Disciplinary Appeals Regulations

7/25/2019 Disciplinary Appeals Regulations

http://slidepdf.com/reader/full/disciplinary-appeals-regulations 1/14

Page 1 of 14

Style Guide 2008

Disciplinary and Appeals RegulationsChartered Director

Disciplinary and AppealsRegulations



Page 2 of 14

Disciplinary and Appeals Regulations

Contents

Title Page Number

1. Introduction 3

2. Complaints 4

3. Investigation Panel 5

4. Disciplinary Committee 7

5. Report to the Professional Accreditation Committee 9

6. Appeal 10

7. Safeguards for Members 13


8. Publication of Decisions 14



Page 3 of 14

1. Introduction


The Institute requires all Chartered Directors to adhere to the Code of ProfessionalConduct as a condition of the award of Chartered Director, thereby providingevidence of their commitment to both professionalism and probity. These Regulationsset out disciplinary provisions for Chartered Directors and are made under By-Law I.5of the Institute’s By-Laws. The names of Chartered Directors who are disciplinedunder the Regulations and Procedures may be published.



Page 4 of 14

2. Complaints

2.1 Any complaint alleging that a Chartered Director (“the member concerned”) hasbreached the Code of Professional Conduct shall be made in writing and referred inthe first instance to the Institute Secretary.

2.2 Complaints may be made against a Chartered Director by the Institute, anothermember of the Institute or a third party.

2.3 The Institute Secretary shall write to the member concerned, advising him of thenature of the complaint and enclosing a copy of these Regulations and Procedures,and shall conduct such preliminary inquiries as he deems appropriate. The InstituteSecretary may, if satisfied that the complaint is unfounded or involves only a minor ortrivial breach, determine that no further action shall be taken. He may have regard to

such considerations as he deems appropriate, including how long ago the allegedbreach occurred and whether it was prior to the member concerned being admitted tothe profession of Chartered Director. If the Institute Secretary determines that nofurther action shall be taken, he shall inform the member concerned and the personmaking the complaint (“complainant”) accordingly.

2.4 If the Institute Secretary is of the preliminary view that there is a prima facie caseto answer, he shall advise the member concerned accordingly and refer the matter tothe Chairman of the Professional Accreditation Committee, who shall appoint an adhoc Investigation Panel as soon as is reasonably practicable, and inform the memberconcerned that this has been done.


2.5 If either the complainant or the member concerned is currently involved in eithercivil or criminal court proceedings concerning the same or a related matter, either asplaintiff or defendant, then the Institute Secretary shall take no action whatsoeveruntil the court proceedings are completed and the judgement becomes final or (if theproceedings are terminated before judgement is given) termination of theproceedings. The member concerned shall notify the Institute Secretary as soon as judgement has become final or the proceedings are terminated.



Page 5 of 14

3. Investigation Panel

3.1 Members of the Investigation Panel shall be appointed by the Chairman of theProfessional Accreditation Committee.

3.2 Membership of the Investigation Panel shall consist of not less than five membersof the Professional Accreditation Committee, of whom three shall form a quorum.

3.3 Subject to these Regulations and Procedures, the Investigation Panel shallregulate its own procedure, and shall have power to seek information from anysource.

3.4 The member concerned shall be notified in writing, using secure delivery, by theInstitute Secretary of the details of the complaint, of the date, time and place at which

the matter is to be investigated by the Investigation Panel, and of the member’s rightto be represented (at the member’s own expense), to speak, to call or cross-examinewitnesses at the meeting, and to submit evidence. All the written evidence collectedshall be shown to the member and his/her representative(s) prior to the meeting andcomments invited.

3.5 If the member concerned is to be represented at the meeting, he/she should, atleast 14 days before the date of the meeting of the Investigation Panel, inform theInstitute Secretary in writing of that fact, specifying the name, address, occupationand legal qualifications (if any) of his/her representative, and any other detailsconcerning his/her representative that he/she may consider relevant to the membersof the Investigation Panel.

3.6 The meeting shall be held in private unless the Investigation Panel decides that itis in the public interest or in the interest of justice that the meeting should be held inpublic.

3.7 The Investigation Panel may call witnesses to aid the investigation and shall notunreasonably refuse permission for the member concerned to call such witnesses (athis/her own expense) as he/she deems appropriate.

3.8 A written record of the formal investigative meeting shall be kept.

3.9 Failure by the member concerned to appear before the Investigation Panel or tosubmit a statement will not prevent the investigation proceeding and will notinvalidate the decision reached by the Investigation Panel, provided that theInvestigation Panel is satisfied that notice of the investigative meeting was properlyserved.

3.10 The Investigation Panel, having considered the matter, may recommend one ormore of the following:

i. no further action be taken;


ii. the Institute Secretary send a written warning, reprimand or admonition to themember concerned cautioning him/her as to his/her conduct;



Page 6 of 14

iii. the member concerned be required to give a written undertaking to theInstitute as to his/her future conduct in such form as the Investigation Paneldecides;

iv. the case be referred to the Disciplinary Committee of the Institute.

3.11 The recommendation of the Investigation Panel shall be made to the Chairmanof the Professional Accreditation Committee who, after consultation with the othermembers of the Committee, shall either concur with the Investigation Panel’srecommendation or (if he so decides where the Investigation Panel hasrecommended i, ii or iii above) refer the matter to a Hearing before the DisciplinaryCommittee.

3.12 The Institute Secretary shall inform the member concerned in writing of thedecision, including a copy of the report of the investigative meeting, using securedelivery.


3.13 The matter shall also be referred to a Hearing before the Disciplinary Committeeif the member concerned so requests or if the member concerned fails to give awritten undertaking as required.



Page 7 of 14

4. Disciplinary Committee

4.1 Members of the Disciplinary Committee shall be appointed by the Chairman of

the Professional Accreditation Committee.

4.2 Membership shall consist of not less than four members of the Professional Accreditation Committee, one of whom shall be chairman, and at least one External Assessor, of whom three shall form a quorum; no members of the DisciplinaryCommittee shall have served on the Investigation Panel investigating the case.If the External Assessor is unable to be present at a Hearing of the DisciplinaryCommittee, his written consent to any decision reached must be obtained.

4.3 The member concerned shall be notified by secure delivery in writing of thenature of the complaint, of the date, time and place for holding the Hearing of theDisciplinary Committee, and his/her right to be represented (at his/her own expense),to speak, to call or cross-examine witnesses at the Hearing, and to submit evidence.Not less than 21 days’ notice shall be given.

4.4 The member concerned and the complainant presenting the case to theDisciplinary Committee may be represented at the Hearing (at their own expense) ifthey so wish.

4.5 If the member concerned is to have representation at the Hearing, then at least14 days before the date of the Hearing of the Disciplinary Committee, he/she mustinform the Institute Secretary in writing of this fact, specifying the name, address,occupation and legal qualifications (if any) of his/her representative, and any other

details concerning his/her representative that he/she may consider relevant to themembers of the Disciplinary Committee.

4.6 The Hearing shall be held in private unless the Disciplinary Committee decidesthat it is in the public interest or in the interest of justice that the Hearing should beheld in public.4.7 The chairman may at any time postpone or adjourn the Hearing and direct theInstitute Secretary to notify all the interested parties.

4.8 The Committee may proceed in the absence of the member concerned providedit is satisfied that notice of the Hearing was properly served.

4.9 Subject to the foregoing provision with respect to non-appearance, the order ofproceedings shall normally be as follows:

i. Statement of the case against the member concerned and the production ofevidence in support of that case;

ii. Statement of the case of the member concerned and the production ofevidence in support of that case;

iii. Reply to the case of the member concerned;iv. A closing statement of the case of the member concerned.




Page 8 of 14

4.10 Evidence may be received by the Disciplinary Committee by oral statement,written and signed statement, or statutory declaration. Witnesses may be examined,cross-examined and re-examined. The Disciplinary Committee may, in theirdiscretion, decline to admit the written statement or declaration of a person who is

not present, and may disregard oral evidence given by any person who refuses tosubmit to cross-examination.

4.11 A written record of the proceedings of the Hearing shall be kept.

4.12 Subject to these Regulations and Procedures, the Disciplinary Committee shallregulate its own procedure, and shall have power to seek information from anysource.

4.13 The role of the Disciplinary Committee is to judge the seriousness of the caseand to exercise its discretion and authority accordingly. The Disciplinary Committeeshall take all the factors into account in its consideration of the member’s case. The

action taken by the Disciplinary Committee shall be appropriate to the gravity of thecase.

4.14 If, after hearing the case, a simple majority of the Disciplinary Committee is ofthe opinion that the member concerned has breached the Code of ProfessionalConduct, the Committee has discretion to determine one or more of the following:

i. no further action be taken against the member concerned;ii. the member concerned be admonished or reprimanded by the Chairman of

theProfessional Accreditation Committee;

iii. the admission of the member concerned as a Chartered Director besuspended for a defined period of time or be withdrawn;

iv. the member concerned be suspended for a defined period of time or beexpelled from membership of the Institute;

v. the member concerned be required to give to the Institute an undertaking bydeed as to his future conduct;


vi. the member concerned be ordered to pay all or any part of the costs of thecomplainant and the Institute incurred at any stage up to the decision of theDisciplinary Committee.



Page 9 of 14

5. Report to the Professional Accreditation Committee

The chairman of the Disciplinary Committee shall make an immediate report to the

Professional Accreditation Committee. The report shall include, for each case:i. the allegations;ii. the decision reached;iii. a summary of the evidence received including the response to the allegations;


iv. the action taken in response to the decision.



Page 10 of 14

6. Appeal

6.1 The member concerned, the complainant or the Institute Secretary may request

an appeal to the Appeals Committee of the IoD against all or any part of a decision ofthe Disciplinary Committee. The appellant must inform the other two parties (namely,the member concerned and/or the complainant and/or Institute Secretary) in writing,within 30 days of the notification of the decision of the Disciplinary Committee, ofhis/her request and the reasons for the appeal. Such period of 30 days may beextended by the Chairman of the Board of the Institute at his discretion.

6.2 An Appeals Committee shall be set up by the Board and shall decide whether ornot the request for appeal shall be allowed. Requests for an appeal will beconsidered only if there is prima facie evidence that:

i. the Disciplinary Committee’s proceedings were not conducted in accordancewith the current regulations in some material respect;

ii. material new evidence has become available since the DisciplinaryCommittee’s meeting to hear the case; or

iii. some other material irregularity has occurred.Disagreement with any decision of the Disciplinary Committee alone cannotconstitute grounds for an appeal.

6.3 Where the request for an appeal is granted, the Appeals Committee shall hearthe individual case as soon as is practicable, normally within 15 working days.

6.4 The role of the Appeals Committee is to consider each case and be satisfied thatthe work of the Investigation Panel and Disciplinary Committee has been adequate

and fair.

6.5 A written record of the proceedings of the Appeals Committee shall be kept.

6.6 The Board shall decide the membership of the Appeals Committee to consider anindividual case; it shall consist of at least three persons who are members of theBoard of the Institute or of its Council. No person associated with the memberconcerned, or who was a member of the Investigation Panel or the DisciplinaryCommittee which considered the case, or who is a member of the ProfessionalStandards Department, shall be a member of the Appeals Committee.

6.7 A member whose case is under consideration shall have the right to appear

before the Appeals Committee and to be represented (at his/her own expense) at theHearing and shall have the right to present witnesses, to cross-examine and to beheard. The Committee shall hear evidence from the appellant, the memberconcerned, the chairman of the Disciplinary Committee and other appropriatepersons, and have the right of access to all information it considers may be relevant.


6.8 If the member concerned is to have representation at the Hearing, then at least14 days before the date of the Hearing of the Appeals Committee, he/she mustinform the Institute Secretary in writing of this fact, specifying the name, address,occupation and legal qualifications (if any) of his/her representative, and any other



Page 11 of 14

details concerning his/her representative that he/she may consider relevant to themembers of the Appeals Committee.

6.9 The Institute Secretary is responsible for:

• arranging the Hearings and other meeting(s) of the Appeals Committee,• the distribution of documentation which shall include the request for appeal

and a statement by the chairman of the Disciplinary Committee,

• providing a report of the Hearing, and

• informing the member concerned, the Board of the Institute and theProfessional Accreditation Committee in writing, using secure delivery, of itsoutcome.

• 6.10 The Committee may proceed in the absence of the member concerned providedit is satisfied that notice of the Hearing was properly served.

6.11 Unless the Appeals Committee is satisfied that:

• the case in question was not properly dealt with by the DisciplinaryCommittee in some material respects;

• there was some material new evidence which was not properly taken intoaccount; or

• there was some other material irregularity,it shall reject the appeal. It may require the appellant to pay all or part of the costsincurred by the Institute or any other party in connection with the appeal. The InstituteSecretary shall communicate this decision to the member concerned and thecomplainant.

6.12 If the Appeals Committee is satisfied on one or more of such matters, it shall

either require the Disciplinary Committee to reconsider the decision, or it shall annulthe decision. The Appeals Committee may also direct that all or any part of the costsof member concerned or the complainant in connection with the appeal should beborne by some other party to the appeal. The chairman, and/or any other members,of the Appeals Committee may attend a reconvened meeting of the DisciplinaryCommittee to elucidate or clarify its finding. The chairman of the DisciplinaryCommittee shall report the outcome of its reconsideration to the Appeals Committee,via the Institute Secretary. This report shall indicate both the way in which theissue(s) referred by the Appeals Committee was given due and proper attention andconsideration by the Disciplinary Committee and the decision it has taken.

6.13 The Appeals Committee may require that the reconsideration of any decision

shall be by the Disciplinary Committee which made the decision or by a newDisciplinary Committee appointed by the Chairman of the Professional AccreditationCommittee. The Appeals Committee has the authority to require the Chairman of theProfessional Accreditation Committee not to include in the new DisciplinaryCommittee one or more members of the Committee whose decision has beenappealed.


6.14 If the Appeals Committee is satisfied of the occurrence of an error or irregularitysufficient to prejudice the consideration of complaints against more than onemember, it shall require the Disciplinary Committee to reconsider its decisions with



Page 12 of 14 Disciplinary and Appeals RegulationsChartered Director

regard to all such members. The Committee shall report the outcome of itsreconsideration to the Appeals Committee which may annul the action taken in thecase of the member concerned and/or other members.



Page 13 of 14

7. Safeguards for Members

A member whose case is subject to consideration under these Regulations and

Procedures shall have the right to remain as a member and Chartered Director untilsuch time as a final decision is reached. This right is designed to ensure that amember whose appeal is successful is not disadvantaged.


August 2006



Page 14 of 14

8. Publication of Decisions

Decisions of the Disciplinary Committee and the Appeals Committee may be

published. The extent of the publication will be at the discretion of the Professional Accreditation Committee, with advice from the Disciplinary and/or AppealsCommittees.The Professional Standards DepartmentT 020 7766 8780 F 020 7766 8847


Documents

Disciplinary Appeals Regulations