CEP Disciplinary procedures

CEP Disciplinary procedures for Members and Certification Holders

Definitions

Code of Ethics
Code of Professional Conduct
Disciplinary Proceedings
Certification Holder
Case
Case Officer*
Day/s
Investigation Officer*
Member
Writing
Disciplinary Hearing
Disciplinary Committee
Disciplinary Appeal Committee
The prevailing Code of Ethics of CEP.
The prevailing Code of Professional Conduct of CEP.
Proceedings which take place under these Procedures.
The holder of the certification or credential (including digital badges) about whom the case relates.
A complaint that is heard by a Disciplinary Committee.
The member of CEP staff, or advisor, who presents the case against the Certification Holder to the Disciplinary Committee.
In relation to the period of a notice, it is that period including the day when the notice is deemed to be given and the day for which it is to take effect. Notice is deemed to be given or take effect on the day it is given if given electronically, by hand or by fax, and three (3) days after being sent, if sent by post.
The Officer who is responsible for receiving, interpreting and investigating allegations of misconduct on behalf of the Board of CEP, or its appointed subcommittee. The Investigation Officer is appointed by the Board or its appointed subcommittee.
Any Member of CEP
Anything written, printed or lithographed, or partly one and partly another, and other means of representing or producing words in a visible form (e.g. including emails and faxes and other electronic forms).
The formation of a disciplinary Committee to hear a case.
The Committee appointed by the Board or its appointed subcommittee to consider allegations of misconduct and determine the action to be taken.
The Committee appointed to consider an appeal.

* The Case Officer and Investigation Officer roles can fall to the same person if appropriate.

1. Disciplinary Procedure

The grounds for a case being considered under these procedures are that the Member or Certification Holder appears to have demonstrated conduct in breach of one or both of the Codes.

1.1 These Disciplinary Procedures apply to instances of alleged breaches of CEP’s Code of Professional Conduct, CEP’s Code of Ethics or in response to complaints in relation to Members or holders of CEP certifications.

1.2 The Codes, Complaints Procedures and Disciplinary Procedures only apply to individuals who are or were Members or Certification Holders at the time the alleged breach took place.

1.3 There will be no fee for lodging a complaint. At its sole discretion, CEP reserves the right to charge for cost recovery in cases where complaints are investigated and not upheld.

1.4 Disciplinary Proceedings will commence when the Investigation Officer has determined that there is sufficient evidence following a referral (investigated under the Complaints Procedure) to suggest that a Member or Certification Holder might have breached either of the Codes or demonstrated a lack of competence pertinent to the qualification(s) held. At this point the referral becomes a case. CEP is responsible for presenting evidence in the case to a Disciplinary Committee. The original Complainant may be called as a witness but will not have a right to attend.

1.5 The Investigation Officer, with the agreement of the Disciplinary Committee Chair, may agree to refer a complaint to a Disciplinary Hearing.

1.6 In the event a Member or Certification Holder has been found guilty by a criminal court after an offence that could prejudice his/her ability to comply with the Code of Ethics or Code of Professional Conduct, the Disciplinary Committee Chair may request the Board expel or suspend the Member or Certification Holder without a Disciplinary Hearing.

1.7 A member of CEP staff, or advisor will be selected by the CEO to take on the role of Case Officer and take the case forward.

1.8 The Member or Certification Holder will be notified within 14 days of the decision that Disciplinary Proceedings are to commence, and a copy of the Investigation Report (and if in existence an Investigation Review Report) will be sent to them.

1.9 The Investigation Officer will present the report to a Disciplinary Hearing.

2. Disciplinary Committee

2.1 A dedicated Disciplinary Committee will be established for each case under a Disciplinary Committee Chair.

2.2 The Disciplinary Committee shall consist of at least three (3) members (including the Chair) appointed by the Board, or its appointed subcommittee.

2.3 The Board, or its appointed subcommittee, will be responsible for selecting Committee members and ensuring conflicts of interest are avoided or managed.

2.4 The Committee may act by a majority of the members present at any meeting. Other than matters of determination (see 4.1), in the event of an equality of votes, the Chair shall have a casting vote.

2.5 The Case Officer shall act as secretary to the Disciplinary Committee and shall be responsible for ensuring that a record of the proceedings at a hearing is kept. If the Case Officer cannot act, an alternate Secretary shall be appointed by the Disciplinary Committee Chair.

3. Disciplinary Proceedings

Preparation

3.1 The Case Officer, or alternate, in consultation with Disciplinary Committee members, shall fix a date and place for the case to be considered and, at least 28 days before the Hearing:

a) Give notice to the Member or Certification Holder and Investigation Officer of the date, time and place, and proceedings of the Hearing;

b) Circulate the Investigation Report to the Member or Certification Holder and all Disciplinary Committee members;

c) Provide the Member or Certification Holder with the names of the members of the Disciplinary Committee and invite objections;

d) Require the Member or Certification Holder to give notice, at least 14 days prior to the Hearing, of whether they will attend, and whether they will bring any other person with them;

e) Notify the Member or Certification Holder that they have the right to make a written submission to the Committee. Any such written submission must be submitted 14 days before the hearing; and

f) Notify the Member or Certification Holder that they have the right to call witnesses. Details of any witnesses to be called by any of the parties must be given to the Disciplinary Committee Chair, via the Case Officer, at least 14 days before the hearing.

3.2 Written submissions, and additional witnesses, can only be submitted less than 14 days before the commencement of the Hearing with the agreement of the Disciplinary Committee Chair. Any written submissions provided, and details of witnesses, shall be circulated to all parties at least 7 days before the hearing (or as soon as possible if accepted by the Disciplinary Committee Chair after that date).

The Hearing

3.3 The Disciplinary Committee Chair will determine whether the Hearing will be conducted by correspondence, tele-conference or in person.

3.4 The Member or Certification Holder will have the right to attend the Hearing. They may be supported by any other person, including a legal advisor, at their own cost. That person cannot, however, represent them, or speak for them, in any way. They may usually only be supported by one other person unless the Disciplinary Committee Chair has agreed otherwise.

3.5 If the Certification Holder does not attend the hearing and the Committee is satisfied that correct notice was given, it may proceed in his/her absence.

3.6 The Disciplinary Committee may have the assistance of its own legal advisor (who may be appointed by the Disciplinary Committee Chair) to advise on matters of law and procedure as it sees fit. The legal advisor may be present at the hearing and may advise the Committee in private. Where the legal advisor advises the Committee in private, s/he will inform the Member or Certification Holder and Case Officer of the advice s/he has given. The Committee may also have the assistance of technical advisors, who shall be appointed and advise in the same way, and it may also call for expert witnesses.

3.7 The order in which a Hearing will normally proceed (subject to the discretion of the Disciplinary Committee Chair), is as follows:

a) Introductions shall be made;

b) The procedure to be followed will be explained by the Disciplinary Committee Chair;

c) The Investigation Report will be presented by the Case Officer or Investigation Officer;

d) The Case Officer and then the Member or Certification Holder will be given the opportunity to speak;

e) The Committee will put to the Case Officer, Investigation Officer and then the Member or Certification Holder, any questions arising out of these matters which the Committee considers pertinent;

f) Any witnesses will be heard – first the witnesses called by the Case Officer and then the Witnesses called by the Member or Certification Holder. The Member or Certification Holder will have the opportunity to cross examine any witnesses called by the Case Officer, and the Case Officer will have the opportunity to cross examine any witnesses called by the Member or Certification Holder. The Committee will put to the witnesses any questions arising out of these matters which the Committee considers pertinent. Written witness statements may also be considered, if agreed by the Committee;

g) The Committee will put to the Case Officer, Investigation Officer and then the Member or Certification Holder, any questions arising out of the witness statements;

h) The Case Officer and then the Member or Certification Holder will be given the opportunity to address the Committee in conclusion;

i) The Case Officer; Investigation Officer, the Member or Certification Holder and any other persons (excepting any legal advisor or support to the Committee and its secretary) will be asked to withdraw while the Committee considers if the Code has been breached and if so, in what way. If the Code has been breached, the Committee shall also agree what sanctions shall be imposed.

3.8 The Disciplinary Committee Chair may postpone or adjourn the hearing at any point. The Case Officer or the Member or Certification Holder can request such an adjournment. The Chair shall give due consideration to such a request, but it shall be his/ her final decision whether or not to adjourn.

3.9 The Disciplinary Committee may make such further enquiries by correspondence or call witnesses or otherwise as it may think fit. This may involve an adjournment of the Committee hearing for a reasonable period.

3.10 A copy of the record of the proceedings shall be made, and shall be made available to the Member or Certification Holder, if she or he requests one, within one month of the date of the request.

3.11 Subject to these regulations the procedure of the hearing shall be determined by the Disciplinary Committee Chair.

4. Decisions of the Disciplinary Committee

4.1 The decisions of the Committee shall be by majority vote. In the event of a tied vote, the Chair shall not have a casting vote; in these circumstances the case shall be regarded as dismissed. The standard of proof required by the Committee is “balance of probabilities” and it will make its decisions accordingly.

4.2 The Disciplinary Committee Chair shall prepare a written report within 14 days of the completion of the hearing process. The report shall outline the events of the hearing and set forth the reasons for the Disciplinary Committee’s recommendations. It shall form part of the record of the Disciplinary Hearing and be kept accordingly. The report will be sent to the Member or Certification Holder and the Case Officer within 21 days of the completion of the hearing process. The original Complainant shall also be sent, in confidence, notification of the decision of the Disciplinary Committee.

4.3 The Disciplinary Committee shall have powers to dismiss a case; or to uphold a case in full or in part. If a case is upheld, in full or in part, the Disciplinary Committee may exercise one or more of the following disciplinary decisions, in combination or as alternatives:

a) Reprimand the Member or Certification Holder;

b) Permit membership and/or certification to continue, subject to special stated conditions (e.g. completing further training or periods of mentoring etc.);

c) A Certification Holder may have their certification removed permanently, or suspended for a defined time or until a specified event;

d) A Member may be excluded permanently or for a defined time or until a specified event;

e) Depending on the details of the case and nature of breach, apply sanctions across all CEP certifications held by the Certification Holder.

4.4 If the sanction requires action or compliance by the Member or Certification Holder, the Disciplinary Committee shall also determine how a review of compliance will be undertaken; the period given to ensure compliance; and the sanction to be imposed if the Member or Certification Holder does not comply.

4.5 In exceptional circumstances, the Committee may also direct that the Member or Certification Holder be requested to agree to pay the costs of the hearing or make a contribution to the costs. Such a request can be made at any time during the proceedings. Such a decision shall only be taken when the Member or Certification Holder has significantly contributed to the costs of the hearing, and / or caused the costs of the hearing to be higher than would usually be expected.

4.6 Members and Certification Holders will usually be expected to cover their own expenses in attending a hearing, as will any witnesses that they call. However, the Disciplinary Committee will seek to ensure that, wherever possible, hearings are held in a manner that will reduce the expense of attendance in whatever way possible, without affecting the effectiveness of that hearing. In exceptional circumstances, the Disciplinary Committee Chair can agree to cover necessary and reasonable expense, either prior to a hearing, if s/he considers that this will enable a fairer hearing to take place or following a hearing if s/he considers that the Member or Certification Holder, and/or witnesses has been unduly disadvantaged by the cost of attendance.

5. Appeal

5.1 There will be a fee for lodging an appeal as set out in CEP’s Subscriptions and Fees schedule. The fee payable will be that applicable at the date of lodgement.

5.2 The Member or Certification Holder can appeal the decision of the Disciplinary Committee. Such an appeal must be received within 21 days of the notification of the decision. The appeal must set out the reasons why the decision is being appealed. This must be one or more of the following:

a) That the procedures have not been followed or correctly applied;

b) That the Disciplinary Committee failed to take into account a relevant matter; or improperly took account of some matter;

c) That the decision of the Disciplinary Committee, and or the penalty that it determined, was perverse.

5.3 In the event of an appeal, the CEP Board will establish a Disciplinary Appeal Committee, a subset of Board members. The Disciplinary Appeal Committee will only consider the matters in 5.1 and will not consider new evidence, unless that evidence had been disregarded by the Hearing. An Appeal will not be a re-hearing of the case.

5.4 A Disciplinary Appeal Committee will have at least three members and will be established within 21 days of the Appeal being received.

5.5 A Disciplinary Appeal Committee Member will not have had previous dealings with the Member or Certification Holder complained of personally or professionally; or has taken part in the previous consideration of the complaint or any aspect of the complaint; or has any other conflict of interest. If, for any reason, it is not possible for all of the Disciplinary Appeal Committee Member to have no previous dealings with the Member or Certification Holder, legal advice shall be taken, and the Committee can proceed, provided the reasons for the involvement of these members are recorded.

5.6 The Disciplinary Appeal Committee will aim to consider the appeal within 28 days of being appointed. It can consider the case either by written submissions, or at a hearing, as determined by its Chair. If a hearing is held, the person seeking the review and all other parties shall be entitled to attend any hearing and make representations to it. They may be supported by another individual in the same way as at the Disciplinary Hearing. They will be given at least 14 days’ notice of any hearing. Relevant documents will be circulated to all parties before any appeal hearing.

5.7 If an Appeal Hearing is held, the place where the hearing will be heard will be determined by the Disciplinary Appeal Committee Chair. The hearing will be held by conference call or in person.

5.8 If an Appeal Hearing is held, the Case Officer shall fix a date and place for the Hearing and, at least 14 days before the Hearing:

a) Give notice to the Member or Certification Holder and Investigation Officer of the date, time and place, and proceedings of the Hearing;

b) Provide the Member or Certification Holder with the names of the members of the Disciplinary Appeal Committee.

5.9 The decision of the Disciplinary Appeal Committee will be final and by simple majority. Where no such majority is obtained, the appeal fails and the original decision stands.

5.10 The Disciplinary Appeal Committee may overturn the disciplinary decision, vary or uphold it.

5.11 The parties concerned will be informed in writing within 14 days of the decision of the Disciplinary Appeal Committee.

5.12 In the case of an appeal, the sanctions agreed by the Disciplinary Hearing will not come into effect until the Disciplinary Appeal Committee has concluded its work.

5.13 The Disciplinary Appeal Committee may also direct that the Member or Certification Holder be requested to agree to pay the costs of the appeal hearing or make a contribution to the costs. Such a request can be made at any time during the proceedings. Such a decision shall only be taken when the Member or Certification Holder has significantly contributed to the costs of the appeal hearing, and/or caused the costs of the hearing to be higher than would usually be expected.

5.14 Members or Certification Holders will usually be expected to cover their own expenses in attending an appeal hearing, as will any witnesses that they call. However, the Disciplinary Appeal Committee will seek to ensure that wherever possible appeal hearings are held in a manner that will reduce the expense of attendance in whatever way possible, without affecting the effectiveness of that hearing. In exceptional circumstances, the Disciplinary Appeal Committee Chair can agree to cover necessary and reasonable expense, either prior to a hearing, if s/he considers that this will enable a fairer hearing to take place, or following an appeal hearing if s/he considers that the Member or Certification Holder and/or witnesses has been unduly disadvantaged by the cost of attendance.

6. Resignations and withdrawals

6.1 If a Member or Certification Holder opts to relinquish their membership or certification during disciplinary proceedings, the Committee will still meet as if the Member or Certification Holder continued to hold their membership or certification unless the Disciplinary Committee determines that there is good reason not to.

7. Information and Confidentiality

7.1 All records relating to a case are confidential and not disclosed to anyone who is not involved in the Disciplinary Hearing. Both the Complainant and the Member or Certification Holder are expected to respect this confidentiality and will be made aware that not doing so may affect the proceedings.

7.2 CEP will aim for full transparency and disclosure of information to the Member or Certification Holder concerned. The presumption shall be that evidence will not be considered unless it is available to all of the parties.

8. Publication and records of decisions

When a Member or Certification Holder is found to have breached the Code, CEP will usually publish the decision unless the Disciplinary Committee has determined that there is a good reason not to.

8.1 A summary of cases upheld will be published in the Annual Report and on the CEP website.

8.2 If a case is upheld, in considering its decision, the Disciplinary Committee shall also consider:

a) Whether the Member or Certification Holder should be named in the publication of the conclusion of the case, or whether it should be anonymised;

b) The information (if any) that will be given by CEP on the case, the Member or Certification Holder if enquiries are received.

8.3 Decisions of the Disciplinary Hearing and of the Disciplinary Appeal Committee will be reported to the CEP Board and its relevant sub committees.

8.4 Records, data, evidence and manuscripts relating to referrals that are investigated will be held for six years from the date of resolution and then destroyed.

8.5 Records, data, evidence and manuscripts relating to cases that are referred to the Disciplinary Committee (including the Investigation Report) will be held for six years from the date of the final hearing and then destroyed.

8.6 If a case is upheld by the Disciplinary Committee and a sanction agreed, this shall be placed on the individual record of the Member or Certification Holder. As part of its decision on the sanction, the Committee shall determine for how long the record should be held, however for guidance, records of exclusion should normally be permanent, and records of any penalties should be for a minimum of five years.

8.7 CEP will maintain a register of all complaints raised and the decisions of their Disciplinary Committees thereon.

9. Resubmission of a case

9.1 Any decision taken under this procedure is final. A matter can only be raised again where, in the opinion of CEP’s CEO, new evidence is presented to CEP. In this instance, the matter shall be regarded as a new complaint and dealt with under the Complaints Procedures.

Approved by the Carbon and Energy Professionals New Zealand Board on 14 June 2023. 

Effective from 1 July 2023 until replaced.

Contact 

If you have any questions about the Disciplinary Procedures Policy please contact CEP via email or by visit our Contact page.