Investigation and Disciplinary policy and procedures

1.0 Introduction

1.1 All of the following documents mentioned in this policy  can be found on the SET website:  

1. 1. Terms and conditions of SET membership 
   2. Code of Ethics and Conduct  
   3. Guidance on suitability for membership  
   4. Privacy Policy 

1.2. SET is committed to ensuring that its membership procedures and decisions about membership and any sanctions that may be applied are fair, transparent, timely and proportionate and that the procedures are administered in a sensitive manner that reflects the nature and level of the alleged issue(s). 

1.3. In accordance with its Privacy Policy, SET will not publish decisions made under this policy in any way that identifies the individual(s) involved, and oral hearings, as applicable, will always take place in private.  

1.4 To ensure transparency and maintain confidence in its membership procedures, SET will from time to time publish statistics about matters dealt with under this policy  and may also publish anonymised case studies of investigations undertaken. Please refer to Appendix A for more information.  

The following will not be covered by this policy:  

• • allegations about members who are not in current SET membership 

• • allegations which relate to events which took place more than 24 months ago; this may be extended at the discretion of the Disciplinary Investigations Officer and will depend on the nature of the alleged breach and the evidence supplied to support the allegation   
  • complaints about SET (or ETF’s) service or products – these should be addressed under the Complaints Procedures 
  • behaviours which fall outside of the Code of Ethics and  Conduct 
  • anonymous allegations

 

2.0 Receipt and review

2.1. Details regarding an alleged breach of the Code  should be submitted by email to SET’s Disciplinary and Investigation Officer  (DIO), who will acknowledge receipt within three working days. The information should detail which area of the Code has potentially been breached. Where the allegation  is  from someone other than an employee of ETF, that person (who is described in these procedures as "the Referrer") will be kept informed as the investigation proceeds, in line with this policy.   

 

 3.0 Actions on receipt of the alleged breach  

3.1. The DIO  will confirm  whether the allegation  relates to a current SET member. If it does not, or if it is not possible to identify the person to whom the allegation relates, SET will take no further action and will inform the Referrer.  

3.2. If the allegation  relates to a current SET member, the DIO  will consider whether the evidence supplied constitutes a potential breach of the Code.  The DIO  will assess the evidence with reference to the Code of Ethics and Conduct  and in accordance with SET’s Terms and Conditions of Membership and Guidance on Suitability for Membership. 

3.3. Where the DIO  is satisfied that the evidence does not constitute a breach of the Code, no further action will be taken and the Referrer will be notified of the reasons for reaching this decision.   

 

4.0 Proceeding to an investigation

4.1. Where the evidence  provided does constitute an alleged breach of the Code, the DIO will notify the member of the allegation and will seek further information, as applicable, from some or all of the following: 

4.1.1 The member  

The member will be given the right to reply to the allegation. SET will  ask the member  whether they accept or dispute the accuracy of the allegation and any evidence we have received giving rise to the allegation.  

Where the member accepts  the allegation and the accuracy of any evidence submitted,  they will be given the right to explain their position to the DIO, who will include this as evidence for consideration by the Investigation and Disciplinary panel (see below) before any decision is taken by the Panel regarding any sanction(s) that may be applied.    

Where the member  disputes the allegation/evidence submitted, they should  state why and provide evidence to support their position. The member will be given 10 working days to respond to the DIO. If the member is unable to provide a response  in writing within the timescale required, they should inform the DIO immediately to discuss. Reasonable adjustments may be made if  for instance, the member is unable to respond within the specified timeframe due to ill-health ( medical evidence would be required). 

SET may also ask the member to consent to SET requesting the disclosure of information about them by a third party (e.g. an employer) within the same time period, such a response should be given in writing.  

4.1.2 Third parties 

Any third party who may be able to provide relevant further information, including the Referrer. 

4.2. If, having reviewed the allegation, the member’s response and any additional evidence supplied the DIO is satisfied that the matter has not breached the Code, the DIO  will inform both the member and the Referrer stating the reason(s) why. 

4.3 If, having obtained further evidence, the DIO  remains satisfied that there may have been an alleged breach of the Code,  the DIO will convene the Investigation and Disciplinary panel to review the case.  

4.4. The Investigation and Disciplinary panel will establish to the best of its ability the matters of fact relating to the case and, if the breach is upheld, has the powers to determine applicable sanctions.   

4.5. The Investigation and Disciplinary panel will consist of:  

• • • A senior representative from the Education and Training Foundation who will act as the Panel’s Chair 

Plus SET’s: 

• • • Director of Professionalism and Customer Experience 
    • Head of Membership 
    • Head of Professional Status 

4.6. The Investigation and Disciplinary panel will assess the case  with regard to the Code of Ethics and Conduct to determine if there has been a breach.  

4.7 The Investigation and Disciplinary panel may meet in person or online.  

4.8. Where, having reviewed the evidence presented by the DIO , the Investigation and Disciplinary panel is of the view that the issue of an alleged breach depends on a disputed issue of fact, the Panel may instigate the Oral Hearing Process.  

4.9. The Oral Hearing will occur within 30 working days of the Investigation and Disciplinary panel being convened. Generally, an Oral Hearing will only be required where there are contradictory accounts from the Referrer/individuals who have supplied evidence and the member.   

4.10. In deciding whether an Oral Hearing is required, the Investigation and Disciplinary panel may take account of any factual finding made by a third party (e.g. in civil or disciplinary proceedings). Where that factual finding is disputed by the member, the Investigation and Disciplinary panel may take account of whether the member exercised any right of appeal against that finding – generally, the Investigation and Disciplinary panel will expect a member to take reasonable steps to challenge factual findings made by third parties in the third-party proceedings. 

4.11. Not every disputed issue of fact will require an Oral Hearing. Some issues may  be resolved by documentary evidence. The requirement to proceed  to an Oral Hearing is at the sole discretion of the Investigation and Disciplinary panel. 

4.12. An Oral Hearing will be conducted according to the process outlined in Appendix B. 

4.13. After reviewing all the evidence, the Investigation and Disciplinary panel will recommend a decision to the DIO  no later than  10 working days after the Investigation and Disciplinary panel has convened. The decision, which will be made by simple majority vote, and once made, be the collective decision of the Panel and must be one of the following, to: 

• • • dismiss the allegation and take no further action against the member 
    • advise that a conclusion could not be reached and therefore further information is required from either the member, the Referrer or a third party 
    • proceed to an Oral Hearing 
    • uphold the allegation and  apply an appropriate sanction as outlined in section 5.  

An allegation may be dismissed for one or more of the following reasons:  

• • • insufficient evidence to support the allegation 
    • the allegation is deemed vexatious 
    • the allegation is deemed trivial in substance 
    • the allegation is deemed to be misuse of procedures 

• • • the allegation does not justify further action 

4.14. Following a decision by the Investigation and Disciplinary panel to take no further action against the member, the DIO will inform both the member and the Referrer of the reason why.  

Throughout the investigation, if SET does not receive a response to the allegation and the member does not provide any valid reasons as to why they have not been able to respond, the investigation and any subsequent Investigation and Disciplinary panel hearing will continue to be heard in the absence of the member’s response.  

 

5.0 Sanctions

5.1 If a breach of the Code is upheld, the Investigation and Disciplinary panel will, by majority vote agree to one or more of the following sanctions:  

• • permanent exclusion from membership 

• • suspension from membership for a specified period of time 
  • advising the member of best practice and their future conduct 
  • requiring the member to take positive corrective action or to meet certain conditions to improve their conduct such as relevant CPD   
  • any other sanction deemed appropriate  

5.2. Following agreement of the sanction, the DIO will notify the member in writing. The ‘outcome notification’ will: 

• • provide the member with details of the panel’s decision and what part of the Code has been breached 
  • details of the sanction(s) to be applied and the date the sanction(s) take effect (see 5.3 below); 
  • notify the member that they may appeal the decision and / or the sanction within 10 working days and the criteria for appeal as set out in Section 7.0 below.  

5.3. The DIO  will send the ‘outcome notification’ to  the member by email to any email address provided by the member within five working days of the Investigation and Disciplinary panel reaching its decision (see 4.13 above). Should we not be able to contact the member by email, we will send the notification by first class registered post to the postal address we hold on the member’s record.   

5.4. The sanction  will not take full effect: 

5.4.1. until 11 working days after the date on which the outcome notification   was sent, to provide the member with the option to appeal the outcome and/or sanction applied.  

5.4.2. if the member appeals, the sanction will not take effect until after the appeal has been heard and a decision reached by the Appeals panel  (see Section 7 below). 

5.5. In the case of permanent removal or suspension from membership if the member can demonstrate that they were unable to respond to the initial request(s) for  information/further information beyond their reasonable control, the DIO may  reopen the case and may refer it back to the Investigation and Disciplinary panel, which will follow the prescribed timeline as detailed in this policy.  

5.6 Members who are suspended from membership and who hold QTLS/ATS will also have their entry suspended from the Professional Register, for the same period of time.  

5.7 If a member has paid for membership in advance, i.e. made an annual payment, they will receive a pro rata refund based on the number of months left in the current membership year. If the member is paying for membership, monthly by Direct Debit, the member will be asked to cancel the mandate and our records will be updated accordingly.   

 

6.0 Returning to membership after suspension

6.1. On completion of the suspension period, SET will contact the member to invite them to reinstate their membership at the grade they previously held, at the time of the initial suspension, assuming the member continues to meet the eligibility criteria as prescribed. Membership fees will apply.   

6.2 If, during the suspension period or upon re-joining, a new investigation brought about by this policy which again finds the member has breached the Code, SET reserves the right to permanently exclude the member. 

 

7.0 Appeal

7.1. Members can appeal against the outcome/sanction agreed by the Investigation and Disciplinary panel, within 10 working days of the outcome notification being received on one or more of the following grounds:  

1. 1. evidence or information presented was not taken into account, or additional evidence/information has subsequently come to light which could not have reasonably been expected to have been produced at the time of the investigation or the Investigation and Disciplinary panel hearing  
   2. the policy was  not applied correctly i.e.  there were procedural irregularities   
   3. the outcome and or the sanction applied was not in proportion to the level of seriousness of the breach of the Code  

7.2. Where an appeal is sought, the member must set out in full and in writing (emails are acceptable) the grounds for  appeal and their arguments in support of the appeal. 

7.3. On receipt of a request for an appeal, the DIO will ensure the grounds for an appeal are met. If they are not, the DIO will contact the member to request further information as applicable.  

7.4. If the DIO confirms the grounds for appeal have been met, they will notify the member and will convene an Appeals Panel to hear  the appeal. 

7.5. The members of the Appeals Panel will have had no previous involvement in the case and will consist of three members of  the SET Management Board and/or the SET Practitioner Advisory Group. 

7.6. The Appeals Panel will be chaired by the SET Management Board Chair, or Vice-chair if the Chair is unavailable.  

7.7 Decisions will be made by simple majority vote, and once made, will be the collective decision of the Appeals Panel, without dissentions or abstentions.  

7.8 Should a panel member become unavailable during consideration of a matter a replacement panel member may be substituted on to the panel. 

7.9. The Appeals Panel will consider: 
 

• • The original case considered by the Investigation and Disciplinary panel, including the outcome and sanctions applied (as applicable).  
  • Any notes taken by the Disciplinary Investigations Officer from the meeting of the Investigation and Disciplinary panel and Oral Hearing if relevant, including the reason(s) for the decision made.
  • The reasons for the appeal as provided by the member.
    
    

7.10. The Appeals Panel may ask for further clarification from the DIO and/or SET staff, which will be provided within 5 working days of the request being made. 

7.11. The Appeals Panel may, but need not, meet in person to discuss its decision. Alternatively, it may deliberate via electronic communication (which may include telephone conferencing, email, video link or other means). 

7.12. The Appeals Panel may receive the following support: 

• • independent legal advice; 
  • additional administrative support from SET staff. 

7.13. The Appeals Panel will assess the matter with regard to the criteria for appeal set out in clause 7.1. 

7.14. The Appeals Panel will make a decision within 10 working days of convening.  

7.15. After assessing the matter, the Appeals Panel may: 

• • reject  the appeal and uphold the previous decision 
  • uphold the appeal and overrule or modify the original decision (i.e. remove or lessen the sanction). 

7.16. The Appeals Panel will notify its decision and reasons to the DIO. who will prepare the ‘notification of appeal’ outcome. 

7.17. The ‘notification of appeal’ outcome will: 

• • notify the member of the appeal outcome  
  • where the panel's decision is to uphold the original decision in its entirety or to lessen the sanction, this will be communicated to the member  
  • the ‘notification of appeal’ outcome will state the date the sanction comes into effect 

7.18. The ‘notification of appeal’ outcome will be sent to the member by email to any email address provided by the member (within three working days of the Appeal Panel’s decision). If an email address is not available the ‘notification of appeal’ outcome will be sent by first class registered post to the primary address we hold on the member’s record.  

7.19. The DIO will also notify the Referrer  of the outcome of the appeal. 

7.20. The decision of the Appeals Panel is final; there will be no further grounds for appeal other than on the grounds of a procedural defect, which should be reported to the DIO immediately. In such cases a further and final appeal will be made available to the member, in line with this policy.  

 

8.0 Additional information 

8.1. SET/ETF will not be held liable for any costs incurred by the member, the Referrer or any third-parties, associated with raising or defending an alleged breach of the Code, or acting as a witness.  

8.2. SET/ETF will not be held liable for any potential loss or loss of earnings associated with an investigation, an appeal and the final outcome in relation to any of the parties involved.         

8.3. SET reserves the right to share the outcome of the investigation with the member’s employer and relevant authorities, particularly if the member has potentially broken the law.     

8.4. Throughout the process the DIO will be the member’s and Referrer’s only point of contact. The member/Referrer should not attempt to make contact with any other member of the SET (or Education and Training Foundation) team, in relation to the case/investigation, nor the members of the Investigation/Appeal panels.  

8.5. Throughout the process both the member and the Referrer shall maintain confidentiality at all times. Details of the allegation, the potential breach, the investigation, the appeal and the outcome shall not be shared, by the member/Referrer with any other party, other than parties associated with the case i.e. witnesses/representatives, who shall also agree to keep the information they are party to, confidential at all times.       

8.6. Details of the allegation, the investigation, any appeal and the final outcome will be held securely on the member’s record.    

8.7. Investigation meetings, oral hearings and appeals may be recorded; the recording will be stored securely until the case has been resolved and the outcome communicated to the member/the Referrer.   

8.8. The Investigations and Appeals panels may make recommendations to the DIO to improve all or part of the procedures to ensure the policy remains fit for purpose and in the best interests of SET members and the wider public. 

8.9. The Investigation and Disciplinary Policy and Procedures will be reviewed every two years. However SET reserves the right to review and introduce changes at any time. SET members will be given 14 days’ notice of when the changes come into effect.  

 

APPENDIX A: PUBLICISING OUTCOMES 

• In accordance with its Privacy Policy, SET will not publish decisions made under this policy in any way that identifies the individual(s) involved and oral hearings will always take place in private. 
• To ensure transparency and maintain confidence in its membership procedures, SET may publish annual statistics about matters dealt with under this policy, including: 

• • number of alleged breaches of the code received 

• • number of alleged breaches which were rejected, and investigated and heard by the Investigation and Disciplinary panel and referred to the Appeals Panel 
  • number of cases which were upheld; 
  • details of the types of breaches investigated 
  • details of the sanctions applied 
  • number of members removed from membership (permanent exclusion and suspension) 

• • total number of Investigation and Disciplinary panel meetings, oral hearings and appeals.  

• SET may also publish anonymised case studies dealt with under this policy, provided that they contain no information from which any individual(s) involved may be identified. 

 

APPENDIX B: THE ORAL HEARING PROCESS 

The parties for an oral hearing 

• At an oral hearing, SET and the member will be referred to as "the parties". The member  may: 

• Attend the hearing; should the member choose not to attend the oral hearing SET reserves the right to proceed in their absence     
• The member may be accompanied/represented by: 

• a legal representative 
• a Trade Union representative or any person acting on behalf of a representative body. 
• any other person, with permission of the Investigation and Disciplinary panel. Before giving permission, the panel may seek information about the proposed representative, including their relationship to the member and their experience of acting as a representative.  

• Make submissions to the Investigation and Disciplinary panel; 
• Call evidence in support of their case; 
• Rely on documentary evidence, provided that it is relevant to the issues of fact for the panel to determine. 

SET will not be liable for any costs incurred by a member or any other party in connection with an oral hearing.  

Preparation for an oral hearing 

• Any of the deadlines set out below may be extended by the Investigation and Disciplinary panel Chair on the application of a party. 
• Within 10 working days of a matter being referred to an oral hearing, the DIO must send to the member: 

• a list of factual issues to be determined; 
• a list of witnesses SET intends to call to give oral evidence, which sets out whether they will give evidence by telephone, video-link or in person; 
• all documents SET intends to rely upon at the hearing; 

• a time estimate for the hearing; 
• dates to avoid for witnesses and any other relevant person(s). 

• Within 10 working days of being served with the above, the member must send to the DIO: 

• any proposed amendments to the list of factual issues to be determined; 
• a list of witnesses the member intends to call to give oral evidence and specify whether they will give evidence by telephone, video-link or in person; 

• all documents the member intends to rely upon at the hearing; 
• any amendment to the time estimate for the hearing; 
• dates to avoid for the member, witnesses and any other relevant person(s). 
  
  

 Notification of the oral hearing and applications to postpone or adjourn 

• Where there is to be an oral hearing, 15 working days before the date set for the hearing the DIO  will  send the member a notification of the hearing, by registered/recorded post and email which: 

• sets out the date, time, and place of the hearing (the hearing may be held in person or via electronic means);  
• sets out the member's right to attend and to be represented; 
• sets out the Panel's power to proceed with the hearing in the absence of the member; 
• requires the member to inform SET whether they intend to attend the hearing and/or to be represented; 
• provide the member with a paginated and indexed case file  consisting of: 

• the list of factual issues to be determined by the panel or, if the list is not agreed, both parties' lists. 
• a list of all witnesses who will give oral evidence at the hearing.  
• copies of all documents relied upon by the parties. 

• Either party may apply to the panel to postpone any hearing of which notification has been given under these procedures. Any such application must be made in writing (email is acceptable) if made before the first working day of the hearing and will be considered by the panel Chair. 
• A panel may postpone or adjourn at any stage, provided that: 

• no unfairness is caused to the parties; 
• both parties have been provided with the opportunity to make representations. 
  
  

 The oral hearing 

• The DIO will arrange for the hearing to be recorded in order that, if necessary, a full transcript can be prepared. 
• Where the member fails to attend and is not represented at the hearing, the panel: 

• shall require SET to present evidence that notification of the hearing has been sent to the member in accordance with these procedures;  
• may, where the panel is satisfied that the notification of the hearing has been duly sent, direct that the hearing should be heard and determined notwithstanding the absence of the member;  
• may adjourn the hearing. 

• If the parties are not agreed as to the list of factual issues to be determined, the panel shall first determine what factual issues are to be determined. 
• SET shall open its case and may call any evidence in support. The member or the member's representative may cross-examine any witness called by SET. It shall be open to the panel to ask questions of witnesses at any time. 

• When SET has finished calling evidence, the member or the member's representative shall open the member's case and may call any evidence in support. 
• Before giving evidence, all witnesses will be required to undertake to tell the truth to the best of their knowledge and understanding. 
• First SET and then the member may make any closing submissions to the panel on the factual issues, and on the member's suitability. 
• The panel shall then retire in private to: 

• determine the facts of the caser; 

• determine the appropriate sanction if a breach of the Code has been proven,  having regard to the Code of Ethics and Conduct.  
• the panel may vary the order of proceedings set out above if it deems it fair to do so. 

• At an oral hearing, the burden of proving a fact in dispute will be on the party seeking to prove that fact. The standard of proof will be on the balance of probabilities. The burden of establishing an appropriate sanction lies with the Investigation and Disciplinary panel (or Appeals panel if the case proceeds to an appeal)  
• The panel will deliberate in the absence of the parties. During its deliberations, the panel may continue to receive legal and / or administrative support, provided that any legal advice received is notified to the parties thereafter.