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Disciplinary Code


  1. A Member shall be liable to disciplinary action if:-
    1. he / she is in breach of the Code of Ethics;
    2. he / she has through his professional conduct acted in a way which is likely to bring discredit to the Institute
    3. he / she has failed to comply with instructions from the Disciplinary Panel
  2. Instigation of disciplinary procedures:-
    1. any person bringing to the attention of a Member of the Board, any fact or matter which may indicate that a Member may be liable to disciplinary action.

Every Member has a duty where it is in the public interest to do so, to report any facts or matters indicating that a Member may be liable to disciplinary action. Informal advice may be obtained from the local Regional Chair in relation to whether a matter is in the public interest'.

Where such matters are brought to the attention of a Member of the Board, they shall be referred to the Chairman who will instigate the procedures as outlined.

The Disciplinary Panel

  1. Where a matter is required to be dealt with under the disciplinary procedures, the Chairman shall refer the matter to a Panel (the Disciplinary Panel). The Panel will comprise of not less than 3 Members of the Board including the Chairman or a Vice Chairman. Members of the Panel are appointed at the discretion of the Chairman or in his absence a Vice Chairman.
  2. The Regional Chairman for the relevant Member shall not take part in the Panel, and any Board Members who may have a prejudicial interest shall declare the interest and exclude themselves from the Panel.
  3. The Panel shall, as soon as practicable, consider the allegation. In doing so, and at their absolute discretion, they may consider the information provided to them on referral or invite written or oral representation from the Member (or other parties) or make other further enquiries as they see fit.
    1. Having considered the allegation, the Panel may:-
    2. Dismiss the allegation as unproven
    3. Take no action
    4. Warn the Member as to future conduct
    5. Recommend remedial action to be taken by the Member
    6. Invite the Member to resign membership from the Institute
    7. Revoke membership
  4. The Panel shall notify the Member in writing of the decision within 5 working days of determination of the matter
  5. The Chairman and Regional Chair shall be notified of the decision (in writing) as soon as practicable.

Right of Appeal

  1. The Member shall have a right of appeal to a 2nd (independent) Panel appointed by the Chairman (or a Vice Chairman if the Chairman is unavailable or excluded through a prejudicial interest / involvement in the original decision).
  2. A request for appeal (on relevant grounds) shall be made in writing to the Chairman within 21 days of the Member being notified of the decision.
  3. Grounds for an appeal shall be:-
    1. That the decision of the Panel was not justified on the evidence available
    2. That additional evidence is available which could have materially affected the decision of the Panel
    3. That the Member will suffer particular and unwarranted hardship from the action to be taken on the decision of the Panel
    4. Another reason as considered relevant at the discretion of the Chairman

Appeals Procedure

  1. The Member will be notified of the date, time and location of the proposed hearing, and shall be invited to attend to make oral representations to the Panel.
  2. The Member may (at the discretion of the Panel), choose to have additional representatives attend the hearing.
  3. Written representations may also be considered from any party relevant to the matter under consideration.
  4. The Panel shall determine the matter privately having heard / considered all the evidence available to them.
  5. The Panel shall notify the Member of the decision in writing, within 5 days of the hearing, and the Chairman of the Institute and relevant Regional Chair shall also be notified of the decision as soon as practicable.

Records of Hearings

  1. Full records of the hearing including the evidence under consideration, notes in relation to the hearing itself, and a record of the decision shall be made.
  2. The decisions of the Disciplinary Panel and Appeals Panel shall be reported to the Institute Board at the next available meeting
  3. Records of the hearings and determinations shall be passed to the Company Secretary who will on behalf of the Institute, retain such records securely for a period of 5 years from the date of the hearing.

Records relating to previous matters may, at the discretion of the Disciplinary Panel or Appeals Panel form part of the evidence in considering a Members conduct.

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