Code of Practice


	ABRIDGED

	THE DISPLAYING OF THIS SYMBOL ON A UIA MEMBERS PUBLICITY INDICATES THAT THE ORGANISATION HAS AGREED TO ADHERE TO THE FOLLOWING CODE OF PRACTICE.
	"The Utilities Intermediary Association (UIA) is an organisation set up to further the standard, status and credibility of Brokers and Consultants and, where appropriate, individuals, who play a major part in the Utilities Sector of the market in particular the energy market. Full Membership of the UIA can only be gained by agreeing to adhere to the Articles of Association and to the principles and Codes of Practice included here and as amended from time to time."
	The UIA will publish this Code of Practice on their web-site and make available as required
	The UIA will maintain a disciplinary process that will enable a Full Member's client to obtain redress
	Full Members of the UIA will not act in a way that brings the UIA, their organisation or themselves into disrepute and should demonstrate openess, clarity and truthfulness in their dealings with clients.
	Members of the UIA should always obtain a letter of authority from a client, be aware of industry timescales, appreciate suppliers' operational needs and understand the implications of hurried price seeking.
	Full Members of the UIA will treat client data in a confidential manner at all times.
	Full Members of the UIA must issue to the client an agreement or contract that indicates what the Member will do for the Client. This document must include the following:
1.	The named parties.
2.	The date the contract commences and terminates (if appropriate) or clarity that it is an evergreen arrangement
3.	Any cancellation conditions as appropriate
4.	Any termination conditions as appropriate
5.	A Full Member must indicate if he is working on behalf of a single supplier or making a trawl of the market
6.	How the decision to offer a recommendation to the client is achieved (i.e. lowest offer)
7.	The origin of all considerations i.e. Rebates or fees
8.	What services will be delivered
9.	How data will be managed and the confidentiality arrangements
10.	The contact for raising contractual issues
11.	How complaints from either side will be handled

a)	In addition the following items should be considered as part of the contract or agreement with the client.
a)	What post contract service is included
b)	How items of ethics and integrity will be handled
c)	What will be the process for closing the contract and any return / handover issues
b)	Where the possibility that older or vulnerable customers are caught by any contract then provision for dealing appropriately must be in place.
c)	Detail of the client's energy usage and any planned changes.
d)	The provision and timeliness of the payment of invoices relating to the contract or agreement with the client
e)	What the process will be for the checking of invoices and payment terms
f)	The arrangements for the payment of correctly rendered invoices on behalf of clients (where applicable) and the agreed terms and conditions.
	A Member of the UIA will not prevent a client from speaking to his supplier
	A Member of the UIA will deal with contractual and/or Code of Practice complaints from clients in a timely manner and will acknowledge receipt of complaint within 5 working days giving a likely date for resolution.
	If a client is unable to obtain satisfactory resolution to his complaint he can then refer such complaint to the UIA by making the complaint in writing to: The Compliance Director, PO Box 355, Tunbridge Wells, TN2 9ED
	THE UIA will deal with such complaints through their disciplinary procedure and any proven misconduct will lead to one of the following penalties:
1.	Written reprimand from the UIA with recommendations / suggestions on how to prevent reoccurrence
2.	A written apology to the complainant by the member
3.	A payment to be made to the client by way of recompense for inconvenience caused. (This would be awarded by an independent panel)
4.	A mandatory period of training to be undertaken
5.	The return of all or a portion of the fees to the client
6.	A fine by way of an increase in annual fees payable to the UIA for the following year/s ( used in conjunction with one or a combination of the aforementioned)
7.	Expulsion from UIA

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	CODE OF PRACTICE WRITTEN STANDARDS FOR THE CONDUCT OF PROFESSIONAL WORK BY THIRD PARTY INTERMEDIARIES OPERATING IN THE ENERGY MARKETS
	The authors have asserted their moral rights in accordance with the Copyright Designs and Patents Act 1988. All rights reserved. No part of this publication may be reprinted, reproduced, utilised or transmitted in any form or by electronic, mechanical or other means, now known or hereafter invented, including photocopying and recording or stored in any retrieval system of any nature without the prior written permission of the UIA Board of Directors. UTILITIES INTERMEDIARIES ASSOCIATION CODE OF PRACTICE Contents
Section 1	Preliminaries
1.1	Introduction
1.2	Administration
1.3	Definitions
Section 2	Aims and Objectives
	Aims of the Code of Practice
Section 3	Ethics

Section 4	Responsibilities when handling Data and information obtained
4.1	Data provided by Client / customer
4.2	Misuse of data
Section 5	Integrity

Section 6	Contract or Agreement arrangements
6.1	Creation of a Contract or Agreement
6.2	Content of the Contract or Agreement
6.3	Clarification of the origin of all fees earned
6.4	Adherence to the Contract or Agreement
Section 7	Communication and relationships with Clients
7.1	Maintaining communication with Client during contract period
7.2	Relationship with Client's staff
Section 8	Criminal Acts

Appendices
Appendix C 1	Complaint Rules
1.1	The preliminary activities of a complainant
1.2	The provision of evidence to the Members Council
1.3	The complaint handling process
Appendix C 2	The Disciplinary Process
2.1	Background
2.2	Disciplinary Procedures
2.3	Disciplinary Committee
Appendix C 3	Potential results of Disciplinary action

Appendix C 4	The Appeals process The Directors of the UIA will seek acceptance and recognition of this Code of Practice by an appropriate reputable body where possible. The Council of the UIA will then ensure compliance of this Code of Practice with any requirements of the reputable body. UTILITIES INTERMEDIARIES ASSOCIATION CODE OF PRACTICE Section 1 Preliminaries
1.1	Introduction
a)	The Utilities Intermediary Association (UIA) is a company limited by guarantee and a not for profit organisation set up to further the standard, status and credibility of the Brokerage and Consultancy organisations, and, where appropriate, individuals, Third Party Intermediary (Tpi) who play a major part in the Utilities Sector of the market in particular the energy market. Full Membership of the UIA can only be gained by agreeing to adhere to the Articles of Association and to the principles and practices included here and in The Handbook as amended from time to time.
b)	This Code of Practice provides a reference document for those engaged in the provision of Brokerage and Consultancy Services and for those who would seek to use their services. Reference to the pages of this Code of Practice will provide the outline of the acceptable and unacceptable practices and conduct while preparing to work under contract, during a Contract period or what to do after the contract or agreement is concluded.
c)	Appendices to this Code of Practice deal with complaints and how they should be handled, Disciplinary processes and procedures including the possible outcomes and redress for any complaint by a Members Client.
d)	The Code of Practice will be reviewed from time to time by the Council of the UIA and amendments made to ensure the Code reflects the scope of membership, current industry practice, expectations and structure.
1.2	Administration of the Code of Practice The administration of this Code is through the guidance and involvement of The Council of the UIA. Changes and implementation of the content of the Code is administered by The Council.
1.3	Definitions In this Code of Practice the following apply. Where a reference is made to "Article" that is the Articles and Memorandum of the Utilities Intermediaries Association. A copy can be obtained from the UIA on application. "Agent Member" means a person or an organisation who satisfies the criteria for agency membership as set out in Article 9; Which states:-
9	Agent Members shall be those who have satisfied and/ or continue to satisfy the Board that:
9.1	they are either a Member Agent or a Supplier Agent; and
9.2	they have agreed to adhere to the Code of Practice.
10	Agent Members may use their membership of UIA as a guarantee of integrity, competence and standard of service in respect of the services offered by such Agent to clients and suppliers Registered Member's Agents may inform their clients and suppliers that it has agreed to adhere to the Code of Practice and may exhibit the logo of UIA on their business stationery "Ancillary Member" means an organisation which satisfies the criteria for ancillary membership as set out in Article 6; Which states:-
6	Ancillary Members shall be those who have satisfied and/ or continue to satisfy the Board that: they are not a Third Party Intermediary but they are otherwise interested in the business of UIA.
7	Ancillary Members may not in any way use their membership of UIA as a guarantee of integrity, competence or standard of service in respect of the services offered to Clients and suppliers by such Member and may not exhibit the logo of UIA on their business stationery.
8	Ancillary Members may not become Full Members. "Associate Member" an organisation which satisfies the criteria for associate membership as set out in Article 2; Which states:-
2	Associate Members shall be those who have satisfied and/ or continue to satisfy the Board that:
2.1	the applicant has been for at least two (2) years and are currently in business as a Third Party Intermediary in the Energy Industry; or
2.2	the principal(s) involved in the applicant organisation have worked as Third Party intermediary/ies for another organisation in the Energy Industry for at least two (2) years; and
2.3	(save insofar as the Board shall, in the exercise of its discretion, otherwise decide) the applicant or their directors or principal shareholders or partners or any other person employed or concerned in the management of the business and each of them are respectable and honest businessmen none of who is an undischarged bankrupt or has made a composition with its creditors or has been an owner or a controlling director or a partner in a business which has failed to meet its liabilities or has been guilty, in the opinion of the Board, of conduct which renders the organisation unfit to be a Member;
2.4	the applicant has, in the opinion of the Board, successfully Completed at least three (3) contracts for Clients;
2.5	if employing others, the applicant can demonstrate effective methods of gaining and improving their knowledge of the Energy Industry and importing this knowledge to and training their staff; and
2.6	the applicant has a client base of at least five (5) Clients, however, this requirement is not absolute and consideration will be given to those organisations who choose to operate with fewer than five (5) Clients for business reasons.
3	Associate Members may not in any way use their membership of the UIA as a guarantee of integrity, competence or standard of service in respect of the services offered to Clients and suppliers by such Member and may not exhibit the logo of UIA on their business stationery. "Brokerage and Consultancy Services" An organisation that charges a fee to arrange a contract between an energy supplier and a client and/or gives expert advice within the energy industry; "Client" means a commercial or a consumer purchaser of a Member's goods or services; "Code of Practice" means the code or codes of practice of UIA as formulated by the Council from time to time; "Council" means collectively the body of persons forming the council of UIA as set out in Article 48; Which states:-
49	The Council shall consist of:
49.1	Two (2) representatives from among the Large Organisations who are Full Members; and
49.2	Two (2) representatives from among the Medium Organisations who are Full Members; and
49.3	Two (2) representatives from among the Small Organisations who are Full Members; and
49.4	Two (2) representatives from among the Associate Members; and
49.5	Three (3) Directors; and
49.6	Up to a maximum of three (3) Co-opted Members
4	Full Members shall be those who have satisfied and/ or continue to satisfy the Board that:
4.1	they have been an Associate Member for at least twelve (12) months;
4.2	they can provide two (2) references from their Clients and one (1) reference from their suppliers evidencing the satisfaction of the relationships between the parties;
4.3	their financial position is satisfactory;
4.4	they have in place and operate Satisfactory Client Care Policies and Procedures; and
4.5	they have agreed to adhere to the Code of Practice.
5	Full Members may use their membership of UIA as a guarantee of integrity, competence and standard of service in respect of the services offered by such Member to Clients and suppliers. Full Members may inform their Clients and suppliers that they have agreed to adhere to the Code of Practice and may exhibit the logo of UIA on their business stationery. "Third Party Intermediary" (Tpi) means a person, persons or organisation who trades between the supplier and the consumer in the sale and purchase of energy within the Energy Industry "UIA" means the Utilities Intermediaries Association; and expressions referring to writing include references to printing, fax, e-mail and other methods of representing or reproducing words in a visible form; references in this Code of Practice to 'he' or 'him' include male and female individuals and corporations. Section 2 Aims of the Code of Practice The Aims of the Code of Practice are to contribute to the fulfilment of the aims of the UIA by setting high standards and provide an operating framework to which every Tpi / Consultant / Broker / Individual member or Agent can refer to and comply with and so too for those who seek to use their services. Section 3 Ethics
a)	The responsibility for all who wish to be brought into any section of membership of the UIA is to act in a way that does not bring the UIA or the organisation themselves into disrepute or for an allegation of unethical practice to be generated. This is fundamental to the Aims and Objectives of the UIA.
b)	While much is written regarding what constitutes ethics it is not for this Code of Practice to define ethics as demonstrated in the energy market.
c)	By the application of the content of the various sections of this Code of Practice and overall demonstrating openness, clarity and truthfulness through marketing, through the contract between customer and Client and delivering what is agreed then the question of unethical practice should not arise.
d)	Similarly customers who wish to use the services of Members of the UIA must expect that standard to be maintained and will be expected to act in an entirely reciprocal way.
e)	Any complaint of unethical practice will be taken very seriously. If proven, it will constitute gross misconduct and be subject to the UIA's Disciplinary procedures.
f)	By way of illustration, acts of unethical practice include (but are not limited to) the following: Misleading use of the UIA logo in breach of the terms of any licence agreement entered into between UIA and the Member so as to directly or indirectly represent or cause, permit, assist, encourage or in any other way provide any person, company or firm not in membership of the UIA with the opportunity to represent itself as a Member or as being associated with or connected to the Member or UIA in any way that is likely to mislead any person by the use of the UIA logo; Receiving unauthorised or undeclared payments in return for unauthorised or undeclared favours. Section 4 Responsibilities when handling Data and information obtained
4.1	Members shall comply with the Data Protection Act 1998 ("DPA") and shall ensure they have in place an effective policy for protecting the privacy of their Clients which shall be available to Clients on request.
4.2	In accordance with the DPA Members shall ensure that:
(a)	their collection and use of personal information from Clients is fair;
(b)	they take responsibility for all personal information held and used and that appropriate security measures are in place to protect Client information;
(c)	a clear, prominent statement is available to Clients before any information is collected explaining what type of information is required and as far as possible by whom. Where information may be passed to entities outside the countries of the EEA this should be made available to the Client at the time of collection of the information;
(d)	a clear prominent statement should be available to Clients prior to the time that information is collected explaining whether information will be used, or passed to third parties for any purpose other than effecting the transaction (such as marketing). Any personal
(e)	Clients are given the right to opt out of future marketing approaches at the time of information collection;
(f)	databases are kept up to date and that information is held only as long as is necessary for the purposes for which it was collected; and
(g)	that Clients are given access, on request, to information held about them, and that incorrect information is amended or deleted without delay. Clients shall be clearly informed of their rights in this respect.
4.3	Failure to comply with the above requirements, resulting in a complaint by a Client of a Member to UIA, will, if proven, constitute misconduct and be subject to the UIA's disciplinary procedures.
4.4	If a Member is prosecuted for breach of the DPA and such prosecution leads to a conviction, this will constitute gross misconduct and be the subject of the UIA's disciplinary procedures. Section 5 Integrity
a)	During the normal course of business activity with a Client either in a contractual relationship or not, confidential information about the Client be it financial, developmental, structural or personnel is likely to be disclosed to the Member.
b)	If a Member uses this information to gain an advantage for himself or create a disadvantage for a third party, the integrity of such Member will be called into question and will, if it becomes the subject of a complaint to the UIA, constitute misconduct and if proven be subject to the UIA's disciplinary procedures. Section 6 Contract or Agreement arrangements
a)	While this section is headed Contract or Agreement there are several documents used by the Tpi which carry out the function of making clear what is to be delivered. Therefore for the purposes of this section the term "Contract or Agreement" encompasses the documents used by a Tpi to set out to Clients the overall terms and conditions of the working arrangements.
b)	It follows therefore that everyone who wishes to be brought into any section of Membership of the UIA must ensure the practices used in selling and for clear and fair contract terms are within the law, meet the highest standards and ensure no found criticism from Clients or customers. Issues and complaints to the UIA from Clients which bring into question the contract or agreement arrangements will be investigated and if found lacking may be subject to the UIA disciplinary procedures.
6.1	Creation of a Contract or Agreement
a)	As part of this Code of Practice to which Full Members agree to abide by, Associate Members shall introduce certain business practices, if not already in place, in order to achieve Full Membership status at the end of the interim period
b)	A Contract or Agreement document setting out what the Member will do and what the Client should expect is a basic principle required to be adopted by the Associate and to be in place prior to application for Full Membership.
c)	Should an Associate Member not be in a position to demonstrate the use of such a Contract or Agreement at the time of application to Full Membership then the application will be rejected until such time as it can be demonstrated.
6.2	Content of the Contract or Agreement The following clauses acknowledge that there are contracts/agreements between the several parties in the supply chain i.e. Supplier/Client, Member/Supplier, Agent/Member, and Member/Client. This section deals primarily with the Member/Client relationship and also offers advice on other contractual relationships. Before seeking prices from the market place a Third Party Intermediary should always make it a priority to obtain Letters of Authority from Clients in order to act on their behalf. These Letters of Authority are also becoming essential in order to access the various data systems of National Grid, Master Registration Agreement and in order to discuss Client issues with energywatch
a)	A contract or agreement is clearly between the Member and the Client and will reflect the work that is the subject of payment. The style and content may be unique to the Member and this Code of Practice does not seek to fetter the Member in what should or should not be included.
b)	The processes within Third Party Intermediary organisations are not the same and therefore the following list may or may not reflect all that is required in each circumstance. While this is not to be seen as an exhaustive list there is content that the UIA considers significant and therefore mandatory, these are numbered below.
1.	The named parties.
2.	The start date and the finish date if appropriate or clarity that it is an evergreen arrangement
3.	Any cancellation conditions as appropriate
4.	Any termination conditions as appropriate
5.	A Full Member must indicate if he is working on behalf of a single supplier or making a trawl of the market
6.	How the decision to offer a recommendation to the Client is achieved (i.e. lowest offer)
7.	The origin of all considerations (i.e. Rebates or fees)
8.	What will be delivered
9.	How data will be managed and the confidentiality arrangements
10.	The process for raising contractual issues
11.	How complaints from either side will be handled
c)	Those that follow on and are lettered should be considered as part of the contract or agreement with the Client.
a)	What post contract service is included
b)	How items of ethics and integrity will be handled
c)	What will be the process for closing the contract and any return / handover issues
d)	Where the possibility that older or vulnerable customers are caught by any contract then provision for dealing appropriately must be in place.
e)	Detail of the Client's energy usage and any planned changes.
f)	The provision and timeliness of the payment of invoices relating to the contract or agreement with the Client
g)	What the process will be for the checking of invoices and payment terms
h)	The arrangements for the payment of correctly rendered invoices on behalf of Clients (where applicable) and the agreed terms and conditions. A Member of the UIA will not prevent a Client from speaking to the Client's supplier. A Client should confirm to the Member that he is doing so.
6.3	Clarification of the origin of all fees earned The Tpi sector of the market has been criticised for not making clear the origins of income received. While this criticism has only been levelled at a few within the industry never the less it has become an issue for consumers, regulators and watchdogs.
a)	In order for the UIA to ensure its Members are not criticised it is a principle of Membership of the UIA that the origins, of any income, or considerations gained, is made clear to Clients as part of the contract or agreement.
b)	Where failure to make clear the origins of any income becomes the subject of a complaint to the UIA then this will, if proven, constitute misconduct and be subject to the UIA's Disciplinary procedures.
6.4	Adherence to the Contract or Agreement
a)	It is expected that the Member will adhere to and fulfil the contract or agreement. If it becomes clear that this is proving difficult under one or more of the headings in 6.2 the Member must communicate to the Client any concerns or potential changes or failures to deliver for whatever reason.
b)	Where the failure to advise becomes the subject of a complaint to the UIA then this will, if proven, constitute misconduct and be subject to the UIA's Disciplinary procedures. Section 7 Communication and relationships with Clients
7.1	Maintaining communication with the Client during the contract period
a)	Professional management of a contract or agreement always requires the communication processes between Member and Client to be in good order.
b)	Where this becomes the subject of a complaint to the UIA then this will, if proven, constitute misconduct and be subject to the UIA's disciplinary procedures.
7.2	Relationship with Client staff
a)	During the course of business the contact and working relationships between employees of both the Member and Client must remain on a professional basis.
b)	Where this becomes the subject of a complaint by a Client to the UIA then this will, if proven, constitute misconduct and the Member will be subject to the UIA's disciplinary procedures. Section 8 Criminal Acts
a)	Members must comply with the law at all times. If Members are concerned that they may be asked to carry out work that infringes the law, they should immediately seek legal advice. Special attention should be focused when giving advice that could breach the Financial Services and Markets Act 2000.
b)	If during an investigation by the UIA of a complaint or other matter there is concern that the law may have been breached then the UIA will inform the appropriate authority of their concerns.
c)	Where a Member is convicted of a serious criminal act then this will be considered gross misconduct and be the subject of the UIA's disciplinary procedures. For the purposes of paragraph c) above, a serious criminal act is an offence which is punishable by imprisonment. All references to the law in this section and throughout this Code of Practice shall mean the laws of England and Wales. Appendix C 1 Complaint Rules The Code of Practice and rules are specifically required to be operated by Full Members (as defined in the articles of association of UIA) however it would be appropriate for Associate Members (as defined in the articles of association of UIA) to implement it during the time they are awaiting Full Member status. The content, number and degree of customer concerns raised with the UIA will be an influencing factor in the conveying of Full Member status.
1.1	Complaint Criteria
a)	Any complaint, about an organisation that is not associated with the UIA, will be returned to the complainant with the advice that they should contact the relevant consumer body. Appropriate contact details for the consumer body will be included.
b)	The UIA will consider complaints which can be categorised as: -
1)	A Full Member failing to meet the standards of the Code of Practice where the particular section can be identified, or
2)	Where the Client considers that there has been a failure to meet the terms of the contract or agreement.
1.2	The preliminary activities of a complainant
a)	While Members must work to ensure complaints are not brought by Clients it is inevitable that from time to time cause for complaint will arise.
b)	Members must be proactive with their Clients in ensuring any complaints, as defined above, are directed in the first instance at their organisation in order that a timely and adequate resolution is achieved. The time in which to respond and where possible resolve a complaint should be within 15 working days of receipt. However if resolution is likely to take longer then the anticipated date for completion shall be notified to the Client.
c)	Where a complainant takes their complaint to a third party i.e. a consumer advice centre (such as energywatch or Consumer Direct), the Associate or Full Member must have in place processes to adequately deal with the matter through that channel.
d)	Should a complaint be received by the UIA and it is unclear from the content that the Member has had the opportunity to deal with the issues then the complainant will be advised to make contact with the Member to resolve the issues.
e)	Should a complaint be received by the UIA that indicates that unresolved complaints have been made to the Member by the Client then the UIA will contact the Member and agree a course of action.
f)	Where the consistent failure to deal adequately with complaints is brought to the attention of the UIA then consideration will be given as to whether this constitutes misconduct and if proven, be subject to the UIA's Disciplinary procedures.
a)	As outlined in 1.2 and 1.3 the UIA places great importance in Members dealing adequately with their Clients in order that complaints are not generated and particularly that they are not brought to the attention of the Directors of the UIA.
b)	For clarity the following points set out the order of events in relation to the complaints handling process: -
1.	Complaint made direct to Member by Client - Member resolves.
2.	Complaint received by the UIA direct from Member's Client where no previous contact had been made with Member - UIA records brief detail - advises the Client - contacts Member - passes the complaint to the Member for action.
3.	Complaint received by the UIA from Member's Client advising lack of resolution despite contact being previously made with Member - UIA records detail and complaint is passed to Member for action and completion within 15 working days - Member advises UIA of resolution or provides progress report within 15 working days - UIA records detail - a further 15 working days only will be given to the Member by the UIA to resolve - Member advises UIA of resolution.
4.	Failure to resolve a complaint having gone through the process in 3 above may constitute misconduct, and will, if in the opinion of the Directors of UIA, it is decided that such failure constitutes misconduct, be subject to the UIA's disciplinary procedures. Appendix C 2
2.1	Background
a)	The Associate and Full Members will agree that the benefits of membership of the UIA will be greatly enhanced if the disciplinary process is never applied because no one places themselves in such a position.
b)	However while this is a potential utopian situation it is hoped that through the application, by Associates and Full Members, of the other sections of this Code of Practice that the use of the disciplinary process is very occasional.
c)	Nevertheless the disciplinary process has to be robust, workable and seen to be in operation at all the right occasions in order that the continued credibility of the UIA and its aims and objectives can be upheld under scrutiny.
d)	Above all, in order to ensure compliance with the Human Rights Act 1998 it must be independent.
2.2	The Disciplinary Procedures
a)	In some circumstances an infringement of this Code of Practice by a Member will lead to the activation of the disciplinary procedure.
b)	Where this is the case, the Member against whom the allegation has been made shall provide, at the request of the Compliance Director, such further information or documents as may be required within such time period as may be specified
c)	The case against the member will be set out in writing and sent to the registered contact at the member's registered contact address.
d)	If, after a preliminary investigation by the Compliance Director, the facts alleged against the member appear to constitute an infringement of this Code of Practice, the matter shall be submitted to the disciplinary committee in accordance with clause 2.2 below.
e)	The disciplinary committee will be convened as necessary with at least three weeks notice in order that information can be collated and shared and appropriate preparation made.
2.3	Disciplinary Committee
a)	The Directors will compose a list of experienced and knowledgeable people from the Energy Industry who are prepared to commit to this work and from which the Member may select three names.
b)	The Chairman of the committee will be elected from these three.
c)	The Member shall be given at least 14 days notice in writing of the time and place of the hearing of the complaint.
d)	The Compliance Director will put to the committee the case for the UIA.
e)	Both the UIA and the Member shall be entitled to make representations at the hearing either personally (with or without legal representation) or in writing. The hearing shall follow standard legal process i.e. examination in chief, cross examination, re-examination and witnesses shall be permitted. Adjournments will be granted by the Chairman as appropriate, the length of which will be determined by the committee on the day. The determination of the disciplinary committee will be announced at the end of the hearing.
f)	The determination of the Committee will be provided in writing with the reasons for the decision.
g)	If required a Director of the UIA will provide information and support to the hearing however the Directors will not stand on the committee.
h)	In the event of an issue involving the operation of and the conducting of Tpi activity a Member of the Council may be asked to provide technical help and support to the disciplinary committee.
i)	If the committee finds in favour of the complainant then, in addition to any penalty, the Member will be required to meet the committee's costs to a ceiling of £1500. Appendix C 3
3.1	Potential outcomes of Disciplinary action
a)	While it is not appropriate to produce a tariff of penalties for misconduct it is important to give guidance as to the penalty which those who are the subject of complaint and subsequent disciplinary action may receive.
b)	The following list provides an indication of the penalties the disciplinary committee may impose but does not inhibit the ability of the disciplinary committee to devise a resolution appropriate to the circumstances: Immediate removal from membership with no return of fees with the UIA web site updated accordingly to record the removal of the Member as a Member of UIA. Suspension from Full Membership for a period of time with the web site updated accordingly to record the suspension of the Member's membership of UIA. The two sanctions mentioned above would be imposed as a consequence of a finding of gross misconduct.
c)	One or a combination of the following would be used to deal with lesser infringements: Charge not found, case / charge dismissed Written reprimand from the UIA with recommendations / suggestions how to prevent reoccurrence A written apology to the complainant by the Member A payment to be made to the Client by way of recompense for the impact of the reason for the complaint. (This would not be a compensation calculation) Advice to be given or a mandatory period of training to be taken The return of all or part of the fees to the Client A fine by way of an increase in the level of annual fees payable to the UIA for the following year/s
a.	The implementation of the decision of the disciplinary committee will not be actioned until the expiry of 15 working days from the date of the hearing. This is in order that any appeal may be lodged (see appendix C4). In the event of an appeal being received in this time scale the action will be suspended until the appeals panel have made their determination.
b.	appeals made outside this time scale will not be considered.
c.	Failure to comply with the outcome of the disciplinary hearing will constitute gross misconduct. Appendix C 4
4.1	The Appeals process
a)	If, following the disciplinary committee's decision, the Member wishes to lodge an appeal, the Member will have 14 working days from the date of the written notification, i.e. from the day on which the hearing took place, in which to lodge an appeal. The Member's appeal must be made in writing and must contain all reasons that the Member wishes to put before the appeals panel. No additional information from that which was produced for the original disciplinary hearing will be allowed unless by prior consent of the original disciplinary committee.
b)	The appeal will be held within 28 days of the expiry of the 14 working day appeals period.
c)	A panel consisting of different persons to those forming the disciplinary committee, will be formed to hear the appeal. This panel will hear the information and review the original decision and either uphold, amend or cancel the decision of the disciplinary committee.
d)	If the appeals panel finds against the appellant then, in addition to any penalty, the Member will meet the appeal panel's costs to a ceiling of £1500.
e)	The decision of the appeals panel is final and binding on the Member.

UIA - Utilities Intermediaries Association

Code of Practice

ABRIDGED