light-bulb

About the Royal Society of New Zealand

The Royal Society of New Zealand has been advancing and promoting science, technology, and the humanities in New Zealand since 1867.

Royal Society of New Zealand Code of Ethics and Rules

On this page:

Royal Society of New Zealand Code of Professional Standards and Ethics in Science, Technology, and the Humanities

Issued by the Council of the Royal Society on 25 November 2010

Introduction

  1. The object of the Royal Society of New Zealand is the advancement and promotion in New Zealand of science, technology, and the humanities.  For that purpose, the Society is required to establish and administer for members of the Society a code of professional standards and ethics in science, technology, and the humanities.
  2. Scientists, technologists, and humanities scholars must act ethically and professionally to ensure that public support for work in the areas of science, technology, and the humanities is maintained and enhanced.
  3. Research and investigations in the areas of science, technology, and the humanities, and their application and teaching, must be undertaken with integrity through the use of rigorous methods. Such investigations expand knowledge and it is the responsibility of all members of the Society to ensure that the application of that knowledge conforms to standards acceptable to the wider community.
  4. To this end, all practices and advances in science, technology, and the humanities, and their application and dissemination, must be open to scrutiny and criticism.  All members of the Society must strive, in undertaking their work, to ensure that their actions do not detrimentally impact on society, or on the living or physical environment.
  5. To ensure that this is so, all investigations must be undertaken in accordance with all relevant and accepted professional standards and codes of ethics, both those prescribed by legislation and those promulgated by professional bodies.

Legal status of Code

  1. This Code of Professional Standards and Ethics in Science, Technology, and the Humanities is made pursuant to section 34 of the Royal Society of New Zealand Act 1997.  This Code replaces all previous codes of professional standards and ethics issued by the Council of the Royal Society.

Compliance with Code

  1. All members of the Royal Society of New Zealand must comply with this Code.  Members whose conduct is considered to be in breach of the provisions of the Code will be asked to account to the Society for their actions.
  2. Breaches of the Code, and complaints about such breaches, may be dealt with by the Society under the Rules for Hearing and Determining Complaints of Breaches of the Royal Society’s Code of Professional Standards And Ethics.
  3. This is a voluntary Code for all other persons involved in science, technology, and the humanities in New Zealand.  The Society recommends the provisions to them.

Structure of the Code

  1. As this Code serves a wide range of individuals and covers an equally wide range of interests and circumstances, it is necessarily written in a general style.
  2. This Code has been structured around general fundamental principles that form the basis of the behaviour expected from all members.
  3. Supporting each fundamental principle is a general rule and specific clauses that prescribe aspects of the professional and ethical behaviour expected of members.
  4. In circumstances not specifically covered by the Code, members must have regard to the fundamental principles and should be guided by any similar situations specifically covered by this Code.
  5. This Code is not intended to cover every situation and it is anticipated that all members will adapt the fundamental principles to the particular circumstances of their work.  It is also expected that all members will adhere to ethical requirements placed on them by legislation, regulations, advisory committees, professional bodies and their employer.

Fundamental Principles

  1. This Code is based on a number of fundamental principles of ethical and professional behaviour and conduct.  The fundamental principles are:
    • Integrity and professionalism
    • Honesty
    • Compliance with the law and relevant standards
    • Respect for colleagues
    • Respect for communities
    • Protection of the well-being and privacy of individuals
    • Duty to funders and purchasers of research
    • Protection of the welfare of animals
    • Protection of the environment
    • Continuing education and communication of knowledge
    • Appropriate use of genetic information

1. Integrity and professionalism

Rule 1: Members must always behave with integrity using their knowledge and skills in a professional manner so as to competently pursue their work.

This rule means that members must:

  1. endeavour to obtain and present facts and interpretations in an objective and open manner;
  2. strive to be fair and unbiased in all aspects of their research and in their application of their knowledge in science, technology, or the humanities;
  3. strive to enhance the reputation of their profession;
  4. strive not to compromise the health, safety or welfare of the community or of colleagues and others directly associated with science, technology, or the humanities;
  5. show respect, consideration and courtesy to clients and to the public;
  6. avoid or declare real or apparent conflicts of interest and document them beforehand whenever possible;
  7. where appropriate, acknowledge themselves as interested parties in controversies about procedures in science, technology, or the humanities;
  8. always observe the requirements of specific statutes and/or codes applicable to the work they are to undertake;
  9. endeavour not to compromise the well being of society or the sustainable use of the natural environment. In instances of conflict, the welfare and the needs of the community must take precedence over responsibilities to clients, colleagues or other interests;
  10. act in accordance with the spirit of the Treaty of Waitangi and, particularly when that work includes investigations which impinge on the New Zealand natural environment, on individual persons and communities or on customs, objects or places of special cultural significance.
  11. not present themselves as experts outside their areas of expertise.

2. Honesty

Rule 2: Members must conduct themselves honestly and with integrity at all times. This applies to dealings with clients, colleagues and the public as well as to ensuring personal integrity in the recording of data, the drawing of conclusions and in other professional actions.

This rule means that members must:

  1. honestly represent their research goals and intentions to any potential participants in the research process;
  2. fairly and fully represent their results without falsification or bias;
  3. fairly record the intellectual, material and practical contributions of others to their work and results;
  4. ensure that joint authors of publications and reports share responsibility for their contents;
  5. endeavour to retain all types of research records for a period long enough after publication of the work to allow examination by bona fide critics (two years at a minimum) but archiving the data if possible, and, where commercial sensitivity is not an issue, making them freely available to others (see also Rule 4 – Respect for colleagues and Rule 5 – Respect for communities);
  6. not falsify qualifications or wittingly make other untrue claims of experience;
  7. not commit plagiarism, or condone acts of plagiarism by others;
  8. always be scrupulously honest in the application of findings from research and in the transfer of technology to the community wherever it occurs;
  9. unless commercial considerations indicate otherwise, do all that they can to ensure the earliest possible publication of the results of publicly-funded research;
  10. ensure that all speculative and interpretive statements in their reports are clearly identified as such.

3. Compliance with the Law and Relevant Standards

Rule 3: Members must only claim expertise commensurate with their qualifications and fields of competence and must follow investigative and work practices which conform to recognised national and international standards.

This rule means that members must:

  1. only represent themselves as experts in their fields of competence as defined by their formal qualifications or other demonstrable experience;
  2. maintain their technical and general competence in their area of expertise and familiarise themselves with recent national and international advances therein;
  3. ensure that they make appropriate disclosure of any limitations on proposed work due to insufficient resources or other factors;
  4. strive to adhere to the requirements of relevant New Zealand legislation and regulations and all appropriate codes of work standards and ethical practice;
  5. strive to adhere to the codes and disciplinary standards of learned societies and professional bodies of which they are members or by which they are registered;
  6. have regard to the requirements, work practices and ethical standards of any relevant international organisation (such as the International Council for Science (ICSU));
  7. ensure that the highest standard prevails whenever there is any discrepancy or conflict in standards.

4. Respect for Colleagues

Rule 4: Members must support ethical behaviour and high professional standards in their colleagues and must treat such colleagues with integrity and honesty.

This rule means that members must:

  1. review the work of colleagues without bias and treat all information gained in such activity as privileged and confidential;
  2. appropriately acknowledge the work and contributions of colleagues;
  3. avoid falsely, vexaciously or maliciously attempting to impugn the reputations of colleagues or otherwise compromising or denigrating them in order to achieve commercial, professional or personal advantages;
  4. support the career development of colleagues by providing honest, unbiased comment on their career prospects, on the conduct of their work or on their proposals, manuscripts and papers;
  5. encourage and support the development of junior colleagues;
  6. be aware that in the event of a challenge to a member over his or her past ethical conduct the retention of and ability to produce all the appropriate records may prove to be crucial.

5. Respect for Communities

Rule 5: Members must endeavour to make the results of their work as widely available to the public as possible and to present those results in an honest, straightforward and unbiased manner.

This rule means that members must:

  1. endeavour to communicate the results of their work to the wider community without distortion arising from misleading or unjustified simplification or extrapolation;
  2. endeavour to ensure that all public statements are correct and supported by competent research and/or scholarship;
  3. ensure that all speculative and interpretative statements are identified as such;
  4. accept that researchers working on different approaches to a problem may reach different but supportable conclusions within the context of their own research;
  5. acknowledge that in some instances and in some areas of research their own values may impinge on the way they approach a problem and that different values and paradigms may also have validity;
  6. avoid attempting to influence public policy in situations where the available evidence is contradictory or inconclusive without making the state of that evidence clear;
  7. support the publication and dissemination of all competent research even when the conclusions drawn by the authors are contrary to a member’s own opinions or to the currently accepted consensus.

6. Protection of the Well-being and Privacy of Individuals

Rule 6: Members must always ensure that the involvement of people as participants in any proposed research is fully justified by first establishing that there will be potential significant benefits from the research and that these benefits will greatly outweigh any potential harm which may be experienced by the participants.

This rule means that the interests, safety, well being and dignity of participants must be of paramount concern to members at all times. The following underlying principles must therefore all be observed in the planning and in the conduct of the research:

  • Informed and voluntary consent.
  • Respect for privacy and confidentiality.
  • Minimisation of harm to participants.
  • Avoidance of unnecessary deception.
  • Respect for property rights.
  • Sensitivity to the age, gender, culture, religion and social class of participants.

Research involving human participants must not commence until after it has been approved by an appropriate ethics committee accredited or approved to conduct ethics review. Information on accredited ethics committees and guidelines on ethics in health research in New Zealand can be obtained from the Health Research Council of New Zealand (www.hrc.govt.nz).

Researchers should also comply with any code of ethics developed by their professional associations (e.g. the New Zealand Psychological Society, the Association of Social Science Researchers, the New Zealand Association for Research in Education), and with the requirements of other external bodies (e.g. approval by the Research Access Committee operated by the Department of Child Youth and Family).

Members should be aware that most academicjournals require research to have been approved by an ethics committee before it will be published.
Any vested interest in a trial should be disclosed to the institution, the body granting approval, and to participants. Trials involving human participants may have an overseeing committee which is independent of those who may have a vested interest in the outcomes of a trial.

This rule means that members must:

  1. ensure that their research with human participants adheres to the requirements of all relevant legislation, these include, the New Zealand Bill of Rights 1990; the New Zealand Public Health and Disability Act 2000; the Code of Health and Disability Consumers’ Rights1996; Privacy Act 1993; the Health Information Privacy Code 1994; the Injury Prevention, Rehabilitation and Compensation Act 2001; and the Health Research Council Act 1990;
  2. adhere, in addition, to the Codes of Ethics and Conduct covering research with human participants which are in place in their institutions as well as with the Codes of Ethics developed by their professional associations;
  3. ensure that the information provided to gain consent is adequate and appropriate and that the consent gained is voluntary. Members should be aware that gaining informed and voluntary consent from minors and from those of diminished responsibility is not straightforward and that they should be careful to follow the requirements of any relevant Code of Ethics;
  4. ensure that research is stopped and the matter referred to the appropriate authority should any ethical issue that was not envisaged when the research was planned unexpectedly arise and also ensure that the research does not restart until the authority’s approval to do so has been obtained;
  5. endeavour to ensure that individuals who choose not to participate in a project are not discriminated against by their community or by the researchers and others involved;
  6. ensure the identity of participants is not disclosed unless they consent otherwise;
  7. ensure confidentiality of information at all stages of the project unless participants choose otherwise;
  8. ensure that any overseeing committee has access to trial data as they accumulate so that the committee can assess whether the trial should proceed or be discontinued;
  9. endeavour to ensure that all research is conducted in accordance with the principles of the Treaty of Waitangi by paying proper regard to the rights of individuals and communities in matters of protection, participation and partnership;
  10. ensure that research they conduct in other countries conforms to the same ethical standards as those pertaining in New Zealand, while also endeavouring to follow local ethical requirements and codes which are compatible with New Zealand standards;
  11. ensure that there are sufficient protections for participants who may suffer injury as a result of participation in research; in this context, the application of the accident compensation legislation should be considered, or where relevant, appropriate insurance or indemnity cover should be arranged;
  12. ensure that any vested interest which either the institution, the member personally, or any other member, has in a research project, particularly of a fiduciary kind, is disclosed to the institution, the body granting approval, and to participants.

7. Duty to the Funders and Purchasers of Research

Rule 7: Members involved in research, developments, testing or other operations for employers, funding agencies or other paying clients must maintain the high standards expected of all persons involved in science, technology, and the humanities.

When members undertake work for employers or other purchasers the interests of these clients normally take priority over other interests but always within the limits imposed by law, by this Code, by accepted ethical standards and by the public interest.

This rule means that members must:

  1. exercise initiative, skill and judgement for the benefit of an employer or client;
  2. endeavour to ensure that clients are aware of the ethical and legal obligations of the person whose services they are purchasing;
  3. ensure that employers or clients are aware of the general place that publication of research findings plays in the world of science, technology, or the humanities;
  4. encourage employers and other clients to permit public disclosure of their results unless there are legitimate and lawful reasons for confidentiality but, nevertheless, always respecting that confidentiality when it is legitimately required by the employer or client;
  5. identify and respect any intellectual property employed within, or arising from, research or other work undertaken for an employer or client;
  6. accept personal responsibility for all research or associated work undertaken by themselves or under their supervision;
  7. not accept anything of substantial value from any third party by way of gratuity or personal advantage, nor promise to give anything of such value to any third party;
  8. within appropriate time-frames, make available to funding agencies an appropriate report on each funded project;
  9. oppose any manipulation of results to meet the perceived needs or requirements of employers, funding agencies, the media or other clients and interested parties whether this be attempted before or after the relevant data have been obtained;
  10. not undertake any work which they know will be in conflict with the standards and ethical requirements of this Code.

8. Protection of the Welfare of Animals

Rule 8: All members who are involved in experiments, procedures or tests involving sentient animals must respect and promote the welfare of those animals.

This duty is expressed in the manner in which the animals are treated. Although it is generally accepted that research involving animals contributes to the advancement of knowledge, to improvements in the health and well being of animals as well as humans and in the maintenance of balance and sustainability in ecosystems, any experimental undertaking involving animals, no matter how laudable, must always be ethically acceptable and this means that;

  • if there are ways of undertaking an investigation or of achieving the results sought without the use of animals these possibilities must be investigated and used unless there are sound reasons to the contrary;
  • any harm or distress which will be inflicted on an animal requires full justification and must be clearly outweighed by the realistic benefits likely to accrue from an experiment;
  • any harm or distress inflicted on an animal must be minimised as much as possible.

This rule means that members must:

  1. first consider alternative methods, not involving animals, of meeting the research, teaching or testing requirements of any investigation;
  2. undertake their research, teaching or testing in accordance with all institutional and legal requirements and also follow formal published guidelines (e.g. the New Zealand Code of Recommendations and Minimum Standards for the Care and Use of Animals for Scientific Purposes);
  3. apply and obtain ethical approval for their work from an appropriate Ethical Committee and follow the advice and requirements of that Committee;
  4. ensure that the Ethical Committee considers the need for an overseeing person or committee for each trial and that the committee has ongoing access to experimental data and assesses whether or not a trial should continue;
  5. endeavour to ensure that their work always adheres to the highest possible standards for the humane treatment of animals such that:
    • adequate steps are taken to ensure that animals do not suffer unnecessary pain or distress at any time,
    • animals are kept under the supervision of an experienced investigator and are housed, fed and cared for to safeguard their health and comfort,
    • all animals used in research are legally acquired, retained and used;
  6. give consideration to the appropriateness of the animal species proposed for any investigation, to the possibility of using less-sentient or non-sentient animals, and to the minimum number needed to meet the required scientific and/or statistical standards;
  7. use appropriate and approved methods of anaesthesia, analgesia and tranquillisation on animals subjected to invasive procedures;
  8. seek to make those using animals in research, teaching and testing aware of the need to practise and encourage the highest standards of animal care and welfare;
  9. be aware that the health and stress levels in animals as well as the level of human interaction with them need to be considered in designing research protocols;
  10. endeavour to foster an awareness of the importance of animal welfare within the scientific, technological, or humanities professions and within the wider community.

9. Protection of the Environment

Rule 9: Members must always be aware of the need for the sustainable management of the planet’s resources and must seek to minimise any unnecessary adverse environmental impacts on present and/or future generations consequent upon their investigations or upon the applications of their technology. In considering these environmental implications, members must draw the attention of both decision makers and those to be affected to any environmental impacts of the proposed work and to the perceived immediate and potential consequences which may follow.

Sustainable management is defined as meeting the needs of the present without compromising the ability of succeeding generations to meet the needs of the future.

This rule means that members must:

  1. be committed to the efficient use of resources;
  2. minimise the generation of waste and, where applicable, encourage the environmentally sound re-use, recycling and disposal of waste;
  3. seek to observe the principles and practices of sustainable management and the needs of future generations both local and international:
  4. strive to identify the impacts of their work on the environment and on people and communities, endeavour to assess and report on such impacts and seek to avoid or mitigate any adverse effects;
  5. strive to encourage the avoidance or the minimisation of any adverse effects on the environment arising from the application of science, technology, or the humanities;
  6. pay regard to international resource agreements and protocols and the obligations they may impose on the work of people involved in science, technology, or the humanities;
  7. encourage an awareness of environmental issues within the science, technology, or humanities professions and among the wider public;
  8. be aware of their obligations under the Treaty of Waitangi and the need to protect areas and places of cultural significance.

10. Continuing Education and Communication of Knowledge

Rule 10: Members are expected to continue the development of their skills and knowledge and, when and where appropriate, to communicate their knowledge to the public.

Members in educational and communications settings, whether as teachers in a formal classroom, as supervisors of student work, as mentors to junior colleagues or in dealing more generally with the wider community, must at all times present themselves and their information in an ethical and responsible manner.

The aims of members must always be the advancement of awareness, knowledge and understanding in science, technology, or the humanities. This includes the fostering of informed critical responses to issues relating to science, technology, or the humanities.

This rule means that members must:

  1. present science, technology, and the humanities as a major component of modern knowledge and culture;
  2. endeavour to always provide high quality, up-to-date instruction and guidance in their specialist areas, including reference to established knowledge, recent developments and areas of controversy;
  3. illustrate, in their specialist areas, the observational foundations of science, technology, or the humanities, and stress the importance of accurate and pertinent observation, experimental design and data analysis;
  4. stress the importance of analytical, critical and innovative thinking in science, technology, or the humanities;
  5. indicate how imagination and independence of thought enhance creativity in science, technology, or the humanities;
  6. recognise an ethical responsibility to provide balanced and open-minded presentation of issues where controversy and differences of opinion exist so that alternative views are aired and explained;
  7. remain aware of and encourage the wider awareness of the fact that understanding in science, technology, or the humanities is not fixed, by demonstrating, when appropriate, that accepted explanations and knowledge are revised as a consequence of well-founded challenges;
  8. when circumstances allow, endeavour to demonstrate to the public how communities benefit, both directly and indirectly, from progress in science, technology, and the humanities but taking care to also objectively state the known risks, as well as the benefits and advantages, in any new development;
  9. endeavour to ensure that those, such as students and junior colleagues, for whom they are responsible understand and follow appropriate ethical codes and statutes for the conduct of research including the special codes and statutes covering research involving individuals, communities, live animals and genetically modified organisms.

11. Appropriate Use of Genetic Information

Use and storage of genetic information

The rapid progress in the understanding of the Genetic Code and in the techniques of using the information contained therein imply that the ethical questions surrounding molecular genetics apply particularly to the guardianship of genetic information, from whatever source, and to the use to which such information is put, rather than to the particular process or technique which is to be applied in its use. The ability to manipulate organisms, as in the processes of “genetic engineering” of bacteria and plants, or in areas of animal and human reproduction such as “cloning” or “assisted fertilisation”, bring these wider ethical matters to the fore.

Given that deoxyribonucleic acid (DNA) can be extracted from most bodily tissues and can be stored almost indefinitely the collection and storage of DNA, and the data extracted from it by experimentation, need special consideration. Additionally, the methods of disposal of DNA may raise cultural difficulties among some ethnic and/or religious communities. The following comments highlight a number of the consequential issues that require the specific attention of researchers.

  1. Since DNA is a “blueprint” it can be used for purposes other than those for which original consent was given. This is normally unacceptable and specific consent should be sought for all applications.
  2. With the exception of monozygotic twins, DNA is unique to an individual and cannot be made truly unidentifiable.
  3. Inadvertent, and often unwelcome, information may unintentionally arise from genetic research – paternity/non-paternity, unusual family relationships – and such a possibility needs to be anticipated.
  4. Genes and matters of heredity carry with them cultural, spiritual and emotional dimensions. These may give rise to unforeseen difficulties during research or similar investigations if researchers are not cognisant of such dimensions or choose to disregard them.
  5. Ethical considerations apply, at least in part, to all living species and not just to human beings.

The arguments and debate about “genetic engineering” are often not about genetic modification per se but about whether, in any particular circumstance, the projected outcome and the consequences of any side effects are ethically and morally acceptable. In this respect there are strong similarities with environmental issues. In other words, the member involved in genetic modification for a specific purpose must always consider, in a broad context, other possible outcomes.

Members must:

  1. follow with special care and diligence the general responsibilities outlined earlier in this Code to act honestly with integrity and professionalism;
  2. follow all statutes and codes of practice which apply to the acquisition, the manipulation and the use of genetic information;
  3. take particular care to secure and appropriately store all genetic information which they acquire in the course of their work;
  4. note that although DNA can readily be used for purposes other than those for which consent had been given such a course is ethically unacceptable and that specific consents must be sought and obtained for each and every application of the material;
  5. be aware that since “germline” gene therapy is generally regarded as being unethical because the genetic effects of such therapy are transmitted to subsequent generations, researchers contemplating any experiments of this kind must be especially careful to gain all necessary consents and to consult widely before commencement;
  6. be always aware that any research into the genome of any indigenous species needs special consideration in New Zealand because of Treaty of Waitangi issues.

Because “genetic engineering” is the current expression in the public domain signifying all aspects of genetic modification an additional statement on responsibilities is included for the guidance of those working with these techniques. This will also assure the public that the Society is aware of the need to ensure that its members act professionally and ethically in all areas of genetic research and development.

The power to genetically modify living organisms lies alongside the power to harness the energy of the atom in placing a special responsibility on those who have the knowledge and skills to do so. It is essential that all members keep firmly in mind the general requirements of this Code of Ethics and that they do nothing that could potentially be detrimental to the community or harmful to the environment.

Operations involving genetic modification

Members must:

  1. follow the spirit of this Code in striving to ensure that their actions have no detrimental effects on the welfare of humankind;
  2. before starting their work apply for and gain all necessary approvals from appropriate Government Agencies such as the Environmental Risk Management Authority and national and local Ethics Committees;
  3. undertake their activities in accordance with all legislative and institutional requirements and follow all specific codes and guidelines appropriate to their investigations;
  4. keep abreast of on-going research and developments in genetic modification so that they are able, where possible, to select approaches and techniques which contribute to containment and the minimisation of residual risks;
  5. acknowledge and understand that the public debate about genetic modification has a wide compass and includes ethical, moral and religious dimensions and that Maori concerns about the effect of genetic changes on belief systems, and on the possible exploitation of indigenous knowledge and indigenous flora and fauna, add a further aspect, through the Treaty of Waitangi, to the issues to be considered in New Zealand.

Rules for Hearing and Determining Complaints of Breaches of the Royal Society’s Code of Professional Standards and Ethics

These Rules are made by the Council of the Royal Society of New Zealand (the Society) on 25 November 2010 under section 32 of the Royal Society of New Zealand Act 1997.

1. Commencement

These Rules come into force on 25 November 2010.

2. Definitions

In these Rules unless the context otherwise requires,—

Academy Executive Committee means the Academy Executive Committee constituted under section 37 of the Act

Act means the Royal Society of New Zealand Act 1997

Chief Executive means the Chief Executive of the Society

Code means the Royal Society of New Zealand Code of Professional Standards and Ethics issued under section 34 of the Act, as adopted by resolution of the Council on 25 November 2010, and includes any amendments to the Code issued to replace it

complaint means a complaint made under rule 3

Council means the Council of the Society constituted under section 20 of the Act

material conflict of interest means, in relation to any matter, a financial or other interest of a person that is likely to affect the person’s judgement in relation to the matter

Member means a Member of the Royal Society of New Zealand in accordance with sections 9 to 19 of the Act. Section 9 of the Act provides that membership of the Society consists of the following:

  1. Fellows:
  2. Ordinary Members:
  3. Companions:
  4. Constituent Organisations:
  5. Regional Constituent Organisations:
  6. Affiliate Organisations that are members in accordance with section 15(2) of the Act:
  7. Honorary Members:
  8. Honorary Fellows.

notify means to send a written notice (by post, email, fax, or other similar means of communication) to the last known address of the person concerned

Professional Standards and Ethics Panel or Panel means a panel appointed under rule 7

Society means the Royal Society of New Zealand continued by section 3 of the Act

3. How to complain about a Member

  1. A person may request the Society to enquire into a breach of the Code by a Member in accordance with this rule.
  2. A complaint must—
    1. be made in writing to the Chief Executive;
    2. contain the complainant’s name and contact details; and
    3. summarise the nature of the conduct alleged to breach the Code and provide evidence to support the allegation of the breach.
  3. The Society must give all reasonable assistance necessary in the circumstances to enable a person who wishes to make a complaint to put the complaint in writing.

4. Chief Executive must open file and notify Member complained about of nature of complaint

Before commencing a review of the complaint, the Chief Executive must open a file on the complaint and notify the Member complained about of the general nature of the complaint.

5. Society may hold enquiry without complaint

  1. The Society may enquire into any matter covered by these Rules on its own initiative if the Council has reason to suspect that a Member may have breached the Code.
  2. If a complaint on a matter has already been made, but is subsequently withdrawn, the Society may continue to enquire into the matter.

6. Material Conflict of Interest

A person may not be involved in investigating a complaint if the person has a material conflict of interest.

7. Complaint passes to Chair of Professional Standards and Ethics Panel

  1. The Chief Executive must, as soon as practicable, forward the Complaint to the President of the Society, or the Chair of the Academy Executive Committee if the President of the Society has a material conflict of interest in relation to the complaint.
  2. The person receiving the complaint under clause (1) must:
    1. set up a Standing Committee of Council to act as the Professional Standards and Ethics Panel; and
    2. by notice in writing, appoint a Chair of the Professional Standards and Ethics Panel.
  3. The person appointed as Chair of the Professional Standards and Ethics Panel must not be the President of the Society or the Chair of the Academy Executive Committee.
  4. The Chair of the Professional Standards and Ethics Panel must appoint by notice in writing at least two members of a Professional Standards and Ethics Panel convened to hear this complaint and refer the complaint to the Panel.
  5. The Chair has a deliberative vote only.
  6. The Panel may dismiss the complaint if any one of the following apply:
    1. a prima facie case for breach of Code has not been made:
    2. the subject matter of the complaint is trivial:
    3. the complaint is frivolous or vexatious or is not made in good faith:
    4. the person alleged to be aggrieved does not wish action to be taken or continued:
    5. the complainant does not have a sufficient personal interest in the subject matter of the complaint:
    6. a hearing on the complaint is no longer practicable given the time elapsed since the matter giving rise to the complaint.
  7. If the complaint is not dismissed, the Chair may appoint by notice in writing two more Panel members.

8. Chief Executive must notify and implement decision of appointment of Panel and dismissal of complaint

  1. The Chief Executive must notify the complainant and the Member complained about of the appointment of the Panel under rule 7.
  2. If a complaint is dismissed under rule 7, the Chief Executive must notify the complainant and the Member complained about of the decision to dismiss the complaint and the reasons for the decision.

9. Composition of Professional Standards and Ethics Panel

The Professional Standards and Ethics Panel must comprise—

  1. at least 2 persons who are members of the Council or the Academy Executive Committee (including the Chair); and
  2. at least 1 other member, who may be a lay member.

10. Powers of Professional Standards and Ethics Panel

The Professional Standards and Ethics Panel may:

  1. make, or appoint a person to make, any enquiries it considers necessary:
  2. engage counsel, who may be present at a hearing of the Panel, to advise the Panel on matters of law, procedure, and evidence:
  3. request the Member complained about and/or the complainant to provide to the Panel, within a specified period of not less than 14 working days that the Panel thinks fit, any documents, things, or information that are in the possession or control of the person and that are relevant to the investigation:
  4. take copies of any documents provided to it:
  5. request the Member complained about and/or the complainant to attend before the Panel, at that person’s own cost, on no less than 14 working days’ notice:
  6. receive any evidence it thinks fit:
  7. request a person giving evidence to verify a statement by statutory declaration:
  8. provide information to assist the complainant and the Member complained about to obtain counsel or other advocacy assistance.

11. Professional Standards and Ethics Panel may explore alternative dispute resolution for complaints

  1. Before making the decision on a complaint, the Professional Standards and Ethics Panel may explore, with the complainant and the Member complained about, the possibility of the complaint being referred to conciliation, mediation, arbitration, or another dispute resolution process.
  2. If a complaint is referred to a dispute resolution process under clause (1) and the complainant and Member complained about fail to resolve the dispute within 60 working days of the referral, or within any other time period that the Professional Standards and Ethics Panel thinks fit, the Panel must make a decision on the complaint.

12. Process of Professional Standards and Ethics Panel

The Professional Standards and Ethics Panel must, before making its decision on a complaint,—

  1. advise the complainant and the Member complained about of the fact of the complaint and the process that the Panel intends to follow;
  2. provide the complainant with an opportunity to put all information about the complaint before the Panel;
  3. provide the complaint and all material relating to the complaint to the Member complained about (subject to confidentiality considerations in exceptional cases);
  4. give the Member complained about at least 14 working days to make submissions in writing or orally to the Panel;
  5. provide any material that the complainant has not had an opportunity to address to the complainant, and provide the complainant with an opportunity to respond; and
  6. provide a draft decision to the complainant and the Member complained about, and give the complainant and the Member complained about at least 14 working days to make submissions on the draft decision in writing to the Panel.

13. How Professional Standards and Ethics Panel’s decision must be made

  1. The Professional Standards and Ethics Panel must make its decision on a complaint in accordance with the following:
    1. the Panel must make its decision on the complaint as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
    2. if the Panel is not unanimous, the decision of the majority of the Panel is the decision of the Panel (but dissenting members may record dissenting views); and
    3. the Panel must give reasons in writing for its decision, or the decision of the majority, as the case may be.
  2. The Panel must notify the Chief Executive of its decision, and reasons for the decision, as soon as practicable after the decision is made.

14. Chief Executive must notify and implement decision of Panel

The Chief Executive must, as soon as practicable after receiving the decision of the Professional Standards and Ethics Panel,—

  1. notify the complainant and the Member complained about of the decision on the complaint, the reasons for the decision, and any dissenting views; and
  2. if the Professional Standards and Ethics Panel finds that the complaint was justified in whole or in part, refer the decision to the Council for consideration of disciplinary action.

15. Council must determine complaint or enquiry

The Council must, as soon as practicable after the Chief Executive refers the decision to the Council, review the decision and decide—

  1. whether or not there are grounds under the Code for disciplining the Member complained about; and
  2. if so, whether and how to exercise the Council’s  powers under the Act, including imposing one or more of the following penalties:
    1. revoking the Member’s membership of the Society or suspending the Member’s membership for any period;
    2. requiring the Member to relinquish, or be suspended for any period from, any official positions within the Society; or
    3. reprimanding or admonishing the Member.

16. How Council’s decision must be made

  1. The Council must make its decision on a complaint in accordance with the following:
    1. the Council must make its decision as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
    2. if the Council is not unanimous, the decision of the majority of the Council is the decision of the Council (but dissenting members may record dissenting views); and
    3. the Council must consider:
      1. the Member’s diligence in applying the Code;
      2. the degree of implicit compliance through quality assurance procedures in use;
      3. the degree to which account was taken of each clause of the Code; and
      4. the extent of explicit disregard of the Code.
  2. A Councillor who served on the Panel must not take part in the Council’s decision under clause (1).
  3. The Council must notify the Chief Executive of its decision, and reasons for the decision, as soon as practicable after the decision is made.

17. Chief Executive must notify and implement decision of Council

The Chief Executive must, as soon as practicable after receiving the decision of the Council,—

  1. notify the complainant and the Member complained about of the Council’s decision, the reasons for the decision, any dissenting views, and the right of appeal under these Rules; and
  2. implement any decision that requires action by it, but must allow at least 28 working days after notifying the complainant and the Member complained about of the decision before the decision takes effect.

18. Lodging of appeals

  1. The complainant or the Member complained about may lodge an appeal against a decision of the Council.
  2. An appeal must—
    1. be lodged in writing with the Chief Executive within 28 working days of notification of the decision of the Council; and
    2. set out the grounds for the appeal and any evidence in support of the appeal.

19. Appeal Committee must determine appeals

  1. The Chief Executive must forthwith transmit the appeal to the Chair of the Academy Executive Committee, who must appoint an Appeal Committee.
  2. If the Chair of the Academy Executive Committee has a material conflict of interest in relation to the appeal, the Chief Executive must ask another member of the Academy Executive Committee who does not have a material conflict of interest to appoint an Appeal Committee.
  3. The Appeal Committee must, as soon as practicable after receiving an appeal, review the matter and decide whether to confirm, vary or reverse the decision or any order of the Council.

20. Composition of Appeal Committee

The Appeal Committee must comprise—

  1. at least 2 persons who are members of the Council or the Academy Executive Committee who did not serve on the Professional Standards and Ethics Panel; and
  2. at least 1 other member, who may be a lay member.

21. Powers of Appeal Committee

The Appeal Committee may—

  1. engage counsel, who may be present at a hearing of the Committee, to advise the Committee on matters of law, procedure, and evidence:
  2. request the Member complained about and/or the complainant to provide to the Committee, within a specified period of not less than 14 working days that the Committee thinks fit, any documents, things, or information that are in the possession or control of the person and that are relevant to the investigation:
  3. take copies of any documents provided to it:
  4. request the Member complained about and/or the complainant to attend before the Committee, at that person’s own cost, on at least 14 working days’ notice:
  5. receive any evidence that it thinks fit:
  6. request a person giving evidence to verify a statement by statutory declaration:
  7. provide information to assist the complainant and the Member complained about to obtain counsel or other advocacy assistance.

22. Process of Appeal Committee

  1. The Appeal Committee must—
    1. give the complainant, the Member complained about, and any person alleged to be aggrieved (if not the complainant) at least 28 working days’ notification of—
      1. the time and place of the hearing of the appeal; and
      2. the right of those persons to be heard and represented at the hearing; and
    2. advise each of the persons specified in paragraph (a) that the person must notify the Appeal Committee within a specified period (which must be no less than 14 working days after the date of the notice) if the person wishes to be heard by the Appeal Committee on the complaint or enquiry.
  2. The complainant, the Member complained about, and any person alleged to be aggrieved have the right to be heard and represented at the hearing and to make written submissions.
  3. Unless the Appeal Committee directs otherwise no person attending a hearing may recall witnesses who gave evidence before the Professional Standards and Ethics Panel or call other witnesses.
  4. The following material must be before the Appeal Committee—
    1. the Council’s decision and any order of the Council; and
    2. the record of the proceedings of the Professional Standards and Ethics Panel and its report; and
    3. any documents which supported the decision of the Council; and
    4. any submissions made in respect of the appeal.

23. How the Appeal Committee’s decision must be made

  1. The Appeal Committee must make its decision on an appeal in accordance with the following:
    1. the Committee must make its decision as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
    2. if the Committee is not unanimous, the decision of the majority of the Committee is the decision of the Committee (but dissenting members may record dissenting views); and
    3. the Committee Chair has a deliberative vote only.
  2. The Appeal Committee must notify the Chief Executive of its decision, and reasons for the decision, as soon as practicable after the decision is made.

24. Chief Executive must notify and implement decision of the Appeal Committee

  1. The Chief Executive must notify the complainant and the Member complained about of the Appeal Committee’s decision.
  2. The Appeal Committee’s decision is final.

25. Disclosure to Membership of the Society

  1. If any order or orders are made under these Rules, the Chief Executive must report to the Council, with particulars of the order or orders.
  2. Particulars of any order or orders made must be notified to all Members of the Society by publication in such manner as the Council may decide.
  3. The Council may disclose to all Members the name of the Member against whom an order was made.

26. Disclosure to interested parties

The Council may inform any other professional body to which the Member complained about is known to belong, and any person or body who in the view of the Council has a material interest in the matter.

27. Grants towards costs

The Society is not liable for any expense by way of travelling, engagement of counsel, calling of any witness or in any other matter connected with the investigation, incurred either by the Member whose conduct is under investigation or by any person or persons who make a complaint; but the Society may, in its discretion, and without being deemed to make any admission of liability by so doing, make a grant to such Member or person to cover the whole or any part of such expense.

28. Rules do not limit the Council’s power to carry out delegated functions and powers itself

The fact that these Rules give a function or power to a person or committee does not prevent the Council from performing the function or exercising the power itself.

29. General provisions about revocations of appointments and resignations

  1. The Council may, at any time—
    1. revoke a person’s appointment to a role under these Rules by written notice to him or her; or
    2. reconstitute any body of persons appointed under these Rules by written notice to that body.
  2. A person appointed under these Rules may resign the appointment by written notice to the Chief Executive.

30. General provisions about procedures

  1. Every person or body appointed under these Rules must—
    1. observe the rules of natural justice; and
    2. give reasons for any decision it makes.
  2. Except as otherwise provided in any other rules of the Society or these Rules, a person or body of persons appointed under these Rules may regulate the person’s or body’s own procedure as it thinks fit.
 
Colour Strip