• 1. Purpose
• 2. Scope
• 3. Definitions
• 4. Policy Statement
• 5. Roles and Responsibilities
• 6. Policy Detail and Procedures
• 6.1 Stage 1: Concern Raised
• 6.2 Stage 2: Initial Review
• 6.3 Stage 3: Investigation
• 6.4 Stage 4: Disciplinary Panel
• 6.5 Stage 5: Appeal
• 6.6 Record-Keeping and Confidentiality
• 7. Related Policies and References
• 8. Compliance and Breach Handling
• 9. Review and Version Control
• 10. Approval Record
• 1. Purpose
• 2. Scope
• 3. Definitions
• 4. Policy Statement
• 5. Roles and Responsibilities
• 6. Policy Detail and Procedures
• 6.1 Stage 1: Concern Raised
• 6.2 Stage 2: Initial Review
• 6.3 Stage 3: Investigation
• 6.4 Stage 4: Disciplinary Panel
• 6.5 Stage 5: Appeal
• 6.6 Record-Keeping and Confidentiality
• 7. Related Policies and References
• 8. Compliance and Breach Handling
• 9. Review and Version Control
• 10. Approval Record

1. Purpose

This procedure outlines how the Western Equestrian Society (WES) manages concerns about the conduct of individuals involved in the Society. It ensures that behavioural concerns are handled fairly, proportionately, and transparently, protecting the integrity of WES and the wellbeing of its members. This procedure applies to non-show environments, including governance settings, online behaviour, correspondence, professional boundaries, and interpersonal conduct.

2. Scope

This procedure applies to members of the Full and Extended Council; Officers of the Society; WES Professionals; Area Representatives; and general WES members. It covers conduct inconsistent with the Society's values; breaches of the WES Constitution, Code of Conduct, or approved policies; disrespectful, abusive, dishonest, or harmful behaviour; inappropriate use of digital platforms or official communications; and misuse of role or misrepresentation of authority. Conduct in show environments is governed by the WES Rule Book and falls outside this procedure unless escalated to Council.

3. Definitions

• Respondent: The individual whose behaviour is under review
• Complainant: The person raising the concern (may be internal or external)
• Investigating Officer (IO): A Council-appointed person responsible for gathering facts
• Panel: A group of three impartial Council members tasked with decision-making
• Sanction: A formal outcome of the procedure (e.g. warning, suspension, removal from role)

4. Policy Statement

WES expects all those involved in its activities to behave respectfully, ethically, and in alignment with the Society's mission. Misconduct will be addressed in a timely, consistent, and fair manner, with clear stages and right of response. This procedure is not intended for informal disagreements, feedback, or personality clashes unless they escalate into serious misconduct.

5. Roles and Responsibilities

6. Policy Detail and Procedures

6.1 Stage 1: Concern Raised

• Concerns must be submitted in writing to the Chairperson or Secretary
• Anonymous concerns will not be pursued unless accompanied by compelling evidence
• Concerns must be specific, factual, and submitted within a reasonable timeframe (normally within 3 months of incident)

If the concern relates to the Chairperson, send it to the Secretary or a nominated Officer. If it relates to a safeguarding matter, see the Safeguarding Policy.

6.2 Stage 2: Initial Review

The Chair (or delegate) will: acknowledge receipt within 7 days; determine whether the concern meets the threshold for formal investigation; and where appropriate, resolve the matter informally with mutual agreement (e.g. mediated conversation, clarification). If the matter proceeds formally, an Investigating Officer (IO) will be appointed from outside the direct relationship or structure of the concern.

6.3 Stage 3: Investigation

The IO will: inform the respondent of the concern in writing; gather evidence (documents, correspondence, witness statements, relevant policy references); offer the respondent the opportunity to respond in writing; and submit a written Investigation Report to the Chair. The IO must complete the investigation within 21 days, unless extended with written justification.

6.4 Stage 4: Disciplinary Panel

The Chair will convene a Panel of 3 impartial Council members. The Panel will review the Investigation Report, consider the respondent's written response, invite the respondent to attend a hearing (optional, not mandatory), and make a decision based on evidence provided.

All decisions will be confirmed in writing within 7 days of the Panel meeting.

6.5 Stage 5: Appeal

• Appeals must be submitted in writing within 14 days of the outcome being issued

Grounds must be: procedural error; new evidence not previously available; or disproportionate outcome. An Appeals Panel, made up of 3 different Council members, will be convened. Their decision will be final and issued in writing within 14 days.

6.6 Record-Keeping and Confidentiality

• All disciplinary records will be stored securely by the Secretary for 6 years
• Records will include the original complaint, investigation report, decision, and correspondence
• Information will be shared strictly on a need-to-know basis
• Summary anonymised outcomes may be reported to Council for governance purposes

7. Related Policies and References

• WES Code of Conduct
• WES Constitution
• Safeguarding Policy (WES-POL-0020)
• Data Protection (GDPR) Policy (WES-POL-0014)
• WES Rule Book (for show-related procedures)

8. Compliance and Breach Handling

Any attempt to interfere with the process (e.g. retaliation, suppression, or manipulation) may itself constitute a disciplinary matter. Officers or Panel members who fail to maintain impartiality or confidentiality may be removed from the process or referred for separate review.

9. Review and Version Control

10. Approval Record

• 1. Purpose
• 2. Scope
• 3. Definitions
• 4. Policy Statement
• 5. Roles and Responsibilities
• 6. Policy Detail and Procedures
• 6.1 Stage 1: Concern Raised
• 6.2 Stage 2: Initial Review
• 6.3 Stage 3: Investigation
• 6.4 Stage 4: Disciplinary Panel
• 6.5 Stage 5: Appeal
• 6.6 Record-Keeping and Confidentiality
• 7. Related Policies and References
• 8. Compliance and Breach Handling
• 9. Review and Version Control
• 10. Approval Record
• 1. Purpose
• 2. Scope
• 3. Definitions
• 4. Policy Statement
• 5. Roles and Responsibilities
• 6. Policy Detail and Procedures
• 6.1 Stage 1: Concern Raised
• 6.2 Stage 2: Initial Review
• 6.3 Stage 3: Investigation
• 6.4 Stage 4: Disciplinary Panel
• 6.5 Stage 5: Appeal
• 6.6 Record-Keeping and Confidentiality
• 7. Related Policies and References
• 8. Compliance and Breach Handling
• 9. Review and Version Control
• 10. Approval Record

1. Purpose

This procedure outlines how the Western Equestrian Society (WES) manages concerns about the conduct of individuals involved in the Society. It ensures that behavioural concerns are handled fairly, proportionately, and transparently, protecting the integrity of WES and the wellbeing of its members. This procedure applies to non-show environments, including governance settings, online behaviour, correspondence, professional boundaries, and interpersonal conduct.

2. Scope

This procedure applies to members of the Full and Extended Council; Officers of the Society; WES Professionals; Area Representatives; and general WES members. It covers conduct inconsistent with the Society's values; breaches of the WES Constitution, Code of Conduct, or approved policies; disrespectful, abusive, dishonest, or harmful behaviour; inappropriate use of digital platforms or official communications; and misuse of role or misrepresentation of authority. Conduct in show environments is governed by the WES Rule Book and falls outside this procedure unless escalated to Council.

3. Definitions

• Respondent: The individual whose behaviour is under review
• Complainant: The person raising the concern (may be internal or external)
• Investigating Officer (IO): A Council-appointed person responsible for gathering facts
• Panel: A group of three impartial Council members tasked with decision-making
• Sanction: A formal outcome of the procedure (e.g. warning, suspension, removal from role)

4. Policy Statement

WES expects all those involved in its activities to behave respectfully, ethically, and in alignment with the Society's mission. Misconduct will be addressed in a timely, consistent, and fair manner, with clear stages and right of response. This procedure is not intended for informal disagreements, feedback, or personality clashes unless they escalate into serious misconduct.

5. Roles and Responsibilities

6. Policy Detail and Procedures

6.1 Stage 1: Concern Raised

• Concerns must be submitted in writing to the Chairperson or Secretary
• Anonymous concerns will not be pursued unless accompanied by compelling evidence
• Concerns must be specific, factual, and submitted within a reasonable timeframe (normally within 3 months of incident)

If the concern relates to the Chairperson, send it to the Secretary or a nominated Officer. If it relates to a safeguarding matter, see the Safeguarding Policy.

6.2 Stage 2: Initial Review

The Chair (or delegate) will: acknowledge receipt within 7 days; determine whether the concern meets the threshold for formal investigation; and where appropriate, resolve the matter informally with mutual agreement (e.g. mediated conversation, clarification). If the matter proceeds formally, an Investigating Officer (IO) will be appointed from outside the direct relationship or structure of the concern.

6.3 Stage 3: Investigation

The IO will: inform the respondent of the concern in writing; gather evidence (documents, correspondence, witness statements, relevant policy references); offer the respondent the opportunity to respond in writing; and submit a written Investigation Report to the Chair. The IO must complete the investigation within 21 days, unless extended with written justification.

6.4 Stage 4: Disciplinary Panel

The Chair will convene a Panel of 3 impartial Council members. The Panel will review the Investigation Report, consider the respondent's written response, invite the respondent to attend a hearing (optional, not mandatory), and make a decision based on evidence provided.

All decisions will be confirmed in writing within 7 days of the Panel meeting.

6.5 Stage 5: Appeal

• Appeals must be submitted in writing within 14 days of the outcome being issued

Grounds must be: procedural error; new evidence not previously available; or disproportionate outcome. An Appeals Panel, made up of 3 different Council members, will be convened. Their decision will be final and issued in writing within 14 days.

6.6 Record-Keeping and Confidentiality

• All disciplinary records will be stored securely by the Secretary for 6 years
• Records will include the original complaint, investigation report, decision, and correspondence
• Information will be shared strictly on a need-to-know basis
• Summary anonymised outcomes may be reported to Council for governance purposes

7. Related Policies and References

• WES Code of Conduct
• WES Constitution
• Safeguarding Policy (WES-POL-0020)
• Data Protection (GDPR) Policy (WES-POL-0014)
• WES Rule Book (for show-related procedures)

8. Compliance and Breach Handling

Any attempt to interfere with the process (e.g. retaliation, suppression, or manipulation) may itself constitute a disciplinary matter. Officers or Panel members who fail to maintain impartiality or confidentiality may be removed from the process or referred for separate review.

9. Review and Version Control

10. Approval Record