1. Grounds for investigation

A conduct investigation may be initiated by TheNeutrals.ORG™ on the following grounds:

• Alleged breach of the Code of Ethical Conduct
• Alleged breach of the Conflict of Interest Policy
• Conduct alleged to bring TheNeutrals.ORG™ or the neutral profession into disrepute
• Failure to comply with a governance directive or requirement
• Any other conduct incompatible with the standards required of a certified neutral

2. How investigations are initiated

Investigations may be initiated:

• By written complaint from a party, counsel, or other person affected by the alleged conduct
• By referral from a TheNeutrals.ORG™ Neutral Advisor or senior staff member
• By the Global Council on its own motion, where information comes to its attention

Complaints should be submitted in writing to [email protected]. All complaints are acknowledged within 5 working days.

3. The investigation process

Stage 1 — Preliminary review

The Global Council conducts a preliminary review to determine whether the complaint discloses a prima facie case warranting investigation. The neutral is not contacted at this stage.

Stage 2 — Notice and response

If a prima facie case is found, the neutral is notified of the complaint in writing and given a minimum of 21 days to respond. The response is considered by the Global Council.

Stage 3 — Investigation

The Global Council may appoint an independent investigator or conduct the investigation itself. The neutral has the right to attend any hearing, present evidence, and be accompanied by a colleague or advisor.

Stage 4 — Determination and sanction

Following investigation, the Global Council issues a written determination. Available sanctions include: no further action; formal warning; required remedial training; suspension; or revocation of certification. Findings may be published (anonymised) in the interests of professional transparency.

4. Appeals

A neutral who has been suspended or had their certification revoked may appeal the decision within 30 days to an independent panel of three members appointed by the Global Council. The appeal panel's decision is final.

5. Confidentiality

All aspects of a conduct investigation are treated as strictly confidential until a final determination is made. Neither the existence nor the subject matter of an investigation is disclosed to any person other than those directly involved in the process.