Bye-Laws F
COMPLAINTS PROCEDURES
Feb 2010
ARRANGEMENT OF PARAGRAPHS
Part I. Preliminary
1. Interpretation
2. Arbitration Committee
3. Arbitration Panel
4. Appeals Board
5. Requirements for
Complaints
6-8. Referral of Complaints
9. Disciplinary Powers of
National Executive Committee
10. Independence
11. Representation
12. Settlement by
Agreement
13. Natural Justice
Part II. Preliminary Procedures
14. First Stage
15. Second Stage
Part III. Complaints Concerning The Council, a Branch, District
Council, Standing Committee or NEC Sub-Committee
16. First Stage
17. Second Stage
Part IV. Other Complaints
18. First Stage
19. Second Stage
Part V. Mediation
20. Procedure
Part VI. Arbitration Procedures
21. Procedure
22. Tribunal Hearing
Part VII. Powers
23. Interim Powers of
Arbitration Committee
24. Decision-Making
Powers of Arbitration Committee
25. Power of Appeals
Board
Part VIII. Appeals
26-28. Grounds of Appeal
29-30. Notice of Appeal
31-33. Preliminary Procedure
34-35. Subsequent Procedure
36. Publication of
Decision
Part IX. Costs
37. Order for Costs
38. Security for Costs
PART I. PRELIMINARY
1. Interpretation
In these Bye-laws:-
(a) 'complaint' means an allegation by a person
or body that he or it has been personally or individually wronged by
another person or body.
(b) 'complainant' means any person or body
submitting a complaint under these Bye-laws.
(c) 'arbitrating body' means the body
adjudicating upon a complaint or appeal.
(d) 'respondent' means any person or body
required to answer a complaint or appeal under these Bye-laws.
(e) 'appellant' means any person or body
appealing from a decision under these Bye-laws.
(f) 'party'
means any complainant, respondent or appellant in any proceedings under
these Bye-laws, including, where the context so requires, any person or
body which is the subject of a decision or award of the arbitrating
body.
(g) "third-party complaint" means a complaint
made by a complainant on behalf of a person or body other than himself.
(h) 'natural justice' means the provision for
all parties of a fair hearing for a complaint or appeal by an
arbitrating body.
(i) 'fair hearing' means the hearing of a
complaint or appeal of which prior written notice has been given to the
complainant or appellant and the respondent of each other's case and for
which an opportunity is given to all parties to make representations
thereon.
(j) 'working day' means any calendar day
other than a Saturday, a Sunday or a public holiday.
(k) 'security for costs' means the deposit with
the Union of a sum of money as may be required by the Arbitration
Committee or the Appeals Board, as the case may be, before undertaking
any hearing.
(l) 'significant failure' means a failure
which can be shown to be likely to have affected the decision against
the appellant.
(m) 'suspend' means suspend for a definite period.
2. Arbitration Committee
(1) There shall be an Arbitration Committee,
appointed annually by the National Executive Committee, which shall
carry out the functions and duties assigned to it by or under these
Bye-laws. No member of the National Executive Committee, the
Council, the Appeals Board or the Arbitration Panel shall be a member of
the Arbitration Committee.
(2) The Arbitration Committee shall have power
to make, and from time to time to vary and revoke, rules of procedure,
without infringing the general principles laid down in these Bye-laws.
(3) The Arbitration Committee shall cause
records to be kept of all complaints referred to it and decisions
thereon, and shall make such reports to the National Executive Committee
as may be necessary from time to time.
3. Arbitration Panel
There shall be an Arbitration Panel, appointed by the Arbitration
Committee from among Class B members of the Union. No member of
the National Executive Committee, the Council, the Arbitration Committee
or the Appeals Board shall be a member of the Arbitration Panel.
4. Appeals Board
(1) There shall be an Appeals Board, appointed
from time to time by the National Executive Committee, which shall carry
out the functions and duties assigned to it by or under these Bye-laws.
No member of the National Executive Committee, the Council, the
Arbitration Committee or the Arbitration Panel shall be a member of the
Appeals Board.
(2) The Appeals Board shall have power to make,
and from time to time to vary and revoke, rules of procedure, without
infringing the general principles laid down in these Bye-laws.
(3) The Appeals Board shall cause records to be
kept of all appeals referred to it and decisions thereon, and shall make
such reports to the National Executive Committee as may be necessary
from time to time.
5. Requirements for Complaints
(a) A complaint shall not be dealt with unless
it is in writing and includes the signature, full name and address of
the complainant.
(b) Any complaint shall include as a minimum the
following information:-
(i) the party or parties against whom the
complaint is made;
(ii) a statement of all relevant facts.
(c) Third-party
complaints shall not be accepted.
(d) A complaint shall be accepted only if the
respondent is:-
(i) a member of the Union; or
(ii) a body or committee within the Union or a
member of such.
(e) If before the completion of all proceedings
the respondent ceases to fall within sub-paragraph (d) above, the
Arbitration Committee or the Appeals Board as the case may be shall
decide whether to continue or abandon the proceedings.
6. Referral of Complaints
(1) Except as provided in (2) below, all
complaints received by the Union shall be referred to the Arbitration
Committee.
(2) A complaint against the Arbitration
Committee shall be referred to the National Executive Committee, which
shall appoint a panel to deal with the complaint in accordance with
these Bye-laws. No member of the National Executive Committee, the
Council, the Arbitration Committee or the Appeals Board shall be a
member of such panel.
7. A complaint arising wholly within
a Branch, a Church or a Kindred Body shall in the first instance be
dealt with in accordance with the appropriate Bye-laws or Rules
governing the body as the case may be. Where the complaint has
already been the subject of a decision pursuant to the complaints
procedure within the Branch or affiliated body, any appeal shall be
referred to the Appeals Board. Where no such decision has been
made, the complaint shall be referred to the Arbitration Committee.
8. The Arbitration Committee may
refer a complaint to the National Executive Committee if the Arbitration
Committee considers it to be the more appropriate body to deal with the
matter.
9. Disciplinary Powers of National
Executive Committee
The provisions of these Bye-laws are without prejudice to the right of
the National Executive Committee to exercise its disciplinary powers
under the Articles and Bye-laws.
10. Independence
No member of an arbitrating body shall take part in any proceedings in
relation to any complaint or appeal if he is or has been previously
concerned in the complaint or appeal, either personally or as a member
of a committee or other body, or if he has a direct proprietary or
financial interest in the outcome of the proceedings.
11. Representation
(a) Any party to any proceedings in relation to
any complaint or appeal shall be permitted to have a legal or other
professional representative or lay advisor ("a McKenzie friend") present
at any hearing but such representative or advisor shall attend in an
advisory capacity only and shall not be permitted to make
representations or to conduct any examination or cross-examination.
(b) Any point of law shall be submitted in
writing in skeletal form and submitted to the Arbitration Committee not
less than 15 working days before any hearing.
(c) The arbitrating body shall not enter
directly into communication with any legal or other professional
representative/advisor acting for any party to the proceedings in
relation to any complaint or appeal, except for clarification of any
point of law submitted under paragraph 11(b) above and only after
consultation with the Arbitration Committee.
12. Settlement by Agreement
All the provisions contained in these Bye-laws are without prejudice to
the right of the parties to the complaint to endeavour to secure an
amicable settlement by agreement at any stage. It shall be the
duty of the parties or any mediator appointed to notify the Arbitration
Committee of the details of the amicable settlement and to provide it
with a copy of the agreed settlement signed by each party.
13. Natural Justice
All proceedings under these Bye-laws shall be conducted in all respects
in accordance with natural justice.
PART II. PRELIMINARY PROCEDURES
14. First Stage
On receipt of a complaint the Arbitration Committee shall:-
(a) acknowledge the communication within 15
working days and send a copy of Bye-laws F to the complainant;
(b) if it thinks fit, request clarification of
details of the complaint to be submitted within 15 working days;
(c) within 15 working days of the
acknowledgement under (a) above or of receipt of clarification under (b)
above, whichever is the later, rule whether the complaint is malicious,
vexatious or frivolous or an abuse of the process; and
(d) if the complaint has been rejected under (c)
above, inform the complainant accordingly;
(e) if the complaint has not been rejected under
(c) above, inform the complainant accordingly and send him a copy of
Bye-laws F and a form for the acceptance of liability for any costs
awarded against him.
(f) upon receipt of the signed acceptance
form, notify the respondent that a complaint has been received and send
him a copy of Bye-laws F.
15. Second Stage
Subject to paragraph 14(d) above, the Arbitration Committee shall then
deal with the complaint in accordance with the appropriate sub-paragraph
below:-
(a) A complaint concerning the Council, a
Branch, district council, Standing Committee or NEC sub-committee shall
be dealt with in accordance with Parts III, V, VI and VII of these
Bye-laws.
(b) Any other complaint shall be dealt with in
accordance with Parts IV, V, VI and VII of these Bye-laws.
PART III. COMPLAINTS CONCERNING THE COUNCIL, A BRANCH, DISTRICT
COUNCIL, STANDING COMMITTEE OR NEC SUB-COMMITTEE
16. First Stage
(a) In the case of a complaint under paragraph
15(a) above, the Arbitration Committee shall send a copy of the
complaint and any supplementary information obtained under paragraph
14(b) above to the respondent and request his observations in writing
within 15 working days. An extension of the time for making such
observations may be granted by the Arbitration Committee upon written
request.
(b) The Arbitration Committee shall send a copy
of such observations to the complainant.
(c) In the event of unreasonable failure by any
party to respond with his observations in writing within the prescribed
period the Arbitration Committee may proceed in the absence of such.
17. Second Stage
(1) (a) If the
respondent admits all the allegations against him, the complaint shall
be dealt with in accordance with Parts VI and VII of these Bye-laws.
(b) The Arbitration Committee shall, if
appropriate, send a copy of the complaint and the respondent’s
observations to the relevant committee with a request for its comments
within 20 working days.
(2) Subject to sub-paragraph (1) above, the
Arbitration Committee shall:-
(a) if appropriate, send a copy of the complaint
and the respondent’s observations to the relevant committee with a
request for its comments within 20 working days;
(b) on receipt of such comments, reconsider
whether to rule that the complaint is malicious, vexatious or frivolous
or an abuse of the process and, if so, inform the complainant,
respondent and the relevant committee accordingly; and
(c) subject to sub-paragraph (b) above, appoint
a mediator, who shall endeavour to secure an amicable settlement by
agreement.
PART IV. OTHER COMPLAINTS
18. First Stage
(a) In the case of any complaint under paragraph
15(b) above, the Arbitration Committee shall send a copy of the
complaint and any supplementary information obtained under paragraph
14(b) above to the respondent and request his observations in writing
within 15 working days. An extension of the time for making such
observations may be granted by the Arbitration Committee upon written
request.
(b) The Arbitration Committee shall send a copy
of such observations to the complainant.
(c) In the event of unreasonable failure by any
party to respond with his observations in writing within the prescribed
period the Arbitration Committee may proceed in the absence of such.
19. Second Stage
(1) If the respondent admits all the allegations
against him, the complaint shall be dealt with in accordance with Parts
VI and VII of these Bye-laws.
(2) Subject to sub-paragraph (1) above, the
Arbitration Committee shall:-
(a) on receipt of such observations, reconsider
whether to rule that the complaint is malicious, vexatious or frivolous
or an abuse of the process and, if so, inform the complainant and
respondent accordingly; and
(b) subject to sub-paragraph (a) above, appoint
a mediator, who shall endeavour to secure an amicable settlement by
agreement.
PART V. MEDIATION
20. Procedure
(1) The mediator shall:-
(a) convene a meeting or meetings with the
parties to the complaint to endeavour to secure an amicable settlement
by agreement;
(b) if an amicable settlement is reached, have
the agreement recorded in writing and signed by each party to the
complaint and send it to the Arbitration Committee, which shall issue it
to all parties, to any relevant committee under paragraph 17(a) above,
and to the National Executive Committee;
(c) if an amicable settlement is not reached,
send his written observations on the case to the Arbitration Committee,
together with all documentation relating thereto.
(2) If the complainant refuses to participate in
mediation, the complaint shall not proceed.
PART VI. ARBITRATION PROCEDURES
21. Procedure
In the event of failure to secure an amicable settlement by agreement
under sub-paragraph 20(1) above or the exclusion of mediation under
sub-paragraph 17(1)(a) or 19(1) above the Arbitration Committee shall,
subject to payment of any security for costs required under paragraph 38
below, deal with the complaint in accordance with the appropriate
sub-paragraph below:-
(a) Where a complaint consists solely of an
allegation or allegations of an infringement or infringements of the
Union's Articles of Association, Bye-laws or the Rules governing an
affiliated body, the Arbitration Committee may either:-
(i) make a summary decision and send it to
all parties to the complaint, to any relevant Committee under paragraph
17(a) above, and to the National Executive Committee; or
(ii) convene a hearing in accordance with
sub-paragraph (b) below.
(b) In all other cases the Arbitration Committee
shall appoint three members from the Arbitration Panel to constitute a
tribunal, none of whom shall be the person who acted as the mediator in
the complaint or a member of any relevant committee under paragraph
17(a) above. The tribunal shall convene a hearing or hearings with
the parties and any witnesses for the purpose of hearing the complaint.
22. Tribunal Hearing
(1) The tribunal shall give all the parties to
the complaint not less than 20 working days’ notice of the date, time
and place of the hearing.
(2) Not less than 15 working days before the
hearing all parties to the complaint shall supply the Arbitration
Committee with copies of the statements of evidence to be made by
themselves and any witnesses, which shall thereafter be delivered to the
tribunal and all the parties to the complaint.
(3) The proceedings shall be tape-recorded and
the hearing shall be conducted as follows:-
1. Opening address by complainant.
2. Evidence by complainant and witnesses.
3. Cross-examination of complainant and
witnesses by respondent.
4. Re-examination of witnesses by
complainant.
5. Evidence by respondent and witnesses.
6. Cross-examination of respondent and
witnesses by complainant.
7. Re-examination of witnesses by
respondent.
8. Closing address by complainant.
9. Closing address by respondent.
10. Clarification of any points of law which may be
needed by the tribunal.
(4) Not more than 10 working days after the
conclusion of the hearing the tribunal shall send its report to the
Arbitration Committee. The report shall include:-
(a) a statement of the facts as found;
(b) a statement as to which parties are at fault
and, if so, in what respects;
(c) a recommendation as to the penalty or award,
if any.
(5) Not more than 20 working days after the
receipt of the tribunal's report the Arbitration Committee shall publish
its decision in writing to all parties to the complaint, to any relevant
committee under paragraph 17(a) above, and to the National Executive
Committee.
PART VII. POWERS
23. Interim Powers of Arbitration Committee
While the complaint is under consideration and until the decision is
published the Arbitration Committee shall:-
(a) in relation to any person or body which is
concerned in the complaint, have power to:-
(i) convene and preside over any meeting
or meetings with any person or body which is concerned in the complaint;
(ii) convene, preside over, postpone or cancel
any general meeting of members or of any committee;
(iii) take possession of and/or examine any or all
account books, records and documents;
(iv) appoint an auditor or independent examiner to
inspect and report on the finances or prepare the accounts;
(v) take measures to safeguard any or all
assets.
(b) in relation to any party to the complaint,
have power to:-
(i) place it under the supervision of the
National Executive Committee or of the appropriate District Council;
(ii) impose leave of absence on, or reinstate,
any holders of elected or appointed positions within it;
(iii) suspend or reinstate the registration of any SNU
Registered Healer;
(iv) suspend or reinstate any or all of its
activities;
(v) suspend or reinstate any or all of his or
its rights and privileges;
(vi) take any action necessary to maintain its
constitutional obligations;
(vii) discharge outstanding liabilities and debts from
assets;
(viii) arrange for the holding of elections;
(ix) supervise the conduct of any or all of its
activities.
24. Decision-Making Powers of Arbitration
Committee
In formulating its decision the Arbitration Committee shall:-
(a) in relation to any person or body which is
concerned in the complaint, have power to:-
(i) declare vacant any position and make
such arrangements as it may consider necessary or expedient for the
constitutional filling of the vacancy and for the discharge of the
duties of the position in the meantime;
(ii) order the convening, postponing or
cancelling of any general meeting of members or any meeting of the
Committee;
(iii) order the taking of any action necessary to
maintain the constitutional obligations of the body;
(iv) order the preparation, audit or independent
examination of its accounts;
(v) order the holding of elections;
(vi) order the supervision of any or all of its
activities.
(b) in relation to any party to the complaint,
have power to:-
(i) censure him or it for his or its
conduct;
(ii) suspend or reinstate his membership;
(iii) suspend or reinstate any or all of his or its
rights and privileges;
(iv) suspend or reinstate his registration as an SNU
Registered Healer;
(v) suspend or reinstate any or all holders of
elected or appointed positions within it.
(c) in relation to any party to the complaint,
have power to recommend that:-
(i) it be placed it under the supervision
of the National Executive Committee or of the appropriate District
Council;
(ii) the National Executive Committee terminate
his membership;
(iii) the National Executive Committee revoke any or
all of his or its rights and privileges;
(iv) the National Executive Committee revoke his
registration as an SNU Registered Healer;
(v) the National Executive Committee remove or
replace any or all holders of elected or appointed positions within it;
(vi) the National Executive Committee suspend,
reinstate or revoke any or all of its activities;
(vii) the National Executive Committee suspend the
eligibility of any member of the body for any or all offices for any or
all affiliated or associated bodies for a specified period;
(viii) the National Executive Committee suspend, revoke or
reinstate his Class B or D membership or, in the case of a Class B
member, re-allocate him to another District Council;
(ix) the National Executive Committee suspend, revoke
or reinstate its affiliation, re-allocate it to another District Council
or dissolve it.
25. Power of Appeals Board
The Appeals Board shall have power to examine any or all account books,
records or documents.
PART VIII. APPEALS
26. Grounds of Appeal
Any person or body which is the subject of a decision by the Arbitration
Committee, a Branch or an affiliated body pursuant to the complaints
procedures may give notice of appeal to the Appeals Board on one or more
of the following grounds only:-
(a) that there was a significant failure to
follow the proper procedure;
(b) that any findings of fact cannot be
supported having regard to the evidence;
(c) that the decision is unsafe and
unsatisfactory or is unreasonable;
(d) that any penalty imposed or recommended is
too lenient, too severe or otherwise inappropriate;
(e) that there is new evidence, not available at
the time of the decision, which renders such decision unsafe and
unsatisfactory or contrary to a fair hearing.
27. Any person who is the subject of a
resolution under Church Rule 5(3) or 16(2)(a) may give notice of appeal
to the Appeals Board on one or more of the following grounds only:-
(a) that there was a significant failure to
follow the proper procedure;
(b) that any findings of fact cannot be
supported having regard to the evidence;
(c) that the decision is unsafe and
unsatisfactory or is unreasonable;
(d) that there is new evidence, not available at
the time of the decision, which renders such decision unsafe and
unsatisfactory or contrary to a fair hearing.
28. Any person who is the subject of a
resolution under Church Rule 16(2)(b) may give notice of appeal to the
Appeals Board only on the ground that there was a significant failure to
follow the proper procedure.
29. Notice of Appeal
(a) Any notice of appeal shall be submitted in
writing to the General Secretary of the Union within fifteen working
days of the date of written notification to the parties of the decision
or resolution as the case may be. An extension of the time for
appeal may be granted by the Appeals Board or the Chairman acting on its
behalf.
(b) The General Secretary shall without undue
delay:-
(i) acknowledge the communication and send
the appellant a form for the acceptance of liability for any costs
awarded against him;
(ii) upon receipt of the signed acceptance form,
inform the other party or parties of the receipt of the appeal;
(iii) send the correspondence to the Appeals Board;
and
(iv) send a copy of the notice to the arbitrating
body.
30. Any notice of appeal shall include the
grounds of appeal and particulars in support thereof. In
considering an appeal the Appeals Board shall take into account any
significant failure to follow the proper procedure notwithstanding the
failure of the appellant to cite such ground.
31. Preliminary Procedure
(a) Upon receipt of the appeal the Appeals Board
shall send a copy of the appeal to the respondent or respondents thereto
and request his or their observations in writing within 15 working days.
An extension of the time for making such observations may be granted by
the Appeals Board on written request.
(b) The Appeals Board shall send a copy of such
observations to the appellant.
32. In the event of unreasonable failure by any
party to respond with his observations in writing within the prescribed
period the Appeals Board may proceed in the absence of such.
33. Upon receipt of the appeal the original
decision or resolution as the case may be shall be suspended.
34. Subsequent Procedure
The Appeals Board shall:-
either (a) make a
summary decision on the appeal and publish it in writing to all parties
to the appeal, to the National Executive Committee, to the Arbitration
Committee, to the arbitrating body and to any relevant committee under
paragraph 17(a) above;
or (b)
convene a meeting or meetings with the parties and any witnesses for the
purpose of hearing the appeal and publish its decision in writing to all
parties to the appeal, to the National Executive Committee, to the
Arbitration Committee, to the arbitrating body and to any relevant
committee under paragraph 17(a) above.
35. If the Appeals Board upholds an appeal it
shall:-
either (a) substitute
such other decision or decisions in accordance with paragraph 24 above
as it considers warranted in all the circumstances;
or (b)
order the original complaint to be re-heard in accordance with Part VI
of these Bye-laws.
36. Publication of Decision
(1) The decision of the Appeals Board shall come
into effect upon publication to the parties and shall be final and
binding on all parties.
(2) There shall be no appeal against the
decision of the Appeals Board.
PART IX. COSTS
37. Order for Costs
At the completion of all proceedings the Arbitration Committee shall
make an order for costs as it deems appropriate against any or all of
the parties to the complaint or appeal as the case may be. Any
costs awarded shall be paid within 15 working days of the publication of
the order and in default thereof shall bear interest thereafter at the
rate of 2 per cent per annum above the Bank of England base rate.
38. Security for Costs
Following mediation the Arbitration Committee shall have power to
require security for costs as a precondition of undertaking any hearing.