Code of Conduct FAQ - Respondent

What to Expect from the NSS Code of Conduct Process as the Respondent

Code of Conduct Page

This document lays out the process and steps that will occur if you are named as a Respondent in a Code of Conduct Incident report submitted to the National Speleological Society (NSS). 

Being named as a Respondent means that a Code of Conduct Incident Submission has identified you as having potentially violated the NSS Code of Conduct. This does not mean that any conclusions have been reached by the NSS. 

The NSS recognizes that being named as a Respondent can be stressful, and the process is designed to be fair, consistent, and respectful of everyone involved.

You will receive an initial email from the Primary Investigator, who will be looking into the incident submission. This will be a member of the NSS Code of Conduct Investigative Team. They will be your primary point of contact during the process and can answer any questions you may have. Also, all incident submissions are forwarded to NSS General Counsel. From the beginning, all submissions and their investigations are under the direct control of the General Counsel for the Society and are attorney-client privileged.

Once a review begins, the Primary Investigator will typically: 

  1. Provide you with a written summary of the incident submission.
  2. Contact you to document your account of the incident.
  3. Contact other individuals who may have relevant information. 
  4. Conduct follow-up outreach as needed
  5. Consult with the Code of Conduct Team and prepare recommendations, if any, for NSS responses.
  6. Notify both the Complainant and Respondent of the outcome. 

Code of Conduct reviews take some time as they involve getting information from multiple individuals. We aim to complete code of conduct reviews within 10 weeks and will keep you updated of any delays as the process proceeds. More complex reviews may take more time as will Board action if any.

Why am I being Contacted?

The NSS received a Code of Conduct Incident Submission that names you as a Respondent and alleges that you violated the NSS Code of Conduct. This is the start of the process, no decisions or conclusions have been reached.

What should I expect next?

The Primary Investigator assigned to review the incident submission will reach out to you. Communication may occur by phone or email. They can answer any questions you may have.

Is this a legal or disciplinary process?

No. The process is not legal or punitive; it is intended to protect the community and prevent future harm.

Who knows about this within the NSS?

Information from reviews is limited to the Investigative Team of the NSS Code of Conduct Team. Incident submissions are also forwarded to NSS General Counsel. From the beginning, all submissions and their investigations are under the direct control of the General Counsel for the Society and are attorney-client privileged. If needed, information will be shared with the Executive Director. Additionally, if the NSS response includes disciplinary actions that require a Board vote, then information about the incident and individuals involved will be shared with the Board.

The internal-side of the NSS membership database (only accessible by membership volunteers and employees) will be updated with information in cases where disciplinary action is taken against a member, such as banning them from NSS events, suspension or revocation of their NSS membership, or other action. NSS volunteers and employees may need to be informed of this change in membership status. This generally will be limited to the action taken and that individual’s name on a need-to-know basis. The Code of Conduct Team and Executive Director will determine whether notifications are needed and coordinate the effort.

Who will the NSS tell outside the organization?

The NSS does not inform outside organizations or individuals about its Code of Conduct Incident Submissions or reviews within the NSS. The exception to this is that the NSS Code of Conduct Team may report incidents to law enforcement under recommendation of the NSS General Counsel or when there is a duty to report. 

Am I required to participate?

Participation is expected. A refusal to engage may be considered by the Code of Conduct Team when evaluating the available information. Being a member of a community means making good faith efforts to ensure an environment that allows members to pursue NSS mission statement objectives. Respondents will be provided timelines to respond, schedule an interview, etc. to encourage timely resolution.

How does the NSS decide what action to take?

The NSS decides what action to take based on a good-faith review of the available information, using a preponderance of available information (what is more likely than not), not a legal burden of proof.

Key factors include:

  • Impact on the NSS community and risk of future harm
  • Severity and context of the behavior
  • Credibility and consistency of the information provided
  • Whether the conduct appears isolated or part of a pattern
  • Jurisdiction and relevance to NSS activities
  • What response is proportionate and protective, not punitive

Actions are chosen to prevent further harm and support a safe, functional community, and may range from no action to formal disciplinary measures, depending on what is necessary and appropriate under the Code of Conduct.

What actions have been taken by the NSS in the past?

To protect confidentiality, the NSS does not generally publish outcomes from particular incident submissions. However, historically the NSS has taken actions that fall within these general categories, depending on the circumstances:

  • No Action.
  • Referral to Internal Organization.
      1. For cases where an Internal Organization (grotto) has primary responsibility or relevant authority, the matter may be referred to them, consistent with the NSS Code of Conduct.
  • Explanation of Expected Behavior to primary parties.
      1. For minor Incidents or when the Incident information is uncertain, a Code of Conduct Team member, the Team Chair, the Executive Director, or the Chair of the Board of Governors may contact the Respondent to clarify expected behavior and community standards. 
      2. These conversations are intended to promote a welcoming environment without assigning blame but to prevent future potential harm. 
      3. Respondents should acknowledge their understanding of the expectations communicated. 
      4. A lack of engagement or refusal to participate in such discussions may be considered by the Code of Conduct Team in future reviews.
  • Suspension from NSS Events or Volunteering.
      1. This requires a Board of Governors’ vote. 
      2. The suspension may be temporary or indefinite, and the duration will be documented in the Final Report.
      3. The NSS membership database will be updated to reflect this action.
  • Removal of NSS member’s Good Standing.
      1. This sanction requires a Board of Governors’ vote. 
      2. This sanction may impact an individual’s ability to vote in NSS elections, hold certain volunteer positions, or run for the NSS Board of Governors. 
      3. This sanction may impact grotto-level status, if referenced in a grotto’s bylaws.
      4. The NSS membership database will be updated to reflect this action.
  • Suspension or removal of an individual's NSS Membership.
    1. This sanction requires a Board of Governors’ vote. 
    2. This action may be for a fixed term or indefinite and results in the loss of all NSS membership privileges, including participation in NSS activities and access to member benefits. This includes interacting with or being involved with NSS online activities, social media, etc.
    3. The NSS membership database will be updated to reflect this action.

In all cases, actions are chosen to be proportionate and protective, focused on preventing future harm and supporting a safe, respectful NSS community, and not chosen based on punishment.

What if the conduct happened outside NSS activities?

The Code of Conduct applies to all NSS members, volunteers, and participants in NSS programs, events, and activities. The review focuses on how conduct impacts the NSS community. The NSS does not have authority over conduct outside of the NSS’s programs, events, or activities, including interactions within other organizations like grottos. For this reason, grottos are required to maintain their own Code of Conduct or formally adopt the NSS Code of Conduct in order to maintain NSS affiliation. 

To protect confidentiality, the NSS does not act on behalf of or communicate decisions to outside organizations. The NSS does not publish outcomes from particular incident submissions, and does not share the outcomes with others unless actions against members may need to be shared internally, on a need-to-know basis, with NSS volunteers, event staff, front office staff, the NSS Board of Governors, or others, as appropriate. The membership database will be updated to reflect if there are suspensions or changes to membership status.

Will I be told the outcome?

Yes. You will be notified when the review concludes, but details may be limited to protect confidentiality.

How long does the process take?

The NSS aims to resolve Reviews of Incident Submissions within 10 weeks but more complex reviews may take more time. Board action may also delay conclusion.

When will I receive updates?

You should expect periodic communication, generally at least every few weeks, even if there are no major updates.

Can I submit additional information?

If you have additional information outside of your initial submission, please send it to the Primary Investigator when they contact you.

Can I appeal the decision?

A Respondent may request an appeal by asking the Executive Director to review the completed Code of Conduct Incident Review. The Executive Director’s decision following such a review is final.

For disciplinary actions that require a Board of Governors vote, the Executive Director will review the completed Incident Review before it is submitted to the Board. If the Board of Governors votes to impose a disciplinary action, that decision is final and is not subject to further appeal or reversal by the Executive Director.

There is no further appeal beyond the processes described above.

Reconsideration of a concluded review may occur only if materially new information becomes available that was not reasonably available during the original review. Reconsideration may be initiated only by the Chair of the Code of Conduct Team or the Executive Director.

Glossary of Code of Conduct Terms

Code of Conduct Incident Submission

A formal NSS Code of Conduct Incident submission, done through conduct.caves.org, that initiates an Incident Review by the NSS Code of Conduct Investigative Team.

Complainant

The individual who submits a Code of Conduct Incident report to the NSS.

Incident Review

The good-faith process conducted by the NSS Code of Conduct Team to assess an Incident Submission at conduct.caves.org.

NSS Incident Response

The actions, recommendations, or outcomes determined by the NSS in response to an Incident Review. These are intended to protect the community and prevent future harm.

Primary Investigator

The Code of Conduct Team member assigned to coordinate the Incident Review, including information gathering, communication with involved parties, documentation, and preparation of the final report.

Respondent

The individual(s) identified in a Code of Conduct Incident Submission as having potentially violated the NSS Code of Conduct.

Supporting Witness

An individual who provides relevant information related to an Incident Submission but is not the Complainant or Respondent.