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Disciplinary Code
2. The body charged with ensuring that disciplinary procedures are carried out properly and fairly shall be The Council of The Society. The Council's interpretation of the meaning of any articles in either the Code of Conduct or the Disciplinary Code shall in all cases prevail. This interpretation shall be established by decision of The Council. 3. Article Seven of The Society's Articles of Association provides for disciplinary action to be taken against Members. This Disciplinary Code sets out the process by which such disciplinary action shall be taken. 4. Article Thirty-Two of The Society's Articles of Association provides that The Council of The Society may delegate such of its powers to an Executive Committee as Council may determine, and decide upon terms of reference for the operation of such a Committee. The Disciplinary Committee and the Appeals Committee hereinafter referred to shall each be deemed to be an Executive Committee within the meaning of Article 32 of the Articles of Association. 5. The Disciplinary Committee of The Society shall be constituted as follows: i.) The Council of The Society shall appoint the Chair of the Disciplinary
Committee. The Chair of the Disciplinary Committee shall be a Member of
Council. 6. The Appeals Committee of The Society shall be constituted as follows: i.) The Council of The Society shall appoint as Chair of the Appeals
Committee a barrister or solicitor of not less than ten years' standing,
who shall not currently be a Member of The Society, nor previously have
been a Member of The Society. 7. All Members of The Society and all members of staff employed by The
Society shall respond in a responsible and proactive manner to any indication
that the Code of Conduct may have been breached. All members of staff
and Members of Council shall deal with such information in a timely manner,
having regard to the rights of the Members against whom the information
is brought; the legitimate concerns of the informant and the good name
and standing of The Society. 9. The member of staff shall consider how best to deal with the information received. With the exception of such consultations as are necessary to determine the facts of the case, the information shall be kept confidential. 10. If the information brought to the attention of the member of staff indicates that there may be a prima facie case against a Member, the member of staff shall then gather as much information as possible in as complete and timely a manner as circumstances may allow. This shall include: obtaining details in writing from the original informant and any other relevant sources and determining whether the informant wishes to remain anonymous. The member of staff shall notify the informant within 10 working days of receiving their information how, if at all, The Society shall act on the matter. 11. The member of staff shall make appropriate efforts to determine whether any statutory or regulatory body is already dealing with the case. If any such body is already dealing with the case The Chief Executive shall be advised of this and make a determination as to whether the matter should continue to be pursued within The Disciplinary procedures of the Society. 12. The member of staff may then determine to pursue the information no further, as there is no substantive case for the Member to answer. In this case the informant shall be advised that the case is being closed, and the information he has have provided shall be filed in the offices of The Society. 13. If the member of staff decides to pursue the question, he shall inform the Member in writing (by recorded delivery or appropriate alternative outside the UK) that information about them has been brought to the attention of The Society. The Member shall also be informed at this point of: · the nature of the case brought against them 14. The Member shall be invited to respond in writing within 21 days, providing details of any evidence upon which he intends to rely before the hearing of his case in accordance with any requirements set down from time to time by the Disciplinary Committee. 15. At the end of 21 days the file (including the Member's response if this has been received) shall be passed to the Chair of the Disciplinary Committee. 16. The Chair of the Disciplinary Committee shall then convene a Disciplinary Committee from those Fellows of The Society whose names are on the Disciplinary Register. The Chair of the Disciplinary Committee shall at his own discretion appoint either two or four Fellows of The Society from the Disciplinary Register to the Disciplinary Committee, the total membership of which shall therefore be three or five. 17. Before inviting any person on the Disciplinary Register to join the Disciplinary Committee, the Chair of the Disciplinary Committee shall determine that the person remains a Fellow of the Society in good standing. 18. If a complaint is brought against a person who has already ceased to be a member, or if information comes to light in respect of such a person without a formal complaint being brought, The Society will not go through the normal disciplinary process. However Council will appoint one of its members to make a recommendation to Council whether that individual should be readmitted to membership or not. 19. If a member lapses or resigns after a disciplinary process has already
been set in motion, the Chairman of the Disciplinary Committee will use
their best efforts to proceed with the full disciplinary process but if
this proves unworkable may make a recommendation to Council as to whether
that member should be readmitted to membership in the future. 20. The Disciplinary Committee shall give the Member not less than fourteen days' notice of the time and place of the meeting at which the case against him is to be heard, and shall in such notice inform the Member that he may attend and make representations to the Appeal Board. The Member shall in all cases be offered a reasonable opportunity to appear in person before the Disciplinary Committee if he wishes to do so, but shall not be compelled to appear. The Chair of the Disciplinary Committee may determine whether the Member may have any other person present during their hearing, and whether that person may be allowed to make any representations on the Member's behalf. 21. The member of staff who services the Disciplinary Committee shall not be the same person as the member of staff who has presented the case to the Disciplinary Committee for hearing. 22. The Disciplinary Committee shall consider the case and reach a decision both on the culpability of the Member and on which sanctions, if any, it wishes to apply, by majority vote. The body may apply any of the following sanctions against the Member: · Suspension from Membership for a period and forfeiture of any
current Membership fees 23. In its early decisions, the Disciplinary Committee shall have regard to the fact that it is establishing precedents against which future cases shall be measured. Where precedents for action and sanctions exist, the Disciplinary Committee shall have due regard to these in making its decision. 24. In all cases the appropriate member of staff shall notify in writing any informants or complainants, as well as the Member, of · The Disciplinary Committee's decision 25. For a period of 30 days from the date on which written notification is sent to the Member of the decision of the Disciplinary Committee, the Member shall have a right to give notice of a wish to appeal against the decision of the Disciplinary Committee to the Appeals Committee. This notice shall be made to The Chief Executive of The Society in writing and shall state the reasons for which the Member is not satisfied with the decision of the Disciplinary Committee and the basis on which the proposed appeal is to be made. If new evidence is to be relied upon such evidence shall be referred to in the said notice. On receipt of this notice The Chief Executive of the Society shall invite the Chair of the Appeals Committee to convene the Appeals Committee. 26. During the Appeals Period of 30 days from the date on which written notification is sent to the Member of the decision of the Disciplinary Committee any sanctions which it has decided to invoke against the Members shall not be applied. If at the end of the Appeals Period of 30 days the Member has given no written notice of intention to appeal against the decision of the Disciplinary Committee the sanctions shall be applied without further delay and the Member shall have no further right of appeal. The Chair of the Disciplinary Committee shall inform The Council of The Society of the proceedings and decisions of the Disciplinary Committee. 27. If before the end of the Appeals Period of 30 days the Member gives written notice to the Chief Executive of intention to appeal against the decision of the Disciplinary Committee any sanctions it has decided to apply against the Member shall not be applied unless the Appeals Committee consents to their application. 28. The Chair of the Appeals Committee shall on receipt of notice by the Member of intention to appeal against a decision by the Disciplinary Committee convene an Appeals Committee. The Appeals Committee shall consist of: · Its Chair 29. The Appeals Committee shall in the first place determine whether it wishes to hear the Member's appeal. The Appeals Committee may determine to pursue the matter no further on the basis that there is no substantive ground for appeal. If the Appeals Committee makes such a determination it shall report this at once to The Chief Executive and the sanctions imposed by the Disciplinary Committee shall come into immediate effect. Thereafter the Member shall have no further right of appeal against the decision of the Disciplinary Committee. 30. If the Appeals Committee decides to hear the appeal, it shall give the Member not less than 21 days' notice of the time and place of the meeting of the Appeal Board and shall in such notice inform the Members that he may attend and make representations to the Appeal Board. The Member shall in all cases be given a reasonable opportunity to appear in person before the Appeals Committee if he wishes to do so, but shall not be compelled to appear. The Chair of the Appeals Committee may determine whether the Member may have any other person present during their hearing, and whether that person may be allowed to make any representations on the Member's behalf. 31. The Member shall provide details of any evidence upon which he intends to reply in good time before the hearing of his appeal in accordance with any requirements set down from time to time by the Appeals Committee. 32. The member of staff who services the Appeals Committee shall not be the same person as the member of staff who has presented the case to the Disciplinary Committee for hearing. 33. In its early decisions, the Appeals Committee shall have regard to the fact that it is establishing precedents against which future cases shall be measured. Where precedents exist, the Appeals Committee shall have due regard to these in making its decision. 34. If the Appeals Committee upholds the decision of the Disciplinary Board it may, at its entire discretion, vary the sanction imposed by the Disciplinary Committee against the Member. 35. If the Appeals Committee does not uphold the decision of the Disciplinary Committee the sanctions imposed by the Disciplinary Committee shall not be applied to the Member. 36. The Appeals Committee having made its determination shall immediately inform the Chief Executive of The Society so that appropriate action may be taken. The Chief Executive shall report on the proceedings and decisions of the Appeals Committee to The Council of The Society. 37. In all cases the appropriate member of staff shall notify in writing any informants or complainants, as well as the Member, of the Appeals Committee's decision and of the sanctions, if any, applied against the Member. 38. The Council of The Society shall only note the proceedings and decisions of the Disciplinary Committee and the Appeals Committee. 39. All documentation on investigations and hearings involving alleged or actual breaches of The Society's Code of Conduct shall be held in the offices of The Society for a period of three years. Responsibility for ensuring that the appropriate confidentiality is assured shall rest with the Officers of The Society. The Officers of The Society shall also provide any relevant information on precedents to the Disciplinary and Appeals Committees.
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