1. PURPOSE
This procedure sets out how the Magistrates’ Association (MA) will handle complaints and disciplinary matters involving members. It aims to maintain stakeholder and member confidence in the integrity of the MA, to uphold proper standards of member behaviour, ensure issues are dealt with fairly, consistently, and promptly, and that roles are clearly separated.
2. PRINCIPLES
• Fairness and impartiality: all parties treated with respect, decisions based on evidence.
• Separation of roles: complainants, referrers, panel members, investigating officer, and secretariat each have distinct functions.
• Confidentiality: all information handled in line with the MA privacy policy and legal obligations.
• Timeliness: indicative timescales guide the process.
• Right of appeal: decisions can be appealed on limited grounds.
• The Panel’s role is not to apply judicial standards of proof. Unlike a criminal court, which requires proof beyond reasonable doubt, this procedure follows an organisational/HR approach: the Panel decides on the balance of probabilities whether a breach has occurred and what action, if any, is required.
3. SCOPE
This procedure covers:
1. All members and former members (where the complaint arose during their membership period).
2. Complaints made by an individual member against another member, a group of members, a branch, or a branch officer.
3. Matters referred by the Chief Executive (CEO), or Head of Membership, Events and Branch Development (HMEB) where they believe there may have been a breach of the Code of Conduct, branch commitments and expectations, or other agreed policies, including situations where a branch officer or executive is not fulfilling their role.
4. Situations where, in the course of considering a complaint or referral, the Complaints & Disciplinary Panel identifies related issues warranting investigation.
5. All complaints must be in some way related to conduct experienced directly or indirectly as part of activities connected with the MA.
4. ROLES
• Complaints & Disciplinary Panel (C&D Panel): three trustees (one Deputy Chair as Chair) selected by the National Chair from a pool of trustees. Each panel shall established for the purpose of considering a specific complaint or referral. Responsible for deciding whether it should be investigated, and determining outcomes following the investigation.
• Investigating Officer: one trustee, appointed by the National Chair, who shall not be a member of the panel, responsible for undertaking the investigation and reporting to the C&D Panel.
• Secretariat (normally the DFR): primarily provides administrative support (acknowledgements, circulation of papers, record-keeping, communication with parties, minutes). Does not investigate, advocate, or adjudicate on matters. Where the DFR is not available, the secretariat role may be undertaken by another staff member nominated by the CEO, but this should not be the referrer to ensure separation of roles where necessary.
• CEO/HMEB: may refer matters but do not act as complainants.
• Chair of the MA: appoints the C&D Panel and the Investigating Officer, and hears appeals.
• Board of Trustees decides on recommended disciplinary actions by the panel, including removal of members or trustees as set out in the bye-laws.
Support and induction
When new trustees join the pool of potential panel members join, they will be provided with an induction setting out the workings of the panel and its responsibilities. Because there may be long periods between cases, panel members, including the Chair, will be given a short update induction to this procedure and access to guidance on their responsibilities before a new case is considered. The purpose is to ensure clarity and consistency, not to provide formal training. Where needed, the Panel may seek advice from the CEO, the secretariat, or independent advisers to support its work.
5. PROCESS
Stage 1 – Informal resolution
• A complainant should normally attempt informal resolution before submitting a complaint, unless inappropriate.
• The CEO/HMEB should similarly satisfy themselves that informal resolution has been attempted before making a referral.
• MA staff may provide support to members in exploring informal resolution. Staff may inform members of their rights under the Complaints and Disciplinary Procedure but should not encourage or discourage individuals from making a formal complaint, and any decision to proceed rests entirely with the member concerned.
Stage 2 – Formal complaint or referral
• Complaints must be submitted in writing to the DFR, stating reasons, supporting evidence, and details of attempts at informal resolution (if any).
• Complainants are invited, but not required, to indicate what outcome they are seeking. This helps the Panel understand the concern, but the final decision on any sanction or remedy rests with the Panel.
• Referrals by CEO/HMEB must be submitted in writing, stating reasons and providing relevant evidence.
• Secretariat acknowledges receipt within 5 working days of the complaint/referral being received.
• National Chair appoints a C&D Panel to consider the complaint/referral
• Panel decides within 20 working days of the complaint/referral being received whether to accept or dismiss the case.
• The secretariat’s role at this stage is limited to administration (acknowledging, logging, circulating papers); decisions rest entirely with the Panel.
• In making this decision, the Panel will consider whether the complaint or referral:
o falls within the scope of this procedure;
o is supported by sufficient information to adequately support the concern raised and to allow a fair investigation;
o has been brought within a reasonable timeframe; and
o is not frivolous, vexatious, or malicious.
• The Panel is not required to apply any legal test (such as “case to answer”) but must decide only whether the matter should proceed to investigation under this procedure.
• Complaints should normally be raised within 12 months of the events concerned, unless there are exceptional circumstances. The Panel has discretion to decline a case if the delay makes a fair investigation impossible.
• Where the Panel accepts a case and considers the matter sufficiently serious, it may at this stage recommend to the Board of Trustees that the member be suspended under Bye-law 8 while the investigation is conducted; it may also decide that the matter should be referred to the Judicial Conduct and Investigation Office (JCIO) and in such circumstances may decide to either continue with the case or suspend it pending the outcome of any JCIO considerations.
• Where the panel dismisses the case, the secretariat will write to the complainant/referrer within 10 working days of the panel’s decision, to inform them and provide the reasons.
• Where the panel accepts the case, the secretariat will write to the complainant/referrer within 10 working days of the panel’s decision informing them that the case is to be investigated.
Stage 3 – Investigation
• National Chair an Investigating Officer to investigate the complaint/referral.
• Respondent notified of the case and provided with a clear summary of allegations and relevant evidence (with discretion to withhold unnecessary correspondence) within 10 working days of the complaint/referral being received, and giving them 15 working days to respond.
• Secretariat provides all documentation to the Investigating Officer within 10 working days of the expiry of the time allowed for the respondent to reply to the allegation(s).
• Investigating Officer may gather further evidence, request statements, or hold a hearing (which they must decide to do within 10 working days of receiving all documentation from the secretariat). If they decide to hold a hearing, they will determine who will be called to give evidence. A hearing will be held within 15 working days of the decision to hold a hearing (subject to the availability of those called to give evidence).
• Within 15 working days of the Secretariat providing the complaints documentation to the Investigating Officer, or 15 working days after a hearing, the Investigating Officer provides a report to the Panel recommending whether there has been a breach unless the Investigation Officer has decided to undertake further enquiries or hold a hearing.
• Secretariat records all investigation activity and ensures transparency.
• Where the Investigating Officer considers that the matter is sufficiently serious that the member’s continued participation may be prejudicial to the Association, they may recommend to the Board of Trustees that the member be temporarily suspended under Bye-law 8 while the investigation is ongoing.
Interim suspension (Bye-law 8):
o The Board of Trustees may suspend a member’s membership for a period of up to 120 days while an investigation is undertaken under this procedure.
o Such a suspension requires a three-fourths majority of the Board present and voting.
o The member must receive at least seven days’ written notice of the meeting and motion, and be given the opportunity to reply personally or in writing.
o The secretary of the member’s Branch must also be notified with the same notice period and given the opportunity to submit written views.
Stage 4 – Decision and outcome
• Within 15 working days of the Secretariat providing the complaints documentation to the Investigating Officer, or 15 working days after a hearing, the respondent will be sent a copy of the Investigating Officer’s report, and will be invited to respond to the report, which they may do either in writing and/or by attending a meeting with the Panel. The respondent will be given 10 working days’ notice of the date and time of the meeting, which may be held in person or online as decided by the Panel.
• If the respondent wishes to attend the meeting, they may be accompanied by a fellow MA member, as long as the person accompanying them agrees: to not act as a legal representative of the respondent, to not speak on behalf of the respondent (though they may confer with the respondent), and to maintain confidentiality of what is discussed.
• Within 15 working days of the Investigating Officer providing a report to the panel, the Panel shall meet to determine whether there has been a breach and whether to recommend any outcomes.
• Where the Panel determines there has been a breach it will recommend an appropriate outcome.
• The Panel makes its findings on the basis of ‘reasonable belief’, consistent with good practice in HR and membership settings. This is a lower threshold than the criminal standard of “beyond reasonable doubt.”
• Possible outcomes include:
o No breach found.
o Breach found – no sanction.
o Breach found – sanction applied (see section 6).
• Secretariat conveys decision to all relevant parties within 5 working days of panel’s findings.
Stage 5 – Appeal
• Grounds: (a) flawed process; (b) new evidence likely to change the outcome.
• Appeal submitted within 10 working days of parties being informed of the decision.
• Heard by Chair of the MA within 10 working days of an appeal being received (or by a Deputy Chair if the Chair is conflicted or unavailable within the timeframe).
• Decision final and conveyed within 30 working days of the parties being informed of the decision.
6. DISCIPLINARY SANCTIONS
Sanctions under this procedure include both interim measures (as provided for in Bye-law 8) and final outcomes decided at the conclusion of an investigation.
Where a breach is found, sanctions may include:
• Informal warning.
• Requirement for apology or remedial action.
• Removal from a branch office or executive role.
• Suspension of membership for a specified period of time.
• Termination of membership (Board decision, subject to bye-laws).
The panel may also recommend referral to the Judicial Conduct Investigations Office (JCIO) where conduct may bring the magistracy into disrepute.
7. RECORD-KEEPING AND CONFIDENTIALITY
• Secretariat maintains a secure record of all complaints, referrals, decisions, and appeals.
• All parties must maintain confidentiality unless disclosure is legally required or agreed by the Panel Chair or the Board of Trustees.