SET objections policy

1. Policy statement

1.1. This policy aims to: 

• Provide a fair, transparent and timely objections procedure which is clear and easy to use for anyone wishing to contest a decision made in relation to Membership or QTLS or ATS professional formation programmes.  
• Ensure everyone within the SET team knows what to do if an objection about a decision is received. 
• Make sure all objections are dealt with in a fair and timely way. 

2. Definition

Objection: “An expression or feeling of disapproval or opposition; a reason for disagreeing”. 

An objection is a request for a review of a decision made by SET relating to membership or the QTLS or ATS professional formation programmes. Members/non-members may object a decision outcome based on evidence or procedure, but they cannot object on the basis of disagreement with academic judgement, or the criteria being applied, unless they have grounds to do so. For example, a member cannot question feedback provided by QTLS/ATS moderators/reviewers.   

3. Scope

3.1. This policy covers objections against decisions made by SET relating to membership and/or QTLS/ATS professional formation programmes. 

An objection could relate to, but is not exclusive to: 

1. Membership admission related to eligibility criteria and suitability for membership 
2. Withdrawing an applicant’s QTLS application for failing to complete it within the deadline stipulated
3. Withdrawing an applicant’s QTLS application for failing to satisfy the programme’s eligibility criteria
4. Not issuing an applicant with a QTLS or ATS portfolio as they missed the deadline to register 
5. Withdrawing a participant’s portfolio for failing to satisfy the programme’s eligibility criteria.
6. Holding a QTLS/ATS participant accountable for not adhering to key timeline deadlines during Professional Formation
7. Requiring the participant to restart Professional Formation for failing to submit QTLS/ATS portfolio by the submission deadline
8. Not awarding or conferring the participant with QTLS status or ATS.

3.2. It does not cover complaints against SET staff (for which there is a separate ETF and SET Complaints Policy and Procedure) or any complaint about wider ETF staff, products or services.  For complaints against SET members, you should contact SET directly, citing the potential contravention of the SET Code of Ethics and Conduct. Any subsequent actions taken against a member(s) shall then be taken in line with the SET Actions Against Members Policy). 

4. Procedure 

Step 1: Informal resolution 

Step 2: Objection 

Step 3: Appeal the objection outcome 

5. Informal resolution 

5.1. If a member disagrees with the decision made by SET relating to the QTLS or ATS professional formation programme, they should email membership@etfoundation.co.uk for the attention of (FAO) the Professional Status Manager within 10 working (business) days of receiving the decision from SET.  

5.1.1 If the decision is related to membership, then the member/non-member will need to submit details by email to membership@etfoundation.co.uk FAO the Membership Officer. This email should provide a clear explanation as to why they disagree with the decision made and provide all relevant supporting information.   

5.2. The Professional Status Manager/Co-ordinator or Membership Officer will respond via email within 5 working days of receiving the member’s email, explaining the decision made by the SET. 

5.3 The SET team will do everything they can to resolve the objection informally with reference to applicable terms and conditions and relevant policies and procedures. 

6. Objection

6.1. If the member/non-member is dissatisfied with the response provided by the Professional Status Manager/Co-ordinator or Membership Officer and they believe that they have grounds for a formal objection, they will need to email membership@etfoundation.co.uk to request an objection form. This form must be completed within 10 working days of receiving the informal resolution outcome.  

6.2. Objections may be made on one or more of the following grounds only: 

• The decision made by SET was one which no reasonable decision maker could have made 
• That SET has made an administrative and/or procedural error. 

6.3. The completed form will need to be emailed to membership@etfoundation.co.uk FAO the Disciplinary Investigations Officer. The objection will then be investigated by the Disciplinary Investigation Officer together with the Participant Experience Manager or Membership Engagement Manager within 15 working days of receipt and a response to the objection will be provided. 

(Please note that time frames may vary throughout the year depending on the demands of the team, but every attempt will be made to adhere to published timescales. If there is a delay the member/non-member will be notified accordingly). 

7. Appeal the Objection outcome 

7.1. If a member/non-member remains dissatisfied with the outcome of the objection, they can appeal. An appeal should be emailed to membership@etfoundation.co.uk, for the attention of The Head of Professional Status and Standards for QTLS or ATS related decisions and the Head of Membership for membership related decisions.  

Your email should clearly set out the grounds of your appeal for the Head of Professional Status and Standards or Head of Membership to consider.  

7.2. Appeals may be made on one or more of the following grounds only: 

• New evidence has been put forward by the member that for good reason could not have been provided earlier in the process 
• The outcome of the objection was one which no reasonable decision maker could have made 
• There has been an administrative and/or procedural error in the conduct of the objection. 

7.3. The Head of Professional Status and Standards or Head of Membership will review all the evidence including the outcome from the informal resolution, formal objection, and any further evidence which may be necessary to reach a decision. If applicable the decision will be considered against the QTLS/ATS programme terms and conditions and associated membership polices/procedures.  

7.4. The Head of Professional Status and Standards or Head of Membership’s decision is final and there is no further right of appeal beyond this stage. 

7.5. The member/non-member will be informed of the outcome, via email, within 10 working days of the appeal email being received. The Head of Professional Status and Standards or The Head of Membership will either uphold the original decision or overturn the original decision. 

8. Investigations and Disciplinary policy & procedures

8.1. If a member is subject to an investigation under the Investigation and Disciplinary policy due to a suspected breach of the Code of Ethics and Conduct, the objections procedures will be placed on hold until the outcome of the investigation is known.      

8.2. If the member is found to have breached the Code of Ethics and Conduct and the sanction is removal or suspension of membership the member’s objection will not be taken any further.  If a lesser sanction is applied, the objection procedures may be restarted.  

8.3. Where a member is subject to the Investigation and Disciplinary policy and SET considers that the information received may give rise to a concern about a member's continued suitability to hold QTLS or ATS status, it may consider that information as part of the objections process.