Appeals Committee Protocol

NCIP Appeals Committee Protocol: Managing and Processing Appeals

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1. Initiation of Appeal

• Eligibility for Appeal: Members may appeal decisions on professional conduct, sanctions, or membership status. Complainants, if they participated in the original hearing, have no further recourse unless proving procedural flaws in the investigation or if new evidence is provided, not available at the original hearing, which will have a substantial bearing on the outcome of the case i.e., criminal charges.
• Submission of Appeal: Appeals must be lodged within 30 working days of the panel’s decision, using the specified appeals form and sent to appeals@the-ncip.com. Appeals should detail the grounds, referencing specific procedural misapplications or new, substantial information.
• Acknowledgement: The Appeals Committee will confirm receipt of the appeal to the appellant(s) within 5 working days and appoint an advocate for the appellant(s).

2. Appointment of Independent Evaluator (IE)

• Role Assignment: The IE is appointed by the NCIP who ensures that the IE has not had any involvement in the original case.
• The function of the IE is to provide an independent and objective review of all information to include the full documentation of the case, transcripts of the case, and any new evidence which may have a substantial bearing on the outcome of the original case.
• The role of the IE is to review all documentation available to them and to check whether the NCIP complaints procedures have been correctly/incorrectly followed in relation to the original complaint.
• The IE is responsible for evaluating any additional evidence provided by the appellant(s) in order to make a decision about the validity of the appeal.
• The IE is responsible for highlighting any procedural breaches identified from documentation and to decide whether these procedural breaches have a bearing on the outcome of the original panel decision. 
• The IE is responsible for the production of a report on their findings which they will provide to the appellant(s) outlining the reasons for their findings and whether the appeal has failed or is upheld.   
• The IE is responsible for informing the appellant(s) of the next steps of the appeal i.e. the appeal is closed with no further appeal or the appeal is upheld and forwarded to the Appeals Panel for further investigation.
• The IE will ensure that if there are grounds for an appeal, they provide a report for an Appeals Panel, outlining their reasons why there are grounds for an appeal.

3. Review of the Appeal

• Review Period: The IE will review the appeal within 20 working days of receipt of the appeal and communicate the outcome to both parties.
• Document Review: The IE examines all relevant materials, considering new evidence under strict conditions (valid withholding reason, historical relevance, or criminal matters).
• Outcome of New Evidence: If conditions are met for new evidence, it triggers a separate complaint procedure. Otherwise, the appeal may be rejected with advice for a new complaint process.

4. Decision by Independent Evaluator

• Eligibility Determination: The IE assesses appeal eligibility based on the provided information and additional inquiries for clarity.
• Outcome Options: The IE may uphold the original decision, recommend a review, or refer the case to the Appeals Panel. A written report will be provided if the appeal is deemed ineligible.

5. Appeals Panel

• Convening the Panel: If referred, a panel of two professionals and one lay member, unrelated to the original decision, will review the case anew, including the IE's report.

6. Hearing Procedure

• Oral Hearing: An oral hearing may be necessary, allowing the appellant to present their case. The Appeals Panel may request further submissions.

7. Final Decision/No Further Appeal

• Panel Decision: The Appeals Panel's decision is final, communicated within 10 working days post-hearing, confirming, amending, or overturning the initial decision.

8. External Review

• Right to External Review: If dissatisfied, members are advised on their right to an external review by relevant oversight bodies.

9. Publication of Decision

• Public Safety Considerations: Decisions may be published on the NCIP website if deemed in the public interest. Successful appeals or completed sanctions result in non-publication or case closure.

10. Timeliness and Communication

• Process Efficiency: Appeals are processed promptly, with clear updates at each stage. Adjustments to timelines are communicated if necessary due to complexities or additional evidence requirements.

11. Re-application for Membership

• Post-Appeal Application: Specific guidelines apply based on the appeal outcome, including a 12-month waiting period, and considerations for those who have complied with or are exempt from sanctions. Specific policies apply for suspension or withdrawal of membership.

This protocol provides a clear, step-by-step guide for Appeals Committee members to handle, manage, and process appeals, ensuring fairness, clarity, and timeliness throughout the process.