Integrity Code Proceedings

Dispute arising from application of an integrity code

Parties to a dispute which has come about as a result of applying an aspect of an integrity code can apply to the Tribunal using the Form 12 to ask the Tribunal to resolve the dispute.

Steps in dispute arising from application of an integrity code

  1. The parties to the dispute file (preferably by email) with the Tribunal: an Application for Resolution of a dispute arising from application of an Integrity Code (Form 12) a signed agreement to refer the dispute to the Tribunal (this can be attached to the Form 12 application or incorporated into the Form 12 application document) filing fees of $250 for each party.         
  2. The Registrar acknowledges receipt of the application and advises the Tribunal that an Application for Resolution of a dispute arising from application of the Integrity Code has been received.
  3. The Tribunal has discretion over whether it will hear such disputes and may require further information. The Tribunal decides whether it will hear the dispute.
  4. The Registrar advises whether the Tribunal will hear the dispute and, if it will, advises the parties that proceedings have commenced.
  5. The Tribunal holds a pre-hearing conference to discuss what needs to be done to resolve the dispute and what steps need to be taken up to the hearing (if a hearing is required).
  6. The Tribunal decides the dispute, either with or without a hearing, but in accordance with the principles of natural justice.

Appeals against decisions of a disciplinary panel established by the Commission or disciplinary body of an organisation that has adopted an integrity code

What can be appealed?

A person or organisation (the appellant) can appeal against a decision of a disciplinary panel established by the Commission or a disciplinary body of an organisation that has adopted an integrity code following the procedures and time frames set out in an integrity code. If an integrity code does not specify a time frame, the appeal must be made to the Tribunal within 28 days of the decision appealed against being notified to the appellant.

Steps in appeals proceedings (appealing disciplinary panel or disciplinary body decisions)

  1. The person or organisation appealing (the appellant): files the Notice of Appeal (Form 13 or 16) with the Tribunal (preferably by email), accompanied by the $500 filing fee serves a copy on the applicable disciplinary panel or disciplinary body (the respondent). Conditions such as filing within time limits and satisfying internal appeal procedures have to be satisfied first.
  2. The Registrar acknowledges receipt of the application and advises the Tribunal that appeal proceedings have commenced. The appellant will have served a copy of the application on the respondent, which contains a notice informing the respondent that appeal proceedings have commenced with the Tribunal.
  3. Within 10 working days, the appellant: files an Appeal Brief (Form 14 or 17) with the Tribunal serves a copy on the respondent. The Appeal Brief sets out in detail the circumstances of the appeal and is usually accompanied by evidence.
  4. Within 14 working days of receiving the Appeal Brief, the respondent: files a Statement of Defence (Form 15 or 18) with the Tribunal serves a copy on the appellant. If the respondent does not file the Statement of Defence within this time (or any extra time allowed by the Tribunal), the Tribunal can proceed with the appeal and make its decision.
  5. The Tribunal may hold a pre-hearing conference to discuss what needs to be done leading up to the hearing. This may also involve consideration of whether the dispute can be resolved by mediation instead of a hearing. If appropriate, the matter may proceed to mediation.
  6. Any further evidence or submissions required by the Tribunal are provided before the hearing.
  7. The hearing is held.
  8. The Tribunal decides the appeal and makes orders (if appropriate).
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