1. Purpose

These Rules establish the procedures for reporting, investigating, adjudicating, and resolving complaints or allegations of professional misconduct involving any individual certified, affiliated, or authorized by The Neutrals Organization (hereafter “the Organization”).
They ensure due process, accountability, and protection of the integrity of the Certified Neutral designation and the Organization’s reputation.

2. Jurisdiction and Scope

a. These Rules apply to:

• All Certified Neutrals, Fellows, Institutional Partners, and applicants under review;

• Members of governing bodies, committees, or affiliated entities acting under the Organization’s name or authority.

b. Jurisdiction extends to any act or omission that:

• Violates the Code of Ethical Conduct, the Certification Regulations, or the Brand & Trademark License Terms;

• Brings disrepute to the Organization or undermines its credibility;

• Constitutes misconduct in a neutral or professional role.

3. Oversight Authority

The Ethics & Oversight Committee (EOC), acting under delegation from the Independent Certification Board (ICB), is responsible for:

• Receiving and reviewing complaints;

• Conducting investigations;

• Making recommendations for disciplinary action;

• Reporting outcomes to the ICB for ratification and enforcement.

4. Submission of Complaints

a. Who may file:
Any individual, organization, party to a proceeding, or colleague may submit a complaint in writing.

b. Form of complaint:
Complaints must be in writing, include the complainant’s full name and contact information, and provide specific facts, documents, or evidence supporting the allegation.

c. Anonymous complaints:
Anonymous submissions may be reviewed if sufficient credible evidence is provided to justify investigation.

d. Acknowledgment:
The Secretariat acknowledges receipt of a valid complaint within five (5) working days.

5. Preliminary Screening

a. The EOC conducts an initial review to determine whether the complaint:

• Falls within the jurisdiction of the Organization;

• Presents sufficient evidence to warrant further inquiry.

b. If deemed frivolous, incomplete, or outside jurisdiction, the complaint may be dismissed at this stage with written notice to the complainant.

c. If accepted, the complaint proceeds to Formal Investigation.

6. Formal Investigation

a. The Neutral concerned (“Respondent”) shall be notified in writing within seven (7) days of acceptance of the complaint, along with the specific allegations and evidence.

b. The Respondent shall have fourteen (14) days to submit a written response, explanation, or rebuttal with any supporting documents.

c. The EOC may appoint an Investigation Panel of three (3) members, none of whom shall have prior connection with the case or the parties.

d. The Panel may conduct interviews, request additional information, or hold a hearing (virtual or in-person) as deemed necessary.

7. Interim Measures

In exceptional circumstances where the alleged conduct poses immediate risk to the public, clients, or the Organization’s reputation, the EOC may recommend temporary suspension of certification pending completion of investigation.
Such interim action does not imply guilt and shall be reviewed within thirty (30) days.

8. Determination and Recommendations

a. After reviewing all evidence, the Investigation Panel submits a written report to the EOC within thirty (30) days.
b. The report shall state findings of fact, conclusions, and recommended sanctions (if any).
c. The EOC reviews the report and submits its final recommendation to the ICB for approval.

9. Sanctions

Depending on the gravity of the violation, the following sanctions may be imposed:

1. Advisory Letter: Non-disciplinary notice recommending corrective action.

2. Formal Warning: Written reprimand recorded in the Neutral’s file.

3. Suspension: Temporary removal of certification and rights for a specified period.

4. Revocation: Permanent withdrawal of certification and removal from the Global Registry.

5. Termination of Affiliation: Expulsion from all organizational roles and privileges.

6. Public Notice: Publication of disciplinary action (only in serious or precedent-setting cases).

10. Notification and Right of Response

a. The Respondent shall receive written notice of the EOC’s decision and the rationale for any sanction imposed.
b. The Respondent shall have thirty (30) days to file an appeal under the procedures in Section 11.

11. Appeals Process

a. Appeals must be submitted in writing to the Appeals Panel within thirty (30) days of receiving notice of sanction.
b. The Appeals Panel shall consist of three (3) individuals independent of the original investigation.
c. Grounds for appeal are limited to:

• Procedural error;

• New evidence not reasonably available earlier;

• Disproportionate sanction.
  d. The Appeals Panel’s decision shall be final and binding.
  e. Decisions of the Appeals Panel shall be communicated to all parties and recorded in the Organization’s registry.

12. Confidentiality

a. All proceedings under these Rules are confidential.
b. Only final outcomes and necessary administrative notices shall be disclosed publicly.
c. All records are retained securely under the Data Protection Policy.

13. Reinstatement

A Neutral whose certification has been suspended or revoked may apply for reinstatement after the prescribed period, upon demonstrating rehabilitation, compliance with the Code, and fulfillment of all conditions imposed.

14. Protection of Complainants and Witnesses

The Organization prohibits retaliation against any complainant or witness participating in good faith.
Allegations of retaliation shall be investigated as independent ethical violations.

15. Reporting and Transparency

The Ethics & Oversight Committee may publish anonymized annual summaries of disciplinary actions to promote accountability and learning across the profession.

16. Amendments

These Rules may be amended by the Independent Certification Board upon recommendation of the Ethics & Oversight Committee.
Amendments shall be published on the Organization’s website and take effect immediately upon publication.

17. Effective Date

These Rules take effect on 1 January 2025 and remain binding upon all Certified Neutrals, Fellows, and associated entities of The Neutrals Organization.

Issued by:
Ethics & Oversight Committee

The Neutrals Organization
www.theneutrals.org