Institute of Licensing

05/02/2012

Disciplinary procedures

1. A Member shall be liable to disciplinary action if:-

a) he is in breach of the Code of Ethics;
b) he has through his professional conduct acted in a way which is likely to
bring discredit to the Institute
c) he has failed to comply with instructions from the Disciplinary Panel

2.Instigation of disciplinary procedures:-

a) 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
repoft 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.

3.The Disciplinary Panel

a) 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.
b) 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.

4. Consideration of peftinent matters

a) 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.

5. Panel decisions

Having considered the allegation, the Panel may:-
a) Dismiss the allegation as unproven
b) Take no action
c) Warn the Member as to future conduct
d) Recommend remedial action to be taken by the Member
e) Invite the Member to resign membership from the Institute
D Revoke membership

6. Notification of the decision

a) The Panel shall notify the Member in writing of the decision within 5
working days of determination of the matter
b) The Chairman and Regional Chair shall be notifled of the decision (in
writing) as soon as practicable.

7. Right of Appeal

a) 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).
b) 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.
c) Grounds for an appeal shall be:-
o That the decision of the Panel was not justified on the evidence
available
B That additional evidence is available which could have materially
affected the decision of the Panel
tr That the Member will suffer particular and unwarranted hardship from
the action to be taken on the decision of the Panel
o Another reason as considered relevant at the discretion of the Chairman

8. Appeals Procedure

a)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.
b)The Member may (at the discretion of the Panel), chose to have additional
representatives attend the hearing.
c)Written representations may also be considered from any pafly relevant to
the matter under consideration.
d)The Panel shall determine the matter privately having heard / considered all
the evidence available to them.
e) 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.

9. Records of hearings

a) 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.
b) The decisions of the Disciplinary Panel and Appeals Panel shall be reported
to the Institute Board at the next available meeting
c) 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.
d) Records relating to previous matters ffidy, at the discretion of the
Disciplinary Panel or Appeals Panel form part of the evidence in considering a Members conduct.