ADEA Code of Conduct

1. Overview and Purpose

ADEA is committed to promoting high ethical standards and professional inclusive conduct at its meetings, events, conferences, and virtual communities. Creating and sustaining a culture that supports meetings and events that optimize learning, research, and leadership and career-building opportunities requires that ADEA advance policies, standards, and behaviors that foster respect, inclusion, and belonging for all participants.

By taking actions that demonstrate an intolerance of sexual and intersecting bases of harassment (e.g., based on gender, race/ethnicity, nationality, religion, actual or perceived sex, sexual orientation, identity and expression, disabilities, marital status, age, religion and other identities) at its meetings and other events, ADEA takes important steps in influencing the tone and culture of its events and meetings.

2. People and Entities Covered by This Policy

The ADEA Code of Conduct for Meetings, Conferences, Events, and Virtual Communities (“Conduct Code”) applies to all “ADEA participants” meaning all categories of members of ADEA and all individuals, groups and entities that participate or are involved in any capacity in the activities in paragraph 4 below.

For example, ADEA participants include, but are not limited to, attendees, staff, temporary staff, speakers, guests, volunteers, contractors, vendors, sponsors, exhibitors, presenters, participants, venue staff and ADEA Connect users.

3. Registration Requirements

Participants are required to complete a registration form to attend an ADEA meeting in which they acknowledge familiarity and adherence to the Conduct Code, and that the Conduct Code is applicable to the event and any activities associated with it.¹

During registration, the participant must also provide contact information where they can be reached during the meeting or event. Registrants must acknowledge and agree to abide by the Conduct Code and provide contact information as a condition of registration. It is expected that meeting registrants will be accessible and available during the meeting/event if needed through the contact information provided. Registration further constitutes consent to audio and visual recording (and use and alteration of the recording) by ADEA at an ADEA meeting or for non-commercial purposes aligned with ADEA’s mission.

4. Activities Covered by This Policy

The following ADEA Conduct Code applies to all ADEA participants in connection with their ADEA-associated activities, which means:

• All ADEA conferences, meetings, events and other activities, whether in person, by telephone or through virtual or electronic communication.²

The ADEA Conduct Code applies to activities and at locales that are associated with a conference, meeting and event. “Associated with” includes:

• In transit to and from an activity;
• At the meeting, conference, event site; and
• In activities at other sites, whether or not the activities or sites are part of an official ADEA activity.

In the general timeframe of an ADEA meeting, conference, event, if any participant is affected.

Limitations

The application of this policy to those who are not ADEA participants may often exceed ADEA’s ability to enforce against, or impose consequences for, violations. However, the broad application of this policy is intended to (a) encourage professional, ethical and inclusive conduct in the oral health education field broadly; (b) identify situations in which ADEA may still pursue community building practices to support a welcoming oral health education field for ADEA Participants; and (c) identify situations in which ADEA ultimately may seek to share facts with others (e.g., a home institution) so that others may further investigate and make their own decisions regarding any necessary action.

5. Conduct Requirements

ADEA participants must meet these requirements:

Note About Differences of Opinion and Offense

It is not a violation of ADEA’s Conduct Code to express an opinion, raise researc, or describe an experience that is at odds with the opinions of or is offensive to others—if the articulation is part of an on-point discussion of the work and is offered in a manner that does not interfere with others’ reasonable ability and welcome to participate fully in the work.³ That means expressing differing positions with respect and consideration for all.

It also means not making an articulation affecting the workplace that is reasonably expected to cause offense gratuitously (i.e., unrelated or unnecessary for the work). It means not directing the articulation as a personal attack or put-down of an individual, and not dominating the discussion with one articulation.

6. Conduct Concerns

If a participant has a conduct concern believed to be within the reach of this policy, the participant should alert the designated ADEA staff through one of the following methods: online form, email, phone call, or in-person to the designated intake staff. Anonymous reports are not permitted for both informal concerns and formal complaints.

a. Informal Conduct Concerns

An informal concern is a written or verbal report of an incident to a designated ADEA investigator that may not include a request to take action regarding an alleged violation of the ADEA Conduct Code; although a formal resolution is not precluded.

The information needed for a formal complaint as set forth below is helpful to assist ADEA in responding to an informal concern. Information may be provided in a meeting or phone call rather than in writing.

b. Formal Complaints

A formal complaint is a written or verbal report of an incident to a designated ADEA investigator with a request to take action regarding an alleged violation of the ADEA Conduct Code.

A formal complaint should include the following information:

• Name of the accused(s) and contact information and affiliation with ADEA, if known;
• If the conduct concern is of a type that involves a respondent, the name of the identified respondent and contact information, if known;
• Names of any witnesses, including the person raising the concern, or others with pertinent information, and contact information, if known;
• Description of the conduct concern, with the date, approximate time, location/setting/activity and all known relevant facts and circumstances;
• The provision(s) of this policy that may have been violated, if known (optional);
• A clear statement of any facts that may indicate any concern of imminent threat to safety of any person(s) or safety or condition of property, and the sources of such facts, with contact information if known;
• Any relevant documents or communications available to the person filing the complaint;
• Any other information that would help ADEA understand the full nature of the conduct concern; who was involved and who and what may be affected; who may have pertinent information and related context; and what responses ADEA may want to consider; and
• Any request for confidentiality (see Section 7).

7. Confidential Action

If an “individual most directly involved”⁴ asks for confidentiality of that person’s identity or that of others most directly involved, all reasonable steps will be taken to do so by the investigative team and the individual/s who make decisions regarding conduct concerns. However, they will also emphasize this policy’s prohibition against retaliation (which is a serious violation). They may not maintain confidentiality if, in the investigator’s⁵ or decision-maker’s⁶ judgment and discretion, policy, safety or law requires otherwise. Limited disclosure of the identity of individuals most directly involved may also be needed for ADEA to carry out various options to resolve a conduct concern.

All ADEA participants are required to respect confidentiality of the identities of each individual most directly involved in a conduct concern while it is being reviewed and resolved. Failure to do so is a serious violation of this Conduct Code.

8. Investigating and Resolving Conduct Concerns

ADEA will review all reported conduct concerns within reach of this Conduct Code. ADEA will respond in some way when conduct concerns within the reach of the Conduct Code are raised. However, the exception is when ADEA’s initial review determines there is a lack of any credible question⁷ regarding concerning conduct, or available information is inadequate to make that assessment or to pursue a resolution. Identified complainants will not be required to participate in a formal or informal resolution process.

The ADEA authority will appoint Investigators and decision-makers to address conduct concerns raised within the reach of the Conduct Code. ADEA may also designate intake team members who will receive initial concerns and route them to the investigator. The intake team members may also serve as investigators. The investigators and decision-makers will engage with persons reporting conduct concerns, any identified complainants, and the respondent about options for resolution. They will conduct the review and/or any investigation and processes that may be needed for resolution.

Investigators and decision-makers assigned to address a particular concern are required to be free of conflicts that would interfere with the performance of their responsibilities. In the event of a conflict, the ADEA authority has the discretion to designate additional individuals to serve as Investigators, decision-makers or members of the appeal authority.

Notifying ADEA staff or hotel/venue security does not constitute or replace notification to or enforcement by local law enforcement. This document does not replace rules posted by conference facilities, official conference hotels or any rules that are part of ADEA’s contracts with its vendors, exhibitors and/or sponsors.

Initial fact-finding

When a conduct concern is raised, the investigator will identify and speak to the individuals most directly involved. The investigator will determine if the situation is one that can and should be diffused by discussion (“informal resolution”), or whether the facts present a possibility that a person might need to leave the meeting and/or be subject to other consequences or that police involvement may be required at the time, a formal resolution is appropriate.

• Investigators are fact-finders and do not decide whether violations have occurred or what consequences should be imposed, beyond informal resolutions.
• An informal resolution is appropriate when it is apparent that: the concern arises largely from misunderstandings that have been corrected or lessons that needed to be learned and have been learned; there is not already a recurring issue; there has been an authentic commitment to avoid a repetition of the cause of the concern and there is no reason to believe recurrence is likely; and considering all of this and the nature/severity of the conduct concern, safety and inclusion can be restored without the need for further action.

Additional fact-finding

If further fact-finding during the meeting is necessary to determine the facts and/or whether an informal resolution is appropriate, the investigator will conduct further discussions with individuals who may have information.

Formal Resolution

If is determined that an informal resolution is not sufficient to resolve the conduct concern, a “formal resolution” process is pursued. If a formal resolution is pursued, the following stages should be followed:

• Investigator finds the relevant facts and documents them; Investigations might include interviewing witnesses⁸; reviewing relevant information such as emails, text messages, social media, etc.;
• The Investigator will engage with the reporter⁹. If the reporter is not the complainant¹⁰, then the investigator will explain the details of the complaint to the complainant and find any relevant facts through questions or review of relevant information.
• The Investigator should confirm that the concern is within the reach of the Conduct Code.
• The details of the complaint should be explained to the respondent¹¹ by the investigator. The respondent should be given a reasonable chance to respond to the evidence of the complainant and to bring their evidence.
• If, for any reason, the investigator is in doubt about whether or how to continue, he or she may seek the advice of ADEA counsel.

Documentation

The investigator will document the conduct concern, including the date and approximate time when the concern arose and was reported, the name of the individual/s who reported and whether confidentiality was requested, the relevant documented facts along with any documents and notes and the questions and responses provided by the parties, if applicable, and any actions taken by the Investigator and make recommendations to the decision-maker. Given possible time constraints, the investigator may document the information in the form of notes, and may provide additional detail orally to the decision-maker with the understanding that supplemental notes will be provided if the Investigator believes there are gaps in facts that they are unable to fill during the meeting period and might extend beyond the meeting period.

Additionally, depending on the unique circumstances, ADEA at its discretion, may deem it necessary to reach out to the Title IX coordinator, EEOC representative, and/or designated senior administrator at the complainant’s or respondent’s sponsoring organization, company, school, or program to provide notice of the allegations and assist in providing additional resources. ADEA will notify the complainant and the respondent in advance of notifying the Title IX coordinator, EEOC representative, and/or senior administrator.

Notice to Decision-maker

The decision-maker reviews the documented facts and supporting materials; and, if needed, may request any supplementary fact-finding to be undertaken by the Investigator. The decision-maker may optionally meet with the Investigator/s and confer with the ADEA staff ombuds in arriving at a final decision and any possible consequences.

The decision-maker will determine whether there is a violation of the Conduct Code using a preponderance of the evidence standard (i.e., more likely than not), unless otherwise required by applicable baseline requirements¹²; alternatively, the decision-maker may determine whether an informal resolution will suffice and whether to adopt such a resolution under the criteria set forth above.

If a decision-maker is unable to make a determination during the meeting, event or conference (e.g., due to the nature of the conduct concern, time constraints or logistics), the decision-maker determination will be made and any consequences imposed by a decision-maker after the meeting, conference or event.

The decision-maker will notify (in writing or electronically) the complainant, reporter, and respondent of the final resolution of the incident. The notice will include potential appeal rights and the conditions that must be met to pursue an appeal.

Reporting Data

ADEA will provide an annual report of aggregated data about incidents to the ADEA Board of Directors at the Board of Directors meeting in January.

9. Consequences for Violations or Concerns About Violations of This Conduct Code

Requirement to Leave the Meeting and Notice to Home Institution

A violation of the Conduct Code may result in an accused participant being compelled to leave an ADEA meeting at the participant’s own cost and to maintain distance and separation from other participants at all or some sites and events, or to leave all sites, associated with the meeting during the general timeframe of the meeting. In such event, the participant is also automatically prohibited to participate in the meeting virtually. The decision-maker will make the determination, in that official’s discretion, to serve the best interests of ADEA’s membership and mission as reflected in the Conduct Code.

The decision-maker may also notify the participant’s home institution of a violation of the Conduct Code if, in the decision-maker’s discretion, the nature of the violation causes concern about safety or disruption. When giving any notice to participant’s home institution, ADEA should provide notice only to those in a position of seniority that can reasonably be expected to maintain confidentiality, and should include a copy of the Conduct Policy. The participant should be copied on the notice.

A decision-maker may exercise the same discretion, prior to determining whether a violation occurred, if the decision-maker decides, in their sole discretion based on those facts known, that a credible question¹³ of a violation exists and such action is needed in short order to avoid disruption or to advance inclusion or safety at the meeting, conference or event.

In any such notice that is given the notice will state:

“ADEA received an allegation that [name] violated the ADEA Conduct Code on the Prevention of Harassment, Discrimination and Bias at ADEA Meetings, Conferences, Events and Virtual Communities by [Insert a brief, purely factual summary of the allegation]. ADEA has implemented temporary safety measure(s) [specify (e.g. required Participant to leave the meeting to avoid disruption or as a safety precaution]. No determination (one way or the other) has been made about the allegation. In taking that action and giving this notice, ADEA is not making a judgment that the accused participant violated the ADEA Conduct Code on the Prevention of Harassment, Discrimination and Bias at ADEA Meetings, Conferences, Events and Virtual Communities. Any statement or action to the contrary is not authorized by ADEA. In these circumstances, before a determination is made, ADEA prioritizes preventative safety measures based on the nature of an allegation in the interest of ADEA’s mission and the many it serves, over the interests of one or a few, if the two must be weighed. It is not always feasible during a meeting (given the venue, level of activity, staffing and available time) to timely conduct and complete fact-finding or take other steps needed to reach a conclusion. You will be notified of any determination when made.”

The names of the other individuals most directly involved will not be disclosed to the accused’s home or other institutions.

Other Possible Consequences

If a respondent is found responsible for having violated the ADEA Conduct Code, possible consequences may include:

• Warn the respondent to cease their behavior and that any further reports will result in more serious consequences;
• Limit the respondent’s participation in certain events in which their presence may be deemed disruptive;
• Require that the respondent immediately leave the event, or conference, and not return and notify meeting, event, or conference security;
• Ban the respondent from future ADEA meetings, conferences and events (either indefinitely or for a certain period of time);
• Immediately end any volunteer responsibilities and privileges the respondent holds;
• Removal or suspension from a leadership position [unless there is an HR policy that will determine employee consequences];
• Require that the respondent not volunteer or serve as a contract employee or vendor for ADEA, either indefinitely or for a certain period of time;
• Remove and ban the respondent from membership in ADEA, following established procedure;
• Private reprimand;
• Public reprimand or statement;
• Notification by the decision-maker of ADEA’s determination of a violation to the violator’s home institution;
• Other consequences as determined by the decision-maker.

10. Appeals Procedure

An appeal of a final determination of a conduct concern may be available to complainants and respondents, but only regarding the final determination made by the decision-maker in a formal resolution process, and only if the following additional appeal standards and appeal conditions are met:

Standard.

An appeal is available only due to newly surfaced, consequential facts that were not previously available when the decision was made; consequences grossly disproportionate (in leniency or stringency) to the violation found, considering how similar situations were handled, if any, under current ADEA policies; lack of facts to support the decision; a conflict of interest by the decision-maker; or a failure to fulfill process requirements with consequential effects on the appealing person’s ability to address important considerations.

Conditions for right to file.

• An appeal may be filed by a complainant or respondent within 30 days after that party receives notice of the final determination and any consequences imposed by the decision-maker.
• A statement explaining the bases and all supporting materials must be submitted by the deadline at [list email, address, etc. to submit appeal].

Decision-maker for an appeal.

An appeal will be decided by the “appeal authority”¹⁴ who are individual(s) appointed by ADEA authority¹⁵, either for one particular appeal or for appeals generally. The appeal authority may be an individual or an ad hoc or standing committee of such individuals.

Appeal Decision Process.

The appeal authority will notify the authorized appeal parties in writing of any extension. The appeal authority will decide the appeal based on the submissions, unless it notifies all authorized appeal parties of a need for additional information. Any requested amplifying information will be in writing. (An appeal authority may, for example, pose written questions and require written responses.) All authorized appeal parties will have access to the written appeal submissions and the final decision, if requested. Upon deciding the appeal, the appeal authority shall notify the authorized appeal parties of the determination of the appeal. The determination of the appeal is final.

Remedies.

The only remedy provided by a successful appeal of a requirement to leave a meeting and notice to the participant’s home institution is (a) a waiver of a future similar meeting’s registration fee (if the accused participant paid a fee for the meeting that they were required to leave) and (b) providing a copy of the finding on appeal to ADEA’s records and to the accused’s institution as an update if the institution was previously notified of the issue. Other/additional consequences (e.g. removal or suspension from volunteer or leadership positions) may be reinstated pursuant to the appeal authority’s discretion.

Any questions regarding this policy should be directed to the ADEA Chief of Staff.

11. Disclosure Requirements and Additional ADEA Responsibilities

This ADEA Conduct Code will be clearly and prominently displayed on the ADEA website. All registration for ADEA conferences, meetings and events will provide links to the ADEA Conduct Code and upon request will be made available to participants attending ADEA conferences, meetings, workshops and other events either electronically or via hard copy.

Any person who has experienced or witnessed a serious verbal threat or any physical assault should contact law enforcement officials immediately. ADEA will make available or provide the designated team members authorized to receive complaints with annual sexual harassment and intersecting forms of harassment and bias professional development training.

The contact information for ADEA team members designated to receive complaints and share information on the ADEA Conduct Code will be made available on the ADEA website and in all conferences, virtual and in-person meetings, and other event registration materials. The ADEA team members authorized to receive complaints under the ADEA Conduct Code will be on-site at the ADEA Annual Session & Exhibition and available for contact at other ADEA-sanctioned events, including e-learning and officially sanctioned ADEA virtual programming.

Neither the ADEA team nor any other ADEA official can provide legal advice to individuals who make reports under this policy. Reporting an incident of unacceptable behavior does not obligate the reporter to pursue any further action. Depending upon the severity and nature of the report, and in compliance with local, state, District of Columbia, and federal law, ADEA may be compelled to contact law enforcement and/or address the report with ADEA officials.

Any participant may pursue a complaint according to the procedures outlined in Section 6 above.