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Disciplinary Policy

It is an objective of the Canadian Solar Industry Association ("CanSIA") to enhance and promote the welfare of the Canadian solar industry. In furtherance of this objective and as empowered under its by-laws, CanSIA may discipline Members by non-renewal, suspension or expulsion from membership.

CanSIA wish to promulgate a process to address complaints or information regarding members that may lead to disciplinary action. The process is intended to provide a framework that does not place an undue burden on CanSIA limited resources, while providing the opportunity to the member to respond prior to a decision by CanSIA to discipline.

CanSIA has promulgated a Voluntary Code of Ethics for its members in connection with their marketing, sale and installation of solar industry products and services. In accordance with its by-laws, CanSIA may take non-compliance with such code into account in connection with renewal of membership, suspension or expulsion.

This Disciplinary Policy ("Policy") sets for the process to be followed by CanSIA in connection with non-renewal, suspension or expulsion of a member or any other matter where CanSIA exercises disciplinary authority over a member.

1. Definitions and Procedural.

a. When used herein, the following words and terms have the meaning assigned to them as follows:

  1. "Board" means the board of directors of CanSIA or any delegated committee;

  2. "discipline" means non-renewal of membership, suspension or expulsion or a warning in respect of the foregoing;

  3. "Ethics Committee" means the ethics committee of the Board or any other committee appointed by the Board generally or specifically to address a discipline matter, and includes any delegation by any of the foregoing;

  4. "Investigator" means any individual or individuals, which may include a member of the Ethics Committee, the Board, employee of CanSIA or any other individual directed or engaged by CanSIA to investigate a complaint(s) or information giving rise to a disciplinary matter; and

v. "Member" means the member of CanSIA subject to a disciplinary matter and may include any director, officer, employee, or agent of the Member;

  1. The Board shall have the authority to address any matter not specifically addressed in this Policy including, without limitation: determination of the rules and procedures to be followed at hearings or otherwise; date, time and location of hearings; rules of evidence if any, and weight to be given to evidence; time period for delivery of reports and submissions; limitations on oral presentations; and directions to the Investigator;

  2. Notwithstanding the commencement of the process or any investigation, CanSIA, the Board, the Ethics Committee, the Investigator or any officer or employee of CanSIA may seek to achieve resolution of the complaint or information with the Member and other persons affected thereby;

  3. Except as required by law, as provided herein and except for such disclosure as may reasonably be required by the Ethics Committee or the Investigator to facilitate an investigation, CanSIA the Board and the Investigator shall seek to maintain in confidence the investigation of a Member and the reports arising therefrom, provided that CanSIA may:

    1. publicly disclose that an investigation is underway or has been made in respect to a Member, or that CanSIA has ended or terminated the investigation of a Member; or where disciplinary action is taken in respect of a Member, the discipline taken and such facts or findings as the Board may consider reasonable or necessary;

    2. make such public disclosure at any time during or following an investigation where such disclosure is in the view of CanSIA in the best interests of the industry or is reasonable necessary to protect the public.

2. Overview. The process for discipline of a Member includes of the following steps:

a. Initiation of Process;

b. Preliminary Review for a Minimum Threshold for Investigation;

c.  Investigation by Ethics Committee;

d. Ethics Committee Report to Board;

e. Consideration of the Report by the Board;

f.  Hearing and Decision;

g. Appeal; and

h. Emergency Powers to Suspend.

3. Initiation of Process. An investigation for discipline of a Member may be initiated by:

  1. an officer of CanSIA, or any employee of CanSIA delegated by an officer or the Ethics Committee to investigate disciplinary matters;

  2. the Ethics Committee or any member of such committee; or

  3. by direction to the Ethics Committee from the Board;

based upon information or complaint that reasonably gives rise to the apprehension that the matter or conduct meets or exceeds minimum threshold as set forth in paragraph 4 below.

4. Preliminary Review For a Minimum Threshold for Investigation. An Investigator shall conduct a preliminary review of the information or complaint to determine if the matter or alleged conduct, acts or omissions of the Member are of a sufficiently

serious nature, if true, to justify discipline, and report to the Ethics Committee, in accordance with the following:

  1. the Investigator may take such steps and conduct the preliminary review as the Investigator determines reasonable and prudent and shall report to the Ethics Committee the results of her or her preliminary review of the complaint or information;

  2. in the event that the Ethics Committee makes a determination that the matter or conduct is not of a sufficiently serious nature to justify proceedings for discipline, or that the Ethics Committee declines to take further action as provided in (c) above, it shall so report to the Board;

  3. in the event that the Ethics Committee (or its sub-committee) makes a determination that the matter or conduct is sufficiently serious to warrant an investigation then it shall so report to the Board and commence an investigation;

  4. a matter or conduct is of sufficiently serious nature to justify proceedings for discipline if, inter alia:

i. it displays a pattern of unethical conduct by the Member in dealings with other members of CanSIA or members of the public;

ii. the matter or conduct is of such an egregious and serious nature that it would tend to bring disrepute to the solar industry in Canada or CanSIA if disciplinary action is not taken by CanSIA;

 

e. for greater certainty, the Ethics Committee may decline to take any further action:

  1. if an investigation might tend to seriously prejudice any ongoing litigation between the Member and another member of CanSIA or the public;

  2. if the complaint or information is provided in the context of a dispute between the complainant and the Member such that there is a reasonable apprehension that these procedures are being used for tactical or commercial advantage in that dispute;

  3. if the matter does not reach the threshold in (d) above;

  4. for any other reason that the Ethics Committee in its discretion may determine;

5. Investigation. The Ethics Committee shall appoint an Investigator (who may be the same Investigator that carried out the preliminary review) to investigate the compliant that meets the threshold requirements for an investigation in accordance with the following:

  1. the Investigator shall be an individual independent of the Member and shall not have a personal interest in the investigation or be subject to a conflict of interest;

  2. the Investigator shall make such enquiries and investigations as he or she determines necessary or reasonable;

  3. The Ethics Committee or the Investigator shall notify the Member in writing forthwith after the commencement of the investigation and shall delivery of a copy of the information or complaint;

  4. the Member shall be invited by the Investigator to respond to the information or complaint; and

  5. the Investigator shall deliver a report verbally or in writing to the Ethics Committee within a reasonable period of time after commencement of the investigation.

6. Ethics Committee Report to the Board. The Ethics Committee as a whole (which may include the Investigator if a member of the Committee) shall receive the Investigator's report with respect to the Member. The Ethics Committee shall not be subject to any rules of evidence and may rely upon all evidence provided to it by the Investigator and shall assign such weight to any evidence as it may determine but shall be subject to any policies that the Board has enacted. The Ethics Committee may:

  1. fmd that further investigations are warranted and so direct the Investigator to make such further investigation and report to the Ethics Committee;

  2. make written findings and recommendations to the Board (a "Report") that:

    1. the complaint/information is unfounded or do not rise to a threshold that discipline be taken against the Member; or

    2. that the complaint/information does give rise to discipline of the Member and the discipline recommended by the Ethics Committee. In such case, the report to the Board shall contain a summary of the findings and the evidence relied upon to support such findings.

7. Consideration of the Report by the Board. The Board shall consider the Report and the recommendations therein received from the Ethics Committee and may:

  1. accept the Report in whole or in part but take no action regarding the Member on the matters set forth in the Report but provided that the Report may be taken into consideration by the Board in any subsequent complaints or information regarding the Member;

  2. accept the Report and commence proceedings against the Member pursuant to paragraph 8 below;

  3. not accept the Report and direct the Ethics Committee to make such further investigations and tasks as the Board may direct;

8. Hearing and Decision. The Board shall proceed against a Member as follows:

a. the Board shall notify the Member that it will convene a meeting to consider the non-renewal of membership, suspension or expulsion of the Member which notice shall:

  1. set forth the time, date and place that the Board will consider the matter (the "Hearing Date"), which date shall be not less than ten (10) days after notice to the Member is delivered;

  2. invite the Member to make representations before the Board, in person or in writing or both;

  3. contain a copy of the Report and any other material that the Board considers relevant;

b. On the Hearing Date:

  1. the Board will hear the oral representations from the Member, if any;

  2. the Board will hear oral representation from the Ethics Committee and/or the Investigator and any witnesses relevant to the matter;

  3. the Board will meet in camera to consider the Report and the written and oral representations. The Board, at the meeting or within 60 days thereof deliver its written decision which may include:

    1. taking no action regarding the Member in the matter provided that the matter and all materials and representations may be taken into consideration by the Board in any subsequent complaints or information regarding the Member;

    2. taking disciplinary action including delivery of a warning, non-renewal of membership, suspension or expulsion and may include the period for which the Member may not re­apply for membership, provided that a 2/3rds majority vote of the directors of the Board in attendance is obtained;

    3. such findings or facts that the Board considers reasonable or necessary.

The Board shall deliver a copy of its decision to the Member.

9. Appeal. Within 30 days after delivery of the decision of the Board to the Member, the Member may in writing appeal for reconsideration of the decision by the Board, or reduction of the discipline, as follows:

a. the appeal of the Member shall be delivered to the Board and shall set forth the following:

  1. if the Member alleges a material error has been made by the Board, a full description of the error and the evidence, if any, that the Member asserts supports his or her position;

  2. if the Member alleges that the discipline is excessive, the facts or circumstances on which the Member relies and the penalty that the Member considers appropriate;

  3. if the Member asserts that subsequent events or circumstances have changed to address the matter giving rise to the discipline such that the discipline ought to be reduced or eliminated, a description of such events or circumstances, and the commitments or undertakings that the Member is prepared to make.

  4. b. within 45 day of receipt of the written submissions of the Member, the Board in its discretion may:

    1. uphold its original decision and decline to hear an appeal;

    2. amend its original decision and so notify the Member without the necessity of a hearing;

    3. agree to a hearing of the appeal in which case the provisions of paragraph 8 shall apply thereto. In connection therewith, the Board may request the delivery of other or better information or disclosure from the Member or the delivery of commitments or undertakings as a condition to the hearing.

10. Emergency Power to Suspend. Notwithstanding the process outlined in this Policy, the Board of Directors may suspend the membership of a Member without an investigation where the matter or conduct is of such an egregious and serious nature that it would tend to bring disrepute to the solar industry in Canada or CanSIA if immediate action is not taken by CanSIA as follows:

  1. the Board of Directors shall provide written notice to the Member not less than 10 days prior to a meeting held for the purpose of suspension with a summary of the considerations before the Board of Directors;

  2. the Member shall have the right to deliver written submissions to the Board of Directors;

  3. the Board of Directors may resolve to suspends membership by 2/3rds majority vote of the directors in attendance and the Member shall be so notified. The Board of Directors shall direct an investigation of the Member under the provisions of this Policy unless the Member resigns membership or does not renew membership if during the period of suspension the term of membership has expired.