AIPG Definitions

(Revised January 12, 1991)
"Geology" is the science that treats of the earth and its origin and history, in general; the investigation, including collection of specimens, of the earth's constituent rocks, minerals, fossils, solids, fluids including surface and underground waters, gases and other material from the center of its core to the outer limits of its atmosphere; the study of the earth; and the application and utilization of this knowledge of the earth. The knowledge and principles of geology are also applied to extraterrestrial bodies. "Professional geological work" is application of the principles, theories, laws, and body of knowledge encompassed in the science of geology at an advanced and skillful level requiring education, experience, and the capability of interpretation and evaluation.

"Geologist" a person who, by reason of his knowledge of geology acquired by education and practical experience, is qualified to engage in the practice of geology.

A "Professional Geologist" is a geologist who has accumulated a minimum of five (5) years' post-baccalaureate experience in the practice of geology as a vocation; and, who has a sustained record of adherence to exemplary standards of professional and ethical conduct.

"Practice of Geology" is the performance of geological service or work including but not limited to consultation, investigation, evaluation, planning, mapping, and inspection of geological work, and the responsible supervision thereof. A person shall be construed to practice or offer to practice geology, within the meaning and intent of this definition, who practices any branch of the profession of geology; or who by verbal claim, sign, advertisement, letterhead, card or in any other way represents himself to be a geologist; or through the use of some other title implies that he is a geologist; or who presents himself as able to perform or who does perform any geologic services or work recognized by the Executive Committee of the Institute as the practice of geology.

AIPG Policy Regarding State Registration & Licensing Of Geologists

(Adopted October 6, 1989)
AIPG believes that its certification of professionals by their peers as to their competence and ethical behavior is to be preferred as the most effective available means to protect the public health, safety, and welfare. Self-regulation is the most desirable form of certification and regulation of professional practice.

However, AIPG recognizes that there are jurisdictions in which self-regulation provides no legal standing, thus adversely affecting the geologists' ability to practice their profession to effectively protect public health, safety, and welfare. If the Certified Professional Geologists in such a jurisdiction find that the protection of the public health, safety, and welfare requires the statutory regulation of geologists, AIPG will support efforts to assure sound and reasonable statutory regulation appropriate to the conditions of that jurisdiction.

As the national organization of professional geologists, AIPG further recognizes the need for and advocates uniformity of standards so that the mobility of geologists will not be impeded, and so that their varied skills may be available throughout the nation.

AIPG Policy On Specialty Certification/Registration

(Adopted August 23, 1990)
Every Certified Professional Geologist should be competent to meet the basic geologic needs of the client or employer; to recognize those situations in which additional specialized knowledge, skill and/or experience is required; and to recommend appropriate consultation when the interest of the client, the employer or the public are thereby best served.

No Professional Geologist should perform professional services or issue professional advice which is outside the scope of the education and experience of that geologist.

Specialty certification should be an addition to, rather than a substitute for, certification as a Professional Geologist. Specialties and their definitions are constantly evolving and changing. A specialty definition which is valid when propounded may become inadequate or inaccurate with the passage of time. Old specialties change, new specialties appear, and boundaries become blurred.

Specialties should be organized, defined and administered by those who practice in the field, i.e. the specialty technical societies, e.g., American Association of Petroleum Geologists, Association of Engineering Geologists, Association of Groundwater Scientists and Engineers, etc. They should not be defined or administered by statute or by government regulation.

Therefore, AIPG believes that the administration of geological specialties is most appropriately accomplished solely through recognized certification programs sponsored by technical societies on a purely voluntary basis as a means of identifying competence in a specialized field of geology following establishment of basic qualifications through certification under AIPG and, where necessary, applicable state laws.

AIPG Policy On Environmental And Multidiscipline Registration And Certification

(Adopted January 25, 1992)
To the extent that States require licensed individuals to perform environmental services, licenses should be issued on a discipline, rather than a multidiscipline, or cross-discipline, basis.

AIPG encourages the development of national certification programs for other disciplines, e.g., chemistry, toxicology, etc.

AIPG does not recommend or support any of the current multidiscipline certification, licensing or registration programs.

AIPG will consider support of certification programs that

A. are national in scope or are uniform state programs;
B. effectively protect the public;
C. require appropriate credentials;
D. assure adequate understanding of a body of knowledge
necessary to perform the certified function;

E. require adequate working experience in the field being certified; and

F.confirm the established integrity of the certified individual.

AIPG does not support certification, licensing or registration programs that are merely a list of persons who have stated that they offer certain services with no certainty that their qualifications to offer those services have been verified.

AIPG Policy On Environmental Investigations & Audits

(Adopted January 12, 1991)
AIPG's position is that environmental investigations and audits should be performed by those best qualified. Thus, the geologic portions of environmental investigations and audits should be performed by geologists who are qualified to do so by appropriate training and experience. Federal and State laws which govern such investigations and audits should reflect this philosophy.

AIPG Policy On Appraisals Of Mineral & Related Interests

(Adopted January 12, 1991)
AIPG's position is that appraisals of interests in real or personal property should be performed by those best qualified. Thus, appraisals of mineral, or other geologically related, interests should be performed by geologists, or in some cases engineers, who are qualified to do so by appropriate training and experience. Federal and State laws which govern such appraisals should reflect this philosophy.

AIPG Policy On The Clean Water Act

(Adopted January 20, 1996)
The American Institute of Professional Geologists believes that water quality throughout the nation must be protected and in many areas restored. The framework established under the Clean Water Act has enabled the Federal, state and local governments, working in concert with industry, to make progress towards cleaner water. Further, the Act has served to promote recycling and reuse of substances that might otherwise be discharged into the nation's waters. The Clean Water Act of 1987 should be extended and funded to restore and protect our nation's waters. We believe that flexibility in determining the most beneficial and cost-effective treatment of wastewater is the most efficient incentive. Water conservation should be encouraged.

AIPG Policy On The Safe Drinking Water Act

(Adopted January 20, 1996)
In 1974 Congress passed the Safe Drinking Water Act which required the Environmental Protection Agency (EPA) to establish drinking water standards and monitoring requirements to ensure Americans that public water systems deliver safe drinking water. In 1986 Congress amended the Safe Drinking Water Act to accelerate EPA's standard-setting procedures and establish a monitoring program. The U.S. Environmental Protection Agency was required to issue regulations for 83 contaminants in 3 years and 25 new contaminants every year thereafter. The 1986 amendments also required surface water to be disinfected and filtered and groundwater to be disinfected, significantly increasing compliance costs. The American Institute of Professional Geologists believes that, in determining national standards for water quality, Congress should direct EPA to base its standards on scientifically sound principles for protection of human health. The ability of EPA to require water systems to test for additional contaminants must consider the human health risk posed by the contaminant. Congress must eliminate specific numbers goals for identification of new contaminants in drinking water. It is the role of EPA to establish scientifically sound standards which will assure safe drinking water for every citizen in the nation, and human health should be the basis for any contaminant program.

AIPG Policy On Ground Water

(Adopted January 20, 1996)
Ground-water contamination is growing in alarming proportions. Ground-water withdrawals have increased four-fold in the past 50 years. To prevent further deterioration of ground-water supplies and ground-water quality, the American Institute of Professional Geologists believes that ground-water planning and management is necessary to preserve this precious resource. Ground-water planning and management should be coordinated. Ground-water policy should be built upon existing Federal, state and local laws and management techniques. Any policy should recognize the diversity of hydrologic, climatic, economic, legal and social factors within various states and regions. Concerted water conservation programs should be encouraged. Interstate compacts or agreements will be necessary to resolve interstate disputes.

AIPG Policy On National Water Resources

(Adopted January 20, 1996)
The National Water Resources Policy which has evolved over the last 30 years exists today as a cumbersome and poorly coordinated effort to manage our nation's water resources. Jurisdiction for Federal water projects is scattered throughout agencies of the Federal government and committees of Congress. The American Institute of Professional Geologists sees a need for clearer, more coordinated and more consistent Federal policies. These policies should recognize and build upon constitutions, statutes, policies and programs of the states as a fundamental basis for a national effort towards better water resource management. The role of the government is to establish a framework of national objectives for the protection, management, restoration, development and use of water and related resources to meet national economic, environmental and social objectives and to assist in implementing such actions with state and local governments. There must be continuity in support of water management programs. There must be flexibility in the entire support system for water resource planning and management. National policy must be flexible enough to accommodate both environmental and economic differences which vary by region.

AIPG Policy On The Use Of Professional Seals

(Adopted January 20, 1996)
The American Institute of Professional Geologists (AIPG) recognizes that the purpose of a professional seal or stamp, including the electronic image thereof, is to authenticate geological documents prepared by or under the supervision of the person whose seal is used. Geological documents include any document or illustration, paper or electronic, resulting from professional service or supervision of professional service, where such service requires the application of geological principles or data. The "Certified Professional Geologist" and other professional seals or stamps should be applied only to those documents for which the person whose seal is imprinted takes full professional responsibility. If more than one person accepts responsibility, the document should bear the signature and seal of each and a notation indicating the portion(s) of the document for which each accepts responsibility.

AIPG recommends legal proscriptions against the making of changes to a document sealed by a professional geologist. If changes are required, either a new document incorporating the changes shall be prepared, or an addendum noting the changes shall be made. Each document, original, new, or addendum, is the professional responsibility of the document's author(s).

AIPG Position On Mergers Between The United States Geological Survey And Other Government Agencies

(Adopted January 20, 1996)
AIPG supports the principle of integration of, and communication amongst, all scientific disciplines so as to provide for appropriate interaction and coordination between their practitioners; both in scientific endeavors and in the determination of national policy.

Further, AIPG enthusiastically supports the original mission of the United States Geological Survey and encourages the maintenance and expansion of the activities of the Geological Survey in ways which are consistent with this mission.

AIPG looks favorably upon such mergers, when mergers between the United States Geological Survey and other government agencies that add scientific expertise, enhance the Geological Survey's ability to fulfill its historic mission, and do not adversely affect the operation of the Geological Survey.

AIPG Annual Meeting Policy

(Revised January 14, 1995)

A. Annual Meeting Objective

The objective of the Institute's Annual Meeting is to:

Conduct the official Annual Business Meeting of the Membership.
Provide a forum for the incoming/outgoing Advisory Boards, Committees, etc. to aid the Executive Committee in its decisions.
Provide a program for continuing education by means of speakers, workshops, and courses.
Provide for the opportunity to recognize Members for their service to the Institute and/or profession.
Provide a forum for Members to interact and exchange ideas.

B. Bids by Sections to Host Annual Meeting Host Sections are selected by the Executive Committee three years in advance. Any Section of AIPG wishing to host the event may offer to do so by writing the President and/or the Executive Committee. Receipt of proposals shall be no later than September 1st of the year in which the selection is to be made.

The Bylaws of the Institute require that an Annual Meeting will be held. The Sections are aiding the Institute by undertaking this responsibility. The Institute will advance to the Host Section, upon written request, up to $5,000. The Institute does not agree to underwrite any losses that exceed this amount. By bidding to host the AIPG Annual Meeting, a Section indicates its willingness to accept the risk, to take the full responsibility for all financial transactions and to bear all losses (over $5,000), and by so doing to take any excess of income over expense. However, for the privilege of hosting the Annual Meeting, the Host Section will pay to the Institute a license fee of 20% of the income in excess of expense which remains after repayment of any advances received. If the Host Section received advanced financial support and there is an excess of income over expense, the Institute shall be reimbursed for the amount of the advance, to the extent of such excess.

All proposals to host the Annual Meeting received from Sections will be reviewed by the Executive Committee. A selection will be made at the final quarterly Executive Committee meeting of the year. The Section selected will be promptly notified and agreements and arrangements will be officially confirmed via a letter to the Section President from the Institute. All proposals to host the Annual Meeting will include one or more firm proposals from the prospective host hotel(s), along with the Section's recommendation as to the priority order of choices among them and the rationale behind that recommendation.

C. Date and Site The designated Host Section may select the date, city, and facility for the Annual Meeting. The Host Section will insure in its meeting date, city, and facility that there will be no conflict with other geological society meetings that would compete for and/or detract from attendance.

The geographical location of the Annual Meeting should be reasonably accessible by air and ground transportation.

Within 18 months of the date of the meeting, the Host Section should provide the Executive Committee with written confirmation of: (1) the agreed-upon dates and location (city and hotel) and, (2) the name of the General Chairman. The Annual Meeting Steering Committee should consist of the General Chairman, Vice Chairman, Technical Program Chairman, Arrangements Chairman, and a Spouses Program Chairman.

D. Financial Arrangements The Host Section General Chairman will, no later than 12 months before the event, submit a proposed schedule of social events, speakers, educational activities, etc., together with a tentative budget of proposed expense and estimated income, to the Executive Committee for consideration and approval.

Any and all contractual agreements in connection with the Annual Meeting (including the hotel contracts) are to be made in the name of the Host Section. The properly designated official of the Host Section is to sign the contracts.

The Institute's Bylaws state: Article 7, Paragraph 7.2.1 Operations: "No Section shall have the power to bind or make statements on behalf of the Institute by its action without specific written authority from the Executive Committee or the President."

The Host Section Treasurer will be its Annual Meeting Committee Treasurer. Responsibility for that financial function may not be split. The Section Treasurer is clearly legally responsible for all its financial transactions, including the Annual Meeting if it hosts one. Such responsibility may not be delegated to another. In particular, a separate "Annual Meeting" checking account should not be opened by the Host Section.

The Host Section may solicit financial contributions for the meeting in the form of advertisement, funding of "ice breakers" and other activities such as field trips and sports, e.g., golf, tennis. The contributions shall be received only from those companies or persons who are directly associated with the field of geology. Any and all contractual obligations which, individually or collectively, result in potential obligations exceeding $5,000 must be approved in writing by the Executive Committee of the Institute or by its authorized representative(s).

E. Publicity and Promotion The Program Chairman should submit Annual Meeting publicity items to the Editor for use in TPG throughout the year. Headquarters will handle national publicity, advertising and promotion, and news media coverage for the event, as requested by the Host Section.

F. Meeting Registration Forms Meeting and hotel registration material forms will be mailed to all Members by the Host Section. Headquarters will provide mailing labels when requested. The hotel reservation and meeting registration forms should be mailed to the Membership at least 90 days in advance. Arrangements may be made with the Editor to include the meeting forms in TPG.

G. Responsibilities of the Host Section General Chairman The liaison between the AIPG Executive Committee and the Host Section will be the Host Section AIPG Annual Meeting General Chairman. He or she may be invited to attend meetings of the Executive Committee and, in any event, will submit written reports to the Executive Committee on meeting plans and progress.

AIPG Policies For Book Publishing

(Adopted January 20, 1996)

I. Types of Books Published by AIPG Proceedings

Proceedings of meeting symposia/sessions
Prepared camera- ready (author typed manuscripts), usually 8.5" x 11" pages, sometimes soft cover, sometimes hard cover. For some proceedings, the symposium/session organizing committee has established a review procedure. Some are indexed.

Monographs
Single-topic publications, generally by one to four authors. Peer reviewed. Directed to students or practicing professional geologists. Soft cover, 5.5" x 8.5". Prepared camera-ready (author-typed manuscripts). Examples: Appraisal of Construction Rocks; The Professional Geologist As An Expert Witness.

Manuals
Single-topic publications, for guidance of AIPG Student Chapters, Districts, Sections, National Officers and Committees, and Headquarters personnel. Prepared camera- ready. Usually 5.5" x 8.5", soft cover. Examples: Bylaws & Code of Ethics; Education for Professional Practice; Student Chapter Operations Manual; Section Officers' Manual.

Textbooks
Single or multiple topic publications designed and written for teaching purposes. Peer reviewed. Prepared camera-ready or typeset. Usually 8.5" x 11". Soft or hard cover. Usually indexed. May have a companion slide set. Examples: Technical Writing as a Process Within a System.

Public Service Symposia
Single or multiple topic publications, well illustrated with color photos and graphics, usually of 36 - 100 pages, 8.5" x 11", by one or more authors. Peer reviewed. Designed and written for the purpose of informing the non-geologist citizen or government officer. May be used as a textbook. May have a companion slide set. Prepared camera-ready or typeset, soft or hard cover, usually indexed. Example: The Citizens' Guide to Geologic Hazards.

"Issues & Answers" Series
Single topic, well illustrated with color photos and graphics, publications by one or more authors. Peer reviewed. Soft cover, 8.5" x 11". Designed and written for the purpose of informing the non-geologist citizen or government officer. May be used as a supplementary textbook. Prepared camera-ready or typeset, with a glossary and references. Examples: Ground Water; Hazardous Waste; Radioactive Waste.

Short Course (Continuing Education) Notes
Single topic course notes prepared by the Instructor(s) for presentation in continuing education courses. Prepared camera-ready. 8.5" x 11", soft cover or looseleaf. May include a glossary and references. Availability may be limited to those who actually enroll in the course. Examples: Operations Management; Marketing & Contracts; Planning & Control; Management of Organizations.

Miscellaneous
Publications not appropriate for other classifications. Examples: Policy statements (individual, or as collections of related policies); Honors and Awards Booklets; Instructions to Authors; Guide to a Successful Job Search.

II. Proposals Proceedings
Proposals for symposia are generated by a group within the Institute (e.g., a Section, Annual Meeting Committee, Education Committee, etc.) or by an outside group.

Requirements: Proposers indicate size of book (5.5" x 8.5", 8.5" x 11", etc.), number of papers (chapters), minimum and maximum length of papers (e.g., 10-20 pages), number of persons who would be interested (potential market size), and deadlines they expect to meet, and any page contribution payments which they expect to arrange. A content outline must accompany proposals for Proceedings. It is recommended that the proposers consult with the Publications staff and Institute Editor when the proposal is considered.

Monographs, Textbooks, Public Service Symposia & "Issues & Answers" Series
Proposals for monographs, textbooks, public service symposia, and "Issues & Answers" series are generated by an individual or group of authors, or by the Editor.

Requirements: Proposer(s) submit an outline, naming the Author(s) and the Compiling Editor, and indicating the purpose, the approximate number of pages, the target market, the potential market size, and deadlines they expect to meet, and any page contribution payments which they expect to arrange. Payments by contributors will be acknowledged in the publication.

Manuals and Miscellaneous
Manuals and Miscellaneous publications usually are proposed by, or within, the Executive Committee. These publications may be prepared by a member of the Headquarters staff, a committee appointed for the purpose, or by a consultant working under the direction of Headquarters.

III. Approval & Acceptance
All publication proposals must be approved and accepted by the AIPG Editor or, if beyond his cost-approval authority, by the AIPG Executive Committee. All galleys (or proofs) must be approved by the AIPG Editor prior to publication.

AIPG Section Relations

(Revised April 21, 1988)
Sections of the Institute are not independent entities, but rather each is an integral part of the AIPG, a single, united organization. Section Requirements

The following operational and financial requirements are placed on Institute Sections by the Executive Committee:

Operations

Sections are subject to all AIPG Bylaws provisions.

Sections are encouraged to support and promote, or to oppose, passage of any state or federal legislation or regulation that affects geologists, the profession of geology, or the welfare of the public. Such actions shall comply with the AIPG policy on advocacy.

Sections shall operate on the same fiscal year as the national AIPG.

The election and installation of Section officers shall coincide with those of the National officers of the Institute.

The AIPG Executive Committee has the authority and the obligation to remove from office any Section officer who does not uphold and properly adhere to the Institute's Bylaws and policies.

The Section President shall submit an annual report to the National Secretary which will summarize Section activities. The report is due on or before March 1 of the following calendar year.

No Section is to schedule a meeting on a date conflicting with any national meeting of the Institute.

Finances

All Section financial resources are the property of AIPG. Sections and Section treasurers are only authorized to manage the funds for the Institute.

All Section financial accounts will be controlled and maintained by the Section Treasurer, as authorized by the National Treasurer, under the name of "American Institute of Professional Geologists-(Respective) Section."

Section treasurers shall keep an accurate accounting of all Section income and expenses. Any money taken in as income or disbursed as expense by the Section must go through the Section checking or savings account.

Sections may not incur debt beyond the assets of the Section.

Sections shall not undertake any fund-raising activity without the express permission of the AIPG President or the National Executive Committee.

Section annual dues amounts must be approved by the AIPG Executive Committee.

Section treasurers shall prepare and submit a year-end Section financial accounting (annual expense/income) on the proper IRS form summary to the National Headquarters. The report is due on or before April 1 of the following calendar year. A Section's dues will not be sent out until this report is received by Headquarters.

AIPG Policy On Advocacy

(Adopted July 12, 1986)
AIPG is an association of professional geologists organized in part to strengthen the geological sciences as a profession. Individual Members of the Institute share a collective sense of responsibility to assure that geological research and expertise are made available to benefit all mankind. AIPG encourages its Members to exercise their personal sense of responsibility and values in individually addressing current political and social issues.

In addition, the Institute through its elected officers and Executive Committee may act on issues that affect the public health and safety or the geoscientific community, and establish policy positions consistent with results from a poll of its Members. Policy positions adopted by the Institute will be consistent with its unique position as an objective source of information, analysis, and opinion for the full spectrum of the geosciences.

Accordingly, the following policies will guide AIPG when it speaks on public issues.

The Institute has a responsibility to its Members to adopt positions of advocacy on public issues involving the geological sciences or their application to public issues. Such advocacy will be based solely on the merit of each issue and the needs of the public.

To the extent that the understanding and application of geology is relevant to public policy, AIPG will offer to make information available to all parties interested in the issue.

The Institute will not take or advocate public positions in its name on judgmental issues that extend beyond the professional practice of geology.

Public positions adopted by AIPG and statements issued on its behalf must be based on sound evidence and must reflect the opinions of its Members, consistent with an appropriate poll of Section or Institute Members.

Methods and Choices for the Institute to Provide Information AIPG may provide input into the legislative process in a variety of ways which are described below. The President and/or the Executive Committee will consider the appropriateness of each option in each individual case.

Option 1: AIPG-endorsed testimony
This is an official opinion based on a review, endorsement, and poll of Members or Sections. It may be presented:

In person by an officer or official representative of the Institute, or

In written form.

Option 2: AIPG may arrange for testimony, written or oral, to be given by a knowledgeable Member in his or her own name.

This can be accomplished through the President, Section presidents or the Governmental Affairs Committee. One or more qualified Members may be selected to present a statement or testimony. Such expert testimony is useful in providing a government body with factual data from a reputable source and does not commit the Institute to endorsement of the testimony.

Because this option can be quickly arranged, it may be used by the Institute in response to requests for expert testimony. The Member presenting testimony may be asked to state that his or her appearance: "Has been arranged by the American Institute of Professional Geologists, but that AIPG does not necessarily endorse or sponsor these remarks." Option 3: AIPG may join with other interested groups in development and presentation of testimony about matters of mutual concern.

AIPG may take joint action with or endorse a position of other scientific or professional societies.

An officially-designated representative of AIPG, working with similarly appointed persons from other societies, may agree to a jointly-developed statement on some issue.

Quality vs. Quantity of Responses
Because of the volume of proposals for legislation and agency regulations each year, it is impractical and counterproductive for AIPG to attempt to address every bill that has implications for geologists. The Institute finds it more productive to review the merits of pending issues, prioritize in order of significance to the geoscience community, and concentrate its efforts on those policies of greatest impact. The opinions of Sections must help guide these efforts.

AIPG Screening Policy For Applicants

(Revised January 14, 1995)
Introduction The American Institute of Professional Geologists has, as its unifying purpose, the goal to strengthen geology as a profession. Each member of the Institute must qualify for membership on the basis of sound education and a record of experience performed in accord with high standards of competence and integrity. The Institute establishes qualifications for granting the title "Certified Professional Geologist" and certifies to the public that those geologists who hold this title have undergone peer review and have been deemed competent practitioners who are worthy of public trust.

In order to assure that the maximum information is obtained for this review, the Institute publishes the name, address, and sponsors for each applicant in its monthly publication The Professional Geologist. The Institute invites members with knowledge of the applicant to contact Headquarters in writing with such information. Comments received are then added to the application package and considered during the review process.

The careful screening of applications reflects the Institute's obligation to the general public. The decision to accept an applicant for membership constitutes an endorsement and recommendation of that individual's competence and credentials. AIPG's ability to properly serve the public, and the resulting acceptance by that public of AIPG, requires strict maintenance of the reputation and integrity of the Institute's certified Members. Moreover, the success of the Institute depends on the quality of its Members.

General Delineation of Responsibility The ultimate responsibility for acceptance or denial of an application lies solely with the National Executive Committee of AIPG. However, in order to expedite the conduct of the Institute's business affairs, the AIPG National Executive Committee delegates authority to its National Screening Committee, as described below.

The National Screening Committee is empowered to accept those applicants whose documentation clearly indicates that they fully meet the requirements set forth for AIPG certification. The National Screening Committee is further empowered to reject applicants who do not provide satisfactory evidence that they have fulfilled the requirements set forth in the Institute Bylaws, Screening Procedures, and this Screening Policy.

The National Screening Committee, in turn, delegates to the Institute's Sections the task of initially reviewing those applications received from their respective geographic areas.

Should one or two national reviewers question an applicant's qualifications for certification, the application will be referred to the National Executive Committee for a final decision.

Applicant information received by AIPG will be considered confidential. Application materials will be divulged only to those directly involved in review of that particular application.

Section Screening Guidelines Each AIPG Section shall have a Screening Committee whose Chairman is appointed by the Section President. Committee Members are usually recruited by the Chairman. Like all other Section committee chairmen, he or she reports to the Section President.

The purpose of screening at the Section level is to investigate the qualifications of the applicant, to confirm the accuracy and ensure the sufficiency of the documents submitted by the applicant. Although the recommendation of the Screening Committee will be considered by the National Screening Committee, the decision to accept or reject an applicant will be made at the National level.

Section Screening Committee Members, in carrying out their responsibilities, will be covered under the Institute's liability insurance policy and the indemnification clauses of the Institute's Articles of Incorporation.

AIPG Policy On Applicant Sponsors

(Revised January 25, 1992)
Relation of Sponsors to Applicant Relatives may be the individuals who best know an applicant on a personal basis. However, despite all efforts to be objective, such relatives maybe biased in their professional judgment of the applicants. Therefore, sponsors for an applicant may not be immediately related by blood (i.e., first cousins or closer) or marriage to the applicant.

The Chairmen and Members of the Section Screening Committees may not act as sponsors for AIPG applicants that will be reviewed within their section. The Chairman of the National Screening Committee may not act as a sponsor for AIPG applicants. Members of the National Screening Committee may act as Sponsors for AIPG applicants, with the stipulation that they may not review the application. If appropriate, Members of Screening Committees may verify geological work experience of applicants.

Relation of Sponsors to Each Other When an application is received by Headquarters on which all of the sponsors are from the same company or organization, or whose only contact with the applicant came from the same project or company experience, then Headquarters at its own initiative or at the request of a Section Screening Committee Chairman, shall ask the applicant to furnish sponsor forms from at least one sponsor not connected with the same company or organization. If the applicant is unable to obtain such an additional sponsor, he or she may submit a letter explaining why this is so. In such cases the Section Screening Committee may personally interview the applicant prior to approving or disapproving the application.

Individuals, while applicants of the Institute, may not serve as sponsors for another applicant.

AIPG Policy On Evaluating Educational Qualifications In Lieu Of Standard Academic Coursework

(Adopted February 17, 1992)

Section 2.3.1 of the Institute Bylaws states,

"In lieu of the foregoing, evidence satisfactory to the Executive Committee, or a Committee of Examiners duly appointed by it, of sound knowledge and proficiency in geology."

In the event an applicant for AIPG Certification or Candidate for Certification requests acceptance of educational qualifications on the basis of this Section, the following steps shall be followed.

The applicant will submit to the Committee of Examiners (the Committee) copies of documents that, in the applicant's judgment, clearly demonstrate knowledge and proficiency in geology. These shall include, but not be limited to, work products created in the course of normal job performance. The documents shall also include descriptions of the specific tasks performed and responsibilities held.

If, in the opinion of the Committee, the submitted documents clearly demonstrate sound geologic knowledge and proficiency, then they will be accepted by the Institute in lieu of standard academic coursework. Those documents will then be included in the applicant's complete application package and the file will continue through the normal review process.

If, in the opinion of the Committee, the submitted documents do not clearly demonstrate sound geologic knowledge and proficiency, the Committee may request additional documents from the applicant to supplement or clarify any points which the Committee feels were not addressed in the originally submitted documents.

If, in the opinion of the Committee, the applicant has not clearly demonstrated sound geologic knowledge and proficiency, the applicant may request that an oral examination, conducted by the Committee, be held at AIPG Headquarters. The applicant will prepay the estimated costs associated with the oral examination. Any overpayment will be refunded. A record of the examination will be made a part of the application documentation.

If the applicant's documents (including the record of the oral examination, if applicable) are not accepted by the Committee of Examiners in lieu of academic training, the applicant may request that all documents submitted by the applicant, along with all reports from the Committee of Examiners, be reviewed by the Institute's Executive Committee. A three-fourths vote of the Executive Committee will be required for approval. The decision of the Executive Committee will then be considered final.

AIPG Disciplinary Procedures

(Adopted July 23, 1989)

SECTION 1. Complaints 1.1 Complaints Against Members
Complaints against any member of the Institute, whether by another member or by a member of the public, which are based on an alleged violation of the Code of Ethics, on the conviction of a felony or other offense related to the practice of geology, or on discipline imposed by a governmental agency, shall be directed to the Ethics Committee Chairman, care of the Executive Director. The Executive Director shall forward any such complaints received to the Ethics Committee Chairman within seven days of receipt.

1.2 Complaints Concerning Applicants
Complaints against or objections to admission of an applicant for membership based on an alleged violation of the Code of Ethics, on the conviction of a felony or other offense related to the practice of geology, or on discipline imposed by a governmental agency, however received, shall be forwarded promptly to the Ethics Committee Chairman. Such Complaints shall not thereafter be considered by any Institute or Section membership committee except after disposition of the Complaint under these procedures. Pending such disposition, final action on the membership application shall be suspended, unless other independent and valid grounds exist for rejection of the applicant, in which case the Complaint shall be dismissed without prejudice by the Ethics Committee Chairman.

1.3 Contents of Complaints
Complaints shall be based on the personal knowledge of and be signed by the Complainant, shall identify the member or applicant against whom the Complaint is made (the Respondent), shall identify the specific Rules under the Code of Ethics which are alleged to have bee violated, and shall describe the conduct giving rise to the alleged violation. Complaints shall be accompanied by copies of any letters, reports,documents, or statements upon which the complaint is based, and a list of persons (potential witnesses) who have personal knowledge of the matter, including a brief statement of what the knowledge of each such witness is alleged to be.

1.4 Review of Complaints.
Complaints shall be reviewed initially by the Ethics Committee Chairman. Within 15 days of receipt of the Complaint, the Ethics Chairman may take one or more of the following actions.

Dismiss the Complaint, in whole or in part, for lack of evidence, insufficient grounds, or other good cause including the availability of adequate legal recourse, and so advise the Complainant and, in the case of an applicant for membership, the appropriate Institute or Section membership committee;

Request the Complainant to provide, within a specified amount of time, further information or documentation, or a more specific statement as to the nature of the Complaint;

Appoint an investigator to determine whether there are grounds to proceed in the matter and to prepare a report for the Ethics Committee Chairman.

A. The investigator shall not be a member of the Executive Committee or of the Section of which either the Complainant or Respondent is a member.

B.In the event that an investigation is commenced, the Ethics Committee Chairman shall notify the Respondent of the fact of the investigation, unless to give such notice would severely and irreparably impair the investigation.

C.The investigator's report shall include the investigator's findings and any further documentary evidence developed or uncovered by the investigation.

1.5 Action Following Review
Upon receipt and review of the further information or the more specific statement from the Complainant (or upon the expiration of the time for providing same), or upon receipt and review of the investigator's report, or both, the Ethics Committee Chairman shall promptly either dismiss the Complaint or proceed with further disciplinary action in accordance with these procedures.

SECTION 2. Expedited Procedure 2.1 Complaints

2.1.1 Basis of Complaint.
In the discretion of the Ethics Committee Chairman, expedited proceedings may be initiated upon receipt of a Complaint based on the conviction of a felony or other offense relating to the practice of geology or of disciplinary action taken by a governmental authority, or upon receipt of notice of such action against a member from an interested person, in which case the Institute may (but is not obligated to) act as the Complainant.

2.1.2 Documentation.
A verified copy of the official record of conviction of a felony or other offense relating to the practice of geology or of disciplinary action is necessary to support an expedited proceeding. Such documentation may be provided by the Complainant or obtained by an investigator appointed by the Ethics Committee Chairman.

2.1.3 Notice to Respondent Member.
The Ethics Committee Chairman shall promptly notify the Respondent, if a member, of a complaint upon which expedited proceedings are based and provide the Respondent 30 days to submit a written Response either (1) accepting specific discipline proposed by the Ethics Committee Chairman, (2) rejecting the proposed discipline and showing cause why such discipline should not be imposed, or (3) rejecting the proposed discipline and requesting a hearing before an independent Adjudicator. This notice shall include copies of the Complaint and of relevant documents upon which the Complaint is based. A Response shall be limited to the issues which may be adjudicated under these expedited procedures.

2.1.4 Notice to Respondent Applicant.
The Ethics Committee Chairman shall promptly notify the Respondent, if an applicant, of a Complaint upon which expedited proceedings are based and provide the Respondent 30 days to submit a written response (1) showing cause why the application should not be rejected, or (2) requesting a hearing before an independent Adjudicator. This notice shall include copies of the Complaint and of relevant documents upon which the Complaint is based. A Response shall be limited to the issues which may be adjudicated under these expedited procedures.

2.1.5 Other Proceedings.
Institution of a case under these expedited procedures shall not preclude filing of a Complaint against the Respondent under the ordinary adjudication procedures of these disciplinary procedures, based on violation of provisions of the Code of Ethics other than those raised under the expedited procedures. However, ordinary proceedings growing out of the same instances of conduct which give rise to the governmental action shall be suspended until the conclusion of the expedited proceedings and all ordinary proceedings pending against the Respondent shall be ended if the expedited proceeding results in termination of the member.

2.2 Expedited Proceedings

2.2.1 Acceptance of Discipline
If the Respondent member accepts the proposed discipline, or if the Respondent applicant or member fails to respond in a timely manner, the Ethics Committee Chairman shall issue a written Adjudicatory Report imposing the specified discipline of recommending rejection of the applicant, for implementation by the Institute Secretary, with copies to the Complainant, interested persons, if any, and the Respondent. Rejection of an applicant or imposition of discipline other than by consent may be appealed by the Respondent as provided herein.

2.2.2 Appointment of Adjudicator
If the Respondent submits a Response rejecting the proposed discipline or requesting a hearing, the Ethics Committee Chairman shall appoint a disinterested Adjudicator to review the Complaint and the Response, to conduct a hearing if a hearing is requested, and to make a report in the case. The Adjudicator shall not be a member of the Institute Section of which either the Complainant,if any, or the Respondent is a member or prospective member, nor shall the Adjudicator be an Executive Committee member.

2.2.3 Reply by Complainant
The Ethics Committee Chairman shall, within five days after receipt of the Response, send a copy of such Response to, and request of, the complainant and other interested persons, if any, a written Reply within 15 days of such notice. The Reply shall be limited to the issues which may be adjudicated under these expedited procedures, and a copy thereof shall be provided tot he Respondent by the Ethics Committee Chairman.

2.2.4 Referral to Adjudicator
Upon receipt of the Complainant's Reply, if any, the Ethics Committee Chairman shall refer the record in the case to the Adjudicator for a decision or a hearing, if requested by the Respondent.

2.2.5 Notice of Hearing
If the Respondent requests a hearing, the Ethics Committee Chairman shall determine the date, place, and time of the hearing, after consultation with the Adjudicator, the Complainant, if any, and the Respondent. Not less than 15 days notice of such hearing date shall be given to the Complainant, if any, and to the Respondent. The Ethics Committee Chairman shall also notify other interested parties, if any, of the opportunity to appear and be heard, provided they notify the Ethics Committee Chairman not less than five days prior to the date of the hearing of their intention to appear and be heard.

2.2.6 Hearing procedures
The procedures for the show cause hearing are informal. Statements are not limited by the formal rules of evidence; however, the Adjudicator may refuse to admit any material which is not relevant or material to the issues to be determined in the hearing. The hearing shall proceed as follows.

The Adjudicator shall call the meeting to order and note all parties present and their representation by counsel, if any. Any party may be represented by counsel and Institute Counsel may be present at the request of the Ethics Chairman.

The Adjudicator shall outline the applicable procedures for the participants. The Adjudicator will make a record of any objections to the procedures or the conduct of the hearing which are raised during the course of the hearing.

The Adjudicator shall take the statements of and shall receive and mark for identification the exhibits of the Complainant or other interested parties,if any, speaking in support of the imposition of discipline against the Respondent or rejection of Respondent's application for membership.

The Adjudicator shall take the statement of and shall receive and mark for identification the exhibits of the Respondent in opposition to the imposition of discipline against the Respondent or rejection of Respondent's application for membership.

The Complainant and Respondent shall each be afforded the opportunity to cross examine the witnesses of the other. The Adjudicator may also question such witnesses, and

The Adjudicator shall take the closing statement of Complainant or other interested parties, if any, and then the closing statement of the Respondent.

2.2.7 Failure to Appear
Should either party fail to appear, the Adjudicator shall conduct the hearing based on the documents previously submitted in the case and the testimony and exhibits of those in attendance.

2.3 Adjudication

2.3.1 Issues Allowed
The Adjudicator shall consider only evidence and arguments relevant to the following issues.

The finality, or lack thereof, of the underlying conviction or disciplinary action, or the remoteness in time of such action;

Except in the case of a felony, the degree of relationship between the offense committed or the actions giving rise to the disciplinary action and the practice of geology;

Other good grounds other than a challenge to the substance or procedure of the underlying conviction or governmental disciplinary action;

The type or severity of disciplinary action to be imposed by the Institute, or the appropriateness of rejection of an applicant;

Existence of a prejudicial defect in the proceedings under these disciplinary procedures.

2.3.2 Decision and Adjudicatory Report
Following the hearing, or in the absence thereof, following review of the Complaint (including any investigatory report), the Response, the Reply, if any, and accompanying documents, the Adjudicator shall prepare an Adjudicatory Report to the Ethics Committee Chairman.

2.3.3 Contents of Report
The Adjudicatory Report shall contain the Adjudicator's findings and conclusions. If The Adjudicator determines that discipline should not be imposed or that the applicant should not be rejected on the basis of the Complaint, he shall dismiss the case as to any or all of the allegations in the Complaint, indicating the reasons therefor. Otherwise, the Adjudicatory Report shall include a brief statement of the conduct giving rise to the violation and a statement of the rules violated, if any, the discipline to be imposed, as described in the Bylaws, if any, or rejection of the applicant, and copies of the relevant documents supporting his determination.

2.3.4 Notice to Parties
Following a dismissal by the Adjudicator or review of the Adjudicatory Report by Institute Counsel, if requested by the Ethics Committee Chairman, the Ethics Committee Chairman shall send notice of the dismissal decision or a copy of the Adjudicatory Report to the Respondent and Complainant, if any, and may also advise other interested parties as may be appropriate, including, in the case of an applicant, the appropriate Section or Institute membership committees.

2.4 Appeal of Decision
The dismissal of a Complaint or of individual allegations therein may not be appealed. In the event that discipline is imposed on a member or an applicant is rejected, the Adjudicatory Report may be appealed under these disciplinary procedures, but shall be considered final and binding if not timely appeal is taken. Grounds for appeal of disciplinary action against a member or rejection of an applicant under these expedited procedures are limited to:

Discipline of a member or rejection of an applicant which is out of proportion to the severity of the offense.

Discipline of a member or rejection of an applicant which, form the face of the Adjudicatory Report, is based on matters other than the underlying conviction of an offense or governmental disciplinary action.

Bias or abuse of discretion by the Adjudicator.

Reversal of the underlying conviction or reversal or reduction of the governmental disciplinary action.

SECTION 3. Adjudication 3.1 Preliminary Matters

3.1.1 Notice to Respondent
Within Five days of a determination to proceed under normal disciplinary procedures, the Ethics Committee Chairman shall notify the Respondent of the Complaint filed by the Complainant by certified mail, personal delivery, or equivalent means to Respondent's address on record with the Institute. This notice shall include:

A copy of the Complaint, including a statement of the precise conduct alleged to constitute the violation or violations, referencing the rules violated, citing any relevant dates, and identifying any persons alleged to have been involved or to have knowledge of the matter.

A copy of the specific rules alleged to have been violated and a copy of these procedures.

Copies of all supporting documentation, including but not limited to any records or transcripts of statements of the Complainant or others, the investigator's report,if any, and the Complainant's witness list and description of their expected testimony.

A statement of the Respondent's right to submit within 30 days a written Response to the Complaint either admitting or denying the allegations, setting forth grounds for such denial. Such Response shall be accompanied by copies of any documentary evidence Respondent wished to have in the record. The Respondent may request an extension for submission of the Response for a period not to exceed 30 days for good cause shown, which the ethics Committee Chairman may grant or deny in his discretion.

A statement of Respondent's right to request, as part of the Response, a hearing before an independent Adjudicator or, in the case of a Respondent member, an Adjudicatory Board. This request for a hearing shall state whether Respondent will be represented by legal counsel at the hearing, and shall include a proposed witness list with a brief summary of what the Respondent expects their testimony to be, and

A statement of Respondent member's right to resign or to accept discipline by consent, or of a Respondent applicant's right to withdraw the membership application, as provided in these procedures.

3.1.2 Appointment of Adjudicatory Board
Upon receipt of a Response, the Ethics Committee Chairman shall appoint an Adjudicatory Board made up of not less than three disinterested persons, giving due consideration to the preference of the Respondent, the complexity of the case, and the seriousness of the allegations. If requested by a Respondent member, or in the case of a Respondent applicant, the Ethics Committee Chairman shall appoint a single Adjudicator.

No member of the Adjudicatory Board shall be a ember of the Institute Section of which either the Complainant or the Respondent is a member, nor shall they be Executive Committee members.

An Adjudicatory Board shall promptly select a Chairman and a Recording Secretary.

3.1.3 Reply by Complainant
The Ethics Committee Chairman shall, within five days after receipt of the Response, if a timely response is submitted, send a copy of such Response to and request of the Complainant a written Reply within 15 days of such notice. No new allegations may be made in the Reply. A copy of the Reply shall be provided to the Respondent by the Ethics Committee Chairman.

3.1.4 Counter charges
In the event that a Response includes counter charges against a Complainant who is a member, such charges shall be made in the same manner as an original Complaint, and the Complainant shall be afforded the right to submit a Response to such counter charges in conjunction with his Reply, including the right to a hearing before the Adjudicatory Board.

3.1.5 Referral to Adjudicatory Board
In the absence of a timely Response, or upon timely receipt of the Complainant's Reply, if any, the Ethics Committee Chairman shall refer the record in the case to the Adjudicatory Board for a decision, or for a hearing, if requested by the Respondent.

3.3 Hearing

3.3.1 Notice of Hearing
If the Respondent requests a hearing, the Ethics Committee Chairman shall determine a proposed date, place, and time for the hearing and shall proceed as follows.

The Ethics Committee Chairman shall notify the Complainant of the proposed hearing and shall inform the Complainant if the Respondent will be represented by legal counsel. If Respondent is so represented, Complainant may also be represented. Nothing herein shall limit the right of the Institute to have Institute Counsel in attendance at a hearing, whether or not the Complainant or Respondent is represented by counsel.

The Ethics Committee Chairman shall notify the Respondent of the proposed hearing.

Respondent and Complainant shall give notice of any objections to the proposed date, time, or place within five days of receipt of the notice thereof. Upon the expiration of this time, the Ethics Committee Chairman shall promptly set the final date, time, and place, and shall notify Complainant and Respondent thereof.

3.3.2 Hearing procedures

The procedures for the Adjudicatory Board hearing are informal. Statements are not limited by the formal rules of evidence; however, the Adjudicatory Board may refuse to admit any material which is not relevant or material to the issues to be determined in the hearing. The hearing shall proceed as follows.

The hearing shall be convened by the Chairman of the Adjudicatory Bard. The Recording Secretary shall note for the record the date, time, place, persons in attendance, and representation by counsel, if any.

The Chairman of the Adjudicatory Board shall read the allegations, identify the documents submitted in the case, and inquire whether the Respondent understands the allegations.

The Chairman of the Adjudicatory Board shall give a brief description of the procedures.

The Chairman of the Adjudicatory Board shall call for any objections from any party to the proceeding and the Recording Secretary shall note same for the record. Parties may request sequestration of witness at the time, which shall be granted as a matter of right, upon request.

The Chairman of the Adjudicatory Board will call for brief opening statements from the Complainant, then from the Respondent.

Following opening statements, the Complainant may present testimony and other evidence. The Complainant shall not be bound by formal rules of evidence, but shall be permitted to present any material which might be relevant or material. Objections and actions taken thereon by the Chairman of the Adjudicatory Board shall be noted for the record. Each document submitted into evidence shall be marked for identification. Respondent shall have the right to cross examine any witnesses presented by Complainant and shall be provided with copies of any documents presented in the hearing as evidence. Any member of the Adjudicatory Board may also question the witness.

Following the Complainant's case, the Respondent may present testimony and other evidence. The Respondent shall not be bound by formal rules of evidence, but shall be permitted to present any material which might be relevant or material. Objections and actions taken thereon by the Chairman of the Adjudicatory Board shall be noted for the record. Each document submitted into evidence shall be marked for identification. Complainant shall have the right to cross examine any witnesses presented by Respondent and shall be provided with copies of any documents presented in the hearing as evidence. Any member of the Adjudicatory Board may also question the witnesses.

Following the close of the Respondent's case, the Chairman of the Adjudicatory Board shall call for closing arguments, first from the Complainant and then from the Respondent.

Following closing arguments, the Chairman of the Adjudicatory Board shall adjourn the hearing and excuse the parties and witnesses.

3.3.3 Failure to Appear
Should either party fail to appear, the Adjudicatory Board shall conduct the hearing based on the documents previously submitted in the case and the testimony and exhibits of those in attendance.

3.3.4 Decision of Adjudicatory Board
Within 15 days of the adjournment of the hearing, the Adjudicatory Board shall review the record in the case. The Adjudicatory Board shall then make a determination as to each allegation in the Complaint, by unanimous vote of the adjudicatory Board, within 15 days. The Adjudicatory Board may meet and vote via conference call, at the option of its Chairman. The Adjudicatory Board shall set forth its findings and conclusions in an Adjudicatory Board Report to the Ethics Committee Chairman.

3.4 Adjudicatory Report

3.4.1 Contents of Report
An Adjudicatory Report, whether prepared on the record or following a hearing, shall contain the following.

Findings of fact, based on the evidence received and testimony heard in a hearing, in any;

Conclusions of the adjudicatory Board including a list of allegations dismissed and reasons for dismissal, a list of rules violated, if any, and a statement of the evidence relied upon in finding each violation;

Discipline to be imposed on a Respondent member as a result of each violation and as a result of the cumulative violations, which may consist of private admonition, public reprimand, suspension of up to three years, or termination, or a combination thereof, or action to be taken with respect to a Respondent applicant, which may consist of rejection of the application for membership or a recommendation of acceptance, subject to a private admonition; and

A copy of the record before the Adjudicatory Board.

3.4.2 Review by Ethics Committee Chairman
Upon receiving the Report of the Adjudicatory Board, the Ethics committee Chairman shall, within 15 days, review the report to determine whether it satisfies the requirements of these procedures for its form and content, to ascertain whether the determinations are supported by sufficient evidence,, and to determine whether any discipline to be imposed or rejection of an applicant is reasonable and consistent with action taken previously in cases of like seriousness. The Ethics Committee Chairman may obtain the assistance of Institute Counsel in review of the Report. The Ethics Committee Chairman may then:

Return the Report of the Adjudicatory Board for revision. Should the resubmitted Report still not satisfy the requirements of these procedures, the Ethics Committee Chairman may return it for a second redraft, at his option. If the resubmitted Report fails to contain a showing of sufficient evidence to support the determinations, then the Ethics Committee Chairman shall dismiss any determinations not so supported and permit the rest of the determinations covered by the Report, if any, to become the Adjudicatory Report.

Reduce the discipline imposed to a reasonable level or a level consistent with discipline imposed in previous cases of like seriousness, and permit the Report to become the Adjudicatory Report with such reduced discipline, or in the case of a Respondent applicant, dismiss a recommendation for rejection and, in the discretion of the Ethics Committee Chairman, require a private admonition as a condition of acceptance.

Permit the Adjudicatory Report to become final, without alteration.

3.4.3 Issuance of Adjudicatory Report
An Adjudicatory Board Report shall become final only after review and appropriate action by the Ethics committee Chairman. It shall then be transmitted, without exhibits, by the Ethics Chairman to the Ethics Committee, the Complainant and the Respondent, and in the case of a Respondent applicant, to the appropriate Section and Institute membership committees. The Respondent shall also receive notice of his or her right to an appeal to the Executive Committee and the time for taking an appeal.

SECTION 4. Appeals 4.1 Initiation of an Appeal

4.1.1 Notice of Appeal
The Respondent may appeal the Adjudicatory Report to the entire Executive Committee of the Institute by notifying the Ethics Committee Chairman, within 15 days of the date of issuance of the Adjudicatory Report and notice of appeal rights to him or her. Any appeal must state the specific determinations in the Adjudicatory Report which are being appealed and the basis for each such appeal. The Ethics Committee Chairman shall notify the Institute Secretary of the appeal.

4.1.2 Automatic Review by Executive Committee
The Ethics Committee Chairman shall automatically institute an appeal of any determination in an Adjudicatory Report that a Respondent member is to be terminated, by notifying the Institute Secretary that an automatic appeal is required.

4.13 Notice to Executive Committee
The Institute Secretary shall promptly notify the Executive Committee members of the appeal and transmit to each of them a copy of the entire record, the Adjudicatory Report, and the Respondent's notice of appeal. The Institute Secretary shall keep records of the proceeding on appeal.

4.1.4 Notice to Complainant
The Institute Secretary shall promptly notify the Complainant of the appeal and transmit a copy of the notice of the appeal.

4.2 Statement of Position

4.2.1 Statements by the Parties
The Complainant and Respondent shall each have 15 days after the date of Respondent's notice of appeal or of notice of an automatic appeal to submit to the Executive Committee written statements of their positions, which shall not raise any new issues and shall not introduce any new evidence except evidence which could not reasonably have been obtained in time for inclusion in the original Complaint, Response, or Reply or presented at the hearing.

4.2.2 Appearances by the Parties
Except in extraordinary cases, there shall be no appearances by the parties before the Executive Committee in person or by counsel. A request by either party for such an appearance must be made in writing to the Institute Secretary within the time allowed for the submission of written statements and shall set forth in detail the extraordinary circumstances which the party believes justifies an oral argument. Granting of such appearances is within the sole discretion of the Executive Committee, and, if granted, the Institute Secretary shall notify the parties of oral argument and determine the time, place, and date of same. The Institute Secretary may place reasonable time limits on oral argument.

4.3 Executive Committee Action

4.3.1 Review of Record
The appeal will be considered only on the record in the case and the parties' statements on appeal. Institute Counsel shall be present in an advisory capacity for the deliberations of the Executive Committee.

4.3.2 Decision of Executive Committee
Following review of the record and the written statements, the Executive Committee shall:

Adopt the Adjudicatory Report without alteration;

Dismiss some or all allegations giving reasons for dismissal, permitting the rest of the Adjudicatory Report, if any, to become the final decision of the Executive Committee on appeal;

Reduce the discipline imposed in the Adjudicatory Report, or in the case of a Respondent applicant, dismiss a recommendation for rejection and, in the discretion of the Executive Committee, require a private admonition as a condition of acceptance.;

Order a de novo hearing on some or all of the allegations before a new Adjudicatory Board, in which case the discipline which may be imposed against a Respondent member will not be limited in its severity by the discipline imposed by the first Adjudicatory Report, nor the action taken with respect to a Respondent applicant be limited by the first Adjudicatory Report; however, no new allegations may be raised at such a hearing.

SECTION 5. Implementation 5.1 Final Report and Notifications
Reports are considered final for all purposes upon the expiration of the period for taking an appeal when no appeal is taken, and upon issuance of the decision of the Executive Committee if an appeal is taken, unless the Executive Committee orders a de novo hearing. The Ethics Committee Chairman shall notify the Complainant, the Respondent, the Ethics Committee, and the Executive Committee through the Institute Secretary (when no appeal has been taken), and shall direct the entry of the final report into the Ethics Committee records.

5.2 Administrative Steps
Upon becoming final, the Institute Secretary shall take such administrative steps as are necessary to implement the discipline imposed against a Respondent member, or to implement a decision with respect to a Respondent applicant.

5.3 Notice to Governmental Authorities
At the discretion of the Executive Committee with advice of Counsel, the Institute Secretary shall notify any appropriate governmental regulatory or law enforcement agencies of the disciplinary action and the reasons therefore.

SECTION 6 General Provisions 6.1 Resignation by Respondent Member
At any time until the Adjudicatory Report becomes final, a Respondent member may resign, at which point all proceedings shall end. A resignation during the pendency of disciplinary proceedings shall have the same effect as termination of membership with prejudice.

6.2 Withdrawal and Rejection of Applicants
At any time until the Adjudicatory Report becomes final, a Respondent applicant may withdraw an application for membership, at which point all proceedings shall end. A withdrawal during the pendency of disciplinary proceedings or the rejection of an applicant on disciplinary grounds shall have the same effect as termination of membership with prejudice.

6.3 Effect of Termination With Prejudice
A member who has resigned during the pendency of disciplinary proceedings or who has been terminated as a result thereof, or an applicant who has withdrawn an application or who has been rejected on disciplinary grounds, shall not be permitted to reapply for membership in the Institute for a period of three years. A reapplication by such former member or applicant shall be referred to the Executive Committee, which may, in its discretion, defer readmission for an additional period not to exceed three years on the basis of the violations indicated in the Complaint. Thereafter, in the absence of a showing of subsequent additional violations, prior disciplinary action shall not be considered.

6.4 Discipline by Consent
At any time until the Adjudicatory Report becomes final, the Respondent (whether a member or an applicant) may offer to submit to specified discipline by consent on his own initiative, or may accept discipline offered by the Ethics Committee Chairman, the Adjudicatory Board, or the Executive Committee, as appropriate, in their discretion.The Adjudicator or the Adjudicatory Board, acting through its Chairman,the Ethics Committee Chairman, or the Executive Committee, as appropriate, may accept such offer of discipline by consent, in which case the Institute Secretary shall implement the discipline.

6.5 Prima Facie Evidence of Misconduct
Except as otherwise provided in these disciplinary procedures, proof of the conviction of an offense or of disciplinary action taken by a governmental authority against a member or applicant is prima facie evidence of misconduct in any Institute disciplinary proceeding.

6.6 Confidentiality

6.6.1 General
Except as otherwise provided in these procedures, the existence of allegations against any member or applicant, and the basis and content thereof, is considered confidential. If discipline is imposed against a member, other than a private admonition, only the Institute may disclose or publish information concerning such discipline and the reasons therefor. Information concerning the rejection of an applicant on disciplinary grounds shall not be publicly disclosed. Records of the Ethics Committee and the Executive Committee concerning disciplinary proceedings shall be labeled and treated as confidential, and shall not be released except with the consent of the Institute President or Secretary.

6.6.2 Exceptions
Disclosure of disciplinary records is permitted in the following circumstances.

Where disclosure is required by law;

Where disclosure is necessary to pursue the investigation or proceedings hereunder, in which case the person to whom disclosure is made shall be bound by these provisions;

Where disclosure is necessary to avoid a clear danger to public safety or health or to prevent the imminent commission of a crime; or

Where otherwise required or permitted by these Procedures or the Bylaws.

6.6.3 Breach of Confidentiality
Breach of confidentiality, including by parties to a disciplinary action, may subject those responsible to disciplinary action at the instance of the aggrieved person or the Institute.

6.6.4 Dismissal of Complaints for Breach
In the event of a breach of confidentiality of such seriousness that it might prejudice Respondent's right to a fair adjudication despite any reasonable remedial action, the Complaint shall be dismissed by the Ethics Committee Chairman if the case is not yet in adjudication, by the adjudicator or the Chairman of the Adjudicatory Board if the case is in adjudication, or by the Executive Committee if the case is on appeal.

6.6.5 Ex Parte Communications
The members of an Adjudicatory Board and the members of the Executive Committee shall not discuss any substantive matters concerning the allegations with either party to the proceedings or with any person listed as a potential witness by either party. Any member of an Adjudicatory Board or of the Executive Committee who has been participated in such a discussion shall disqualify himself or herself from the proceeding in question and any other related proceedings.

6.7 Dismissals With and Without Prejudice
Unless otherwise stated in the dismissal action, dismissals of allegations in a Complaint are with prejudice and such allegations may not then be raised in any subsequent Complaint. Allegations may be dismissed without prejudice for technical filing defects, in the presence of ongoing criminal, civil, or administrative proceedings, or for other good cause.

6.8 Administrative Decisions and Appeals
The Ethics Committee Chairman, Adjudicator, or Adjudicatory Board, or the Executive Committee, as appropriate, shall have the authority to make decisions during the course of disciplinary proceedings and appeals concerning the administration of a case and in response to the conduct of and objections made by the parties. Such decisions may be enforced by the imposition of appropriate sanctions on the parties. Objections and decisions shall be noted for the record, but unless otherwise determined by the Ethics Committee Chairman on the basis of a showing of good cause, shall not be subject to appeal until the Adjudicatory Report becomes final.