Fabian Appendix 3 - Disciplinary Procedures.pdf

8/14/2019 Fabian Appendix 3 - Disciplinary Procedures.pdf

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Fabian (Certification) Limited Application for Approval of Certification Scheme

Appendix 3

Disciplinary Procedures

Compliance

Procedures should be established to enforce the Code of Conduct referred to above and todiscipline Home Inspectors and Energy Assessors where appropriate, with sanctions includingsuspension or disqualification from membership where appropriate.

Method StatementHaving regard to requirements set out for Certification Scheme approval, this DisciplinaryProcedure sets out requirements that Members of this Certification Scheme will be required tosubscribe to.

Operational, recording and reporting proceduresThe following operational, recording and reporting procedures will be applied by the Scheme to allMembers who have any form of sanction, suspension, revocation or disqualification applied.

1. Every applicant will provide full disclosure on Form FAB001 (Application Form) thatincludes (but is not limited to) information that is used to determine if they are fit andproper. As part of the application process and acceptance of a Member to thisCertification Scheme, a signed declaration will be required.

2. The signed declaration of Membership including agreement to maintain membershiprequirements as well as to adhere to the Codes of Conduct (Appendix 2) is set out inForm FAB002 (Membership Declaration)

3. Information gathered from the Application Form will be assessed and Form FAB003(Internal Report ) generated. The Report will indicate the following:

4. Acceptance of Membership to this Certification Scheme is confirmed when Form FAB004(Registration) has been completed and the applicants name and details are entered intothe Register of Members. The Member is issued with Form FAB007 (Certificate ofMembership) .

5. All members have to complete Form FAB008 (Annual Review) by every anniversary(annual) of their registration requesting full disclosure of changes that may have occurredsince they submitted Form FAB001 (Application Form) with the latest Criminal RecordsBureau (Basic Disclosure) Report. Form FAB008 will include a request for informationrelating to all claims and complaints that have been received and outcome. The memberwill also be required to pay the annual review of 150+vat.

6. The members application for review will be considered to ensure they remain fit andproper. Once it is determined that the member remains fit and proper, Form FAB009(Renewal) is issued.

7. Where there are issues relating to renewal, Form FAB010 (Provisi onal Review) will enablethe member to continue practicing but will be required to provide further informationwithin 14 days that will satisfy the Scheme of their remaining fit and proper.

8. After satisfactory review of any further requests, Form FAB009 (Renewal) will be issued.Where there are problems, members may be suspended and Form FAB011 (SuspensionNotice) issued or revoked and Form FAB012 (Revocation ) issued.


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9. Where there are cases of severe breaches of the Code of Conduct, the Scheme will havethe right to disqualify a Member from the Scheme and Form FAB0013 (Disqualification) will be issued.

10. A record of any sanction, suspension, revocation or disqualification made against anyMember will be included in the Register of Members that is maintained by the Scheme. Acopy of the Register that will include such information will be sent to the Secretary ofState at the end of every month.

11. The Scheme will apply sanctions, suspension, revocation and disqualification as set outbelow:

11.1 SanctionsThese will be any or a combination of any (or all) of the following:

a) Further training and/or assessmentb) Cautionc) Reprimandd) Severe reprimande) Require undertakingf) Fine (up to 2,500 for any one contravention)g) Suspensionh) Revocationi) Disqualification

j) Any other sanction that may be appropriate taking into considerationany mitigating circumstances

A caution will be issued where a Member may have committed a minor breach. This will notbe a suitable sanction where Code of Conduct has been breached.

11.2 SuspensionThese will result from any or a combination of any (or all) of the following breached:

a) Failure to disclose full information on renewalb) Failure to pay fees of fines imposed by the Schemec) Failure to comply with the Code of Conductd) Failure to respond to enquiries from the Scheme within a reasonable period

of time (in any case more than 14 days from the date of the request)e) Repeated failure to comply with any of the above, namely 11.2(a) to (d)f) Failure to comply with any undertaking or delay in making payment of fine(s)

and/or undertaking or otherwise as directed in 11.1 aboveg) is referred for a disciplinary hearing by another Certification Scheme,

professional body trade association or regulatory body, or other similarorganisation;

h) has instituted against them of bankruptcy or directors disqualification order;i) has instituted against them the making of a bankruptcy or directors

disqualification proceeding; or if they enter into an individual voluntaryarrangement with creditors; j) fails to assist the Scheme in any disciplinary inquiry involving another Home

Inspector and/or Energy Assessor;k) Fails to recognise and work within the limits of their professional

competence;l) Fails to keep their keep their professional knowledge and skills up to date


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The Scheme may in the alternative impose sanctions or suspension as well as sanctions.This will be determined on the extent of breach and will also take into account circumstancesrelating to the incident as well as the conduct and attitude of the Member.

11.3 RevocationThe Scheme will revoke any Membership where the Member has:

a) a disciplinary allegation found proved against them by another CertificationScheme, professional body trade association or regulatory body, or other similarorganisation

b) failed to disclose information and details that comprise material considerationwhen applying for membership of the Scheme or when applying for renewal

The Scheme may in the alternative impose sanctions or suspension or revoke membership.This will be determined on the extent of breach and will also take into account circumstancesrelating to the incident as well as the conduct and attitude of the Member.

11.4 DisqualificationThe Scheme will disqualify any Membership where the Member:

a) is been charged or convicted of a criminal offence in the UK or elsewhere;b) has abused their position as a Home Inspector and/or Domestic Energy Assessorsc) had failed repeatedly to comply with the requirements of this Schemes of which they are

a member and governing legislationd) has brought the Scheme of profession of the Home Inspector and/or Domestic Energy

Assessor into disreputee) has conducted themselves in a manner unbefitting a Home Inspector and/or Domestic

Energy Assessor

The Scheme may in the alternative impose sanctions or suspension membership. This will bedetermined on the extent of breach and will also take into account circumstances relating tothe incident as well as the conduct and attitude of the Member.

12. All Members will be entitled to appeal any decision. Appeals must be made in writingwithin 14 days of the publication of the decision to the Scheme. Upon receipt of theappeal, a written acknowledgment will be sent to the Member. The Scheme review itsdecision and will determine whether:

a) to uphold the decisionb) to modify the decisionc) to change the decisiond) other decisions that it feels is appropriate to the circumstancese) to ask for further information and/or details from the Member before

determining any of the outcomes in (a) to (d) above

The Scheme will notify the Member of their decision within 28 days from the date of

acknowledging the receipt of appeal or 28 days after receipt of any further requestedinformation and/or details pursuant to (e) above.

If the Member remains unsatisfied with the decision, they may appeal to the CharteredInstitute of Arbitrators who will consider whether the Scheme has taken into account allrepresentations made by the Member when reaching its decision and whether the decisionmade by the Scheme has been made reasonably and falls within the sanctions, revocation,suspension and disqualification rules of the Scheme.


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13. The Scheme reserves the right to publish any decisions made against any Member ontheir internet site www.fabiancertification.com and will include details on the Register ofMembers

14. All costs incurred by the Scheme for the appeal and further reference to Arbitration shallbe paid for by the Member.

Operational, recording and reporting schematic diagram

Fabian Appendix 3 - Disciplinary Procedures.pdf

Documents

Transcript of Fabian Appendix 3 - Disciplinary Procedures.pdf