinion.

1. It is not unethical to disagree with one's peers, even if one's peers are more experienced, provided there is an adequate basis for the opinion.  It may be unethical to express an opinion for which one does not have an adequate basis because:

1. The individual is not competent to express such an opinion because of a lack of proper education, training or experience; or

2. The individual has not acquired the data necessary to justify the conclusion; or

3. the individual is basing his opinion on improper or discredited data.

II. SANCTIONS IMPOSED FOR ETHICAL VIOLATIONS

1. The sanctions which may be imposed by the Association for violation of the Code of Ethics are as follows:

1. Private reprove. The Accused is privately admonished for the violation. This sanction can be imposed only by the Board of Directors. The general membership will not be advised of the identity of the Accused.

2. Censure. The Accused is publicly censured. This sanction can be imposed by either the Board of Directors or, by the general membership of the Association.

3. Expulsion. The individual is expelled from the Association and publicly censured. This sanction can be imposed by either the Board of Directors or by the general membership of the Association.

2. It shall be considered proper for any member to inform any interested person of a sanction of censure or expulsion imposed upon any member. It shall not proper to divulge the fact that a member has been privately reproved except to a member of the Board of Directors, a member of the Ethics Committee or the reproved member.

3. By holding membership in the organization, a member is deemed to have acquiesced to the Code of Ethics and to these procedures. It will therefore be deemed proper for the Ethics Committee to continue an investigation involving a resigned member if the complaint initiating the investigation was received by the President prior to that member's resignation, and for the Board of Directors to act on the recommendation of the Ethics Committee.

III: CONSIDERATIONS DETERMINING THE PROPER SANCTION TO BE IMPOSED

The sanction to be imposed upon a member for an ethical violation will be determined based upon the following factors:

1. Whether an injustice in the criminal justice system would likely have resulted from such unethical behavior. It shall not be a defense that no injustice actually did occur in the specific case, if an injustice was likely to have occurred.

2. Whether the individual had previously been disciplined for ethical violations by this or a similar association.

3. Whether the conduct exhibited a flagrant disregard for ethical considerations or was merely an exercise of bad judgment.

4. Whether the conduct was an isolated incident or was part of a pattern of continuing unethical conduct.

5. Whether the Accused expresses regret and remorse for his conduct.

6. Whether the Accused has been honest and open with the Ethics Committee in its investigation.

IV. PROCEDURE FOR ETHICS INVESTIGATION

1. An Ethics Committee composed of three members shall be appointed by the Board of Directors.

1. None of the members of the Board of Directors shall serve on the Ethics Committee.

2. Each member of the Ethics Committee shall serve for a period of three years, their terms being staggered. The most senior member of the Committee assumes the Post of Chairman in the last year of this three year term. If a member's term on the Ethics Committee ends while the Committee is investigating one or more ethical violations, that member shall remain on the Committee for the duration of those investigations, but shall not be involved in any investigation other than those pending at the end of this term. The Board of Directors shall appoint that member's replacement who shall serve on the Ethics Committee, but will not take part in any investigation pending at the time of his appointment.

3. If a member of the Ethics Committee resigns from that Committee or from the organization, the Board of Directors shall appoint a member to serve the remainder of this term.

4. In the event the Chairman may be unable to or otherwise fails to discharge his/her duties, because of a conflict of interest, etc., it is incumbent on the Chairman or other members of the Committee to notify the President. Under such circumstances either the next most senior member of the Ethics Committee or a previous Ethics Committee Chairman will be appointed Chairman by the President to conduct a new investigation or to complete an ongoing investigation.

5. Determination of the manner of investigation and of investigative assignments within the Ethics Committee shall be the responsibility of the Chairman.

6. It is desirable to have geographic distribution of the members of the Ethics Committee.

2. Initiation of the Investigation

1. A complaint of ethical violation must be submitted in writing to the President. A complaint sent to an officer or member other than the President shall be forwarded immediately to the President and shall not be officially deemed received by AFTE until it is received by the President. ("President", as used herein, shall mean that person then serving as President or such person who shall assume the duties of the President in his absence.) The President shall immediately forward (by certified mail--return receipt requested) the complaint to the Chairman of the Ethics Committee for evaluation.

2. A complaint, while it need not be in any particular format, must refer to facts and circumstances as specifically as possible, and if the complainant is an AFTE member, to the section or wording of the AFTE Code of Ethics which has been violated (as interpreted by the complainant) and his/her reasons for concluding that a violation was committed. Any supporting documents should be attached as well.

3. The evaluation/investigation of the complaint shall be conducted according to the guidelines and within the timetables set forth in these Procedures for Ethics Investigation. The principal responsibilities of the President and Ethics Committee Chairman in these procedures are stated herein.

3. Evaluation of Complaint(s)

1. It shall be proper for the Chairman of the Ethics Committee to contact the Complainant in order to clarify a complaint.

2. If a complaint does not, in the Chairman's opinion, constitute a potential ethical violation he may discontinue its further consideration, provided that he first obtains the written concurrence of the President and the First Vice President in such discontinuation. The person making this complaint shall be advised in writing (by certified mail-return receipt requested) within thirty days of the discontinuation and the reasons) therefore.

3. Within fifteen days from receipt of the Notice of Discontinuation, the complainant may send to the President a written, signed request for appeal from this decision. This appeal shall be heard by the Board of Directors within thirty days following receipt of it. The following procedures shall be followed during this thirty day period.

1. The President shall convene the Board of Directors in order to consider the propriety of the complaint and accompanying Notice of Discontinuation; for the purposes of this paragraph, the President may "Convene" the Board of Directors by poll, in such manner as he deems appropriate.

2. Members of the Board of Directors must vote on the Notice of Discontinuation by responding in writing to the President. If two-thirds of the total membership of the Board of Directors vote to overrule the Notice of Discontinuation, the complaint shall be forwarded to the Ethics Committee for investigation. A vote of less than two-thirds of the total Board of Directors membership is a denial of the appeal.

3. The President shall advise the Complainant in writing (by certified mail--return receipt requested) of the Board of Directors' decision.  A copy of the decision shall be sent to Ethics Committee members. There shall be no right of appeal or of reconsideration by any person whomsoever from this decision.

4. Referral to the Ethics Committee

1. The Chairman of the Ethics Committee will review the complaint and determine what other material or documentation is required. Investigation will be initiated within 30 days of all Committee members receiving all pertinent materials provided that a Notice of Discontinuation has not been issued. If a Notice of Discontinuation has been issued and successfully appealed, the Chairman of the Ethics Committee will initiate an investigation within seventy-five days of receipt of the original complaint by the President.

2. The Chairman of the Ethics Committee receives complaints of unethical conduct from the President, prepares a "notice of referral" for distribution and sends it (registered mail--return receipt requested) to the Accused, Complainant, President and other Ethics Committee members. All registered mail sent to the Accused shall be sent "restricted delivery" to addressee only.  The "notice of referral" need not be in any particular format, but shall contain the following: (1) the entire text of the original complaint; (2) indication that the complaint is under "investigation" by the Ethics Committee; (3) the apparent Ethics Code section(s) involved; (4) an invitation to the Accused to provide the Ethics Committee with any written statement or other documentation which the Accused might deem appropriate within thirty days from receipt of the "notice of referral" and (5) a specification of the date (which shall be no more than one hundred eighty days from the date the complaint is distributed unless extensions are granted) by when the Chairman shall forward the Report of Investigation to the President.  The Accused shall also be sent a copy of the AFTE Ethics Code, Ethics Code Enforcement Procedures and a flow chart illustrating the enforcement process.

3. Upon receipt of the response from the Accused, or thirty days from the date of the receipt of the "notice of referral" by the Accused, whichever occurs first, the members of the Ethics Committee shall confer to discuss and investigate the charges.

4. If all members of the Ethics Committee deem it necessary for the purpose of a thorough investigation, they may appoint another member of the Association who is located in close geographic proximity to the Accused to assist them in the investigation. Any such person so appointed shall have the duty to investigate on behalf of the Committee, but shall have no vote on any action taken by the Committee.

5. If two members of the Ethics Committee deem it to be warranted, the Committee shall request an interview with the Accused.

1. Such an interview should be requested for the purpose of clarification and/or possible resolution of the charges. It should not be undertaken to solicit admissions of guilt from the Accused.

2. The Accused shall have no right to counsel at such an interview, but if the Accused refuses to attend such interview, no adverse inference shall be drawn from that refusal.

6. If, during its investigation, the Ethics Committee uncovers an additional incident(s) which it feels would warrant a complaint on ethical violations, the Committee on its own motion shall make such a complaint.

1. The Committee shall send the Accused and the President an amended "notice of referral" describing the new complaint and all supporting documents within fifteen days of the decision to issue the new complaint.

2. The Ethics Committee may immediately investigate such a complaint without awaiting response from the Accused.

3. All such instances of possible violations shall be consolidated into one investigation.

7. The investigation conducted by the Ethics Committee shall be impartial.

1. The Ethics Committee shall investigate all reasonable points raised by the Accused in his defense. The Accused may make requests of the Ethics Committee to investigate certain claims or to obtain certain documents.

2. If the Ethics Committee feels that any request by the Accused is unreasonable, it shall not be obliged to comply. It shall, however serve on the Accused in a timely fashion, a notice that it refuses to comply, giving the reason for its refusal to do so.

3. While a complaint is under investigation by the Ethics Committee, the complaint shall not be discussed by any member of the Board of Directors or the Ethics Committee except as their official duties might require.

4. AFTE members interviewed should also refrain from discussing the nature of the interview(s) with anyone other than Ethics Committee members.

5. When a request is made by the Ethics Committee, acting in its official fact-finding capacity, it shall expect every member to assist the Committee to the extent that the member is reasonably able to do so.

5. Report of Investigation

1. The Chairman of the Ethics Committee consults with the President and prepares a Report of Investigation; distributes it to the President and the Accused so that it can be sent to all other members of the Board of Directors prior to its being considered at their next meeting; and presents it to the Board of Directors meeting called by the President for that purpose. The Report of Investigation should be reviewed by the other Ethics Committee members before submission to the President and must contain the Ethics Committee's conclusions as to whether or not a violation of the Code has occurred. Any dissenting opinion may be included, at the discretion of the dissenting Ethics Committee member. The Report must be completed within one hundred eighty days of the date the "notice of referral" was sent to the Accused unless written extension has been obtained from the President.

2. The Ethics Committee Chairman also prepares an addendum to the Report containing any questions raised by the Board of Directors along with the Ethics Committee's response to these questions. Any addenda will be distributed by the Ethics Committee Chairman to all members of the Board of Directors and the Accused.

3. The report of investigation should be a report of the Ethics Committee finding only, but the investigation information collected should be retained as part of the files but not included as part of the report of investigation. This information shall contain the following in separate sections: 1) a summary of each purported ethical violation (with specific reference to applicable Code of Ethics Sections) investigated; 2) facts in support of each complaint; 3) facts in contravention of each complaint; 4) a listing of the names of all persons contacted by the Ethics Committee (including addresses and telephone numbers); 5) a listing of and copies of supporting documents and exhibits (if any) possessed by the Ethics Committee; 6) a listing of and location of other documents and exhibits (if any) referred to by the Committee during its investigation; and 7) a chronology of events such as interviews, continuances (with reason[s] why), the receipt and distribution of documents, requests made by the Accused and whether or not they were honored (with the reason[s] why), etc.

4. The Report of Investigation shall be comprehensive in detailing pertinent facts and topics discovered by the Ethics Committee, notwithstanding the extent to which, if at all, such facts or topics were addressed in the complaint.

5. The Report of Investigation shall address itself to each charge against the Accused and shall contain a conclusion as to whether the charge(s) is (or are) founded or unfounded.

6. Statements from persons interviewed by the Ethics Committee should be in the form of "Affidavits" whenever possible. Affidavits underscore the importance of statements made and help pinpoint issues. Further questions to Affidavit authors, by the Board or Accused, should also be answered through the use of Affidavits.

7. The Report of investigation shall be sent to the President within the time limits heretofore specified and shall be signed by the Chairman. A copy of the Report shall be sent to the Accused by certified mail--return receipt requested) no later than fifteen days prior to the meeting of the Board of Directors during which the report will be considered.

6. Consideration of the Report

At the next meeting of the Board of Directors, the report of the Ethics Committee shall be considered.

1. The Board of Directors may evaluate the Report of Investigation and determine by a two-thirds vote that the incidents) reported on has (have) been dealt with in a constructive manner and as such causes it not to require the application of additional procedures of the Procedures for Enforcement of the Code of Ethics. It shall then issue a "Notice of Procedural Termination of the Allegation" signed by the President, to the Accused and further consideration of the Allegations shall terminate forthwith. There shall be no right of appeal or of reconsideration by any person whomsoever from this decision.

2. If the charges have been determined by the Ethics Committee to be unfounded, no further action by the Board of Directors shall be deemed warranted, except that a letter shall be addressed to the complainant and to the Accused, advising them that the complaint has been investigated and deemed unfounded.

3. If any of the charges have been determined by the Ethics Committee to be founded, the Accused shall have a right to a hearing before the Board of Directors. In the event of such a hearing, the following apply:

1. The burden of proof lies with the Ethics Committee to substantiate the charges.

2. The quantum of proof shall be the same as required in civil cases.

3. The Chairman of the Ethics Committee will assist the Accused in arranging for the presence of witnesses at the hearing, will present the Committee's report and associated evidence to the Board of Directors at the hearing, and will prepare and deliver a summation on behalf of the Ethics Committee at the hearing.

4. At any time prior to the date of the hearing, upon written request to the Chairman of the Ethics Committee, the Accused shall be supplied with copies of the names (and last known address and telephone number) of all persons contacted by the Ethics Committee during the investigation, copies of all documents (including affidavits or declarations) obtained by the Ethics Committee during the investigation and a specification of the last known location of all other documents or things examined by the Ethics Committee during its investigation that have not already been provided as attachments to the Report of Investigation. Such written requests shall be honored by the Chairman as soon as possible following the receipt thereof. Requests for discovery such as this shall be honored, in a spirit of openness and fairness, whenever practical to do so.

5. The rules of evidence shall be the same as those generally used in administrative hearings.

6. The Accused shall have the right to be represented by counsel of his choosing.

7. An AFTE legal advisor shall be made available to the Ethics Committee in order to explain, clarify or monitor procedures.

4. 4. If the Accused waves his right to be present at such a hearing, the Board of Directors shall consider the report of the Ethics Committee, and may entertain any other evidence. The Board of Directors shall then make its own determination as to whether the charges are founded.

1. If the Board of Directors determines that the charges are unfounded, it shall take no further action except to notify the Accused of its determination and to notify the complainant that the matter has been disposed.

2. If the Board of Directors determines that the charges are founded, it shall then determine the proper sanction. The determination of the Board of Directors as to the proper sanction shall be Considered final in all cases except the following: a recommended sanction of private reprove, the Accused member does not appear before the Board of Directors, and the Board of Directors determines that a greater sanction is warranted, the Accused will be served notice of the proposed action of the Board of Directors, and the matter will be continued to the next meeting of the Board of Directors.

7. The Accused shall have the absolute right to appeal the decision of the Board of Directors for a new hearing before the general membership at its next meeting.

1. If the Board of Directors meeting which determined that the charges were founded and determined the sanction is one held in conjunction with the general membership meeting, the Accused must give notice to the President or Acting President by personal delivery of his desire for an appeal within twenty-four hours of the Board of Directors' determination. If the determination was made at any other meeting of the Board of Directors, the Accused must give notice to the President of his desire within fifteen days of the Board of Directors determination.

2. No one other than the Accused has the right to appeal the determinations made by the Board of Directors.

8. Any appeal from the determination made by the Board of Directors shall be heard before the general membership of the Association at its next business meeting, but in no event shall it be heard less than thirty-six hours after the determination by the Board of Directors. In the hearing before the general membership of the Association, the rules of representation by counsel remain the same as before the Board of Directors.

9. The report by the Ethics Committee need not be unanimous; the Committee may act upon the vote of any two members in determining whether the charges are founded or unfounded, or the appropriate sanction to be imposed. If there is a dissenting member of the Committee, he may file a separate dissenting report.

10. After all of the evidence has been heard at a hearing before either the Board of Directors or the general membership, a vote shall be taken by secret ballot to determine whether the changes are founded. A vote of three-fifths of those members voting is necessary to determine that the charges are founded.

11. If the charges have been determined to be founded, a vote shall then be taken by secret ballot to determine the proper sanction.

1. Before the Board of Directors, a vote shall be taken to determine whether the member shall be expelled. A vote of three-fourths of the members voting will be necessary to expel the Accused. If less than that majority is obtained, a vote shall then be taken to determine whether the member shall be censured. A vote of two-thirds concurring is necessary to censure a member. If less than that number is obtained, the member sha11 be privately reproved.

2. Before the general membership, a single vote by secret ballot shall be taken to determine whether the member shall be expelled. If less than three-fourths of members voting vote for expulsion the member will be censured.

12. As used in these procedures, serving notice will be done by mail, by which a document may be served by addressing an envelope (by certified mail--return receipt requested) to the person to be served at his last known address, affixing first-class postage and depositing it in the United States mail. Any notice served by mail sent in this manner shall be considered effective five days after the date of mailing.

13. Notification of Results to Membership

1. Following the disposition of the case by the Board or the membership (in the event of an appeal), a summary of the facts and sanctions, if any, in each case be prepared for the Board by the Chairman of Committee and distributed to the membership. Specific names, places and like identifying information will not be included, except at the written request of the Accused, in the summary of a case were the Board determines that an ethics violation has not occurred but shall be so included where the Board or membership has determined that an ethics violation has occurred.

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Copyright © 2001 Association of Firearm and Tool Mark Examiners (AFTE).
All rights reserved.  Revised: October 24, 2002.