Investigations and Disciplinary Policy
The Education and Training Foundation is committed to setting and maintaining standards for the highest level of professional conduct for teachers and trainers within the Further Education and Training sector.
Our Code of Ethics and Conduct details the professional behaviours and conduct expected of our members, which all members, irrespective of grade, agree to uphold when they join ETF.
This policy sets out the procedures that ETF will follow when it receives an allegation (or ETF discovers information) that suggests a member may have potentially breached the Code of Ethics and Conduct (the Code), which may ultimately question their suitability to remain in membership. It also details the investigation procedures and the range of sanctions that may be taken if the alleged breach is upheld.
At all times, members are required to notify us if any of their circumstances change which may call into question their suitability to remain in membership.
This policy was last updated in February 2026 and comes into immediate effect, superseding all other previous versions.
Who can raise an allegation?
An allegation for an alleged breach of the Code can be received from any of the following individuals or third-parties as long as there is evidence to support the claim. Hearsay will not be accepted as evidence:
- ETF members (all grades)
- Employers or ex-employers of ETF members
- Third party organisations, such as the police or the Disclosure and Barring Service (DBS)
- Members of the public, including students and professional colleagues
- ETF employees.
1.0 Introduction
1.1 ETF is committed to ensuring that its investigation 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). ETF will try at all times to follow the timelines set out below, however both members and Referrers should be aware that it may take between two and three months to conclude an initial investigation, depending on the circumstances.
1.2 In accordance with its Privacy Policy, ETF 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.
1.3 To ensure transparency and maintain confidence in its membership procedures, ETF 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 below for more information.
The following are not covered by this policy:
- allegations about members who are not in current ETF membership
- allegations which relate to events which took place more than 24 months ago; this may be extended at ETF’s discretion and will depend on the nature of the alleged breach and the evidence supplied to support the allegation
- complaints about our service or products – these should be addressed under our Complaints Policy
- behaviours which fall outside of the Code
- anonymous allegations.
2.0 Making an allegation
2.1. Details regarding an alleged breach of the Code should be submitted by email to investigations@etfoundation.co.uk. We 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. Referrers should be aware that any information they share is likely to be made available to the member concerned.
3.0 Actions on receipt of the alleged breach
3.1. ETF will confirm whether the allegation relates to a current ETF member. If it does not, or if it is not possible to identify the person to whom the allegation relates, ETF will take no further action and will inform the Referrer.
3.2. If the allegation relates to a current ETF member, ETF will consider whether the evidence supplied constitutes a potential breach of the Code. ETF will assess the evidence with reference to the Code and in accordance with our Membership Terms and Conditions and Guidance on Suitability for Membership.
3.3. Where ETF 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.
3.4 In the event of receiving a serious allegation or notification of a third-party investigation of a serious nature into a member's conduct, ETF may suspend membership whilst an investigation is ongoing (see Section 9 of the Membership Terms and Conditions).
4.0 Proceeding to an investigation
4.1. Where the evidence provided does constitute an alleged breach of the Code, ETF 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. ETF will ask the member whether they accept or dispute the accuracy of the allegation and any evidence received.
Where the member accepts the allegation and the accuracy of any evidence submitted, they will be asked to prepare a statement for consideration by the Investigation and Disciplinary panel (the Panel) 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 in writing. The member will be given 10 working days to do this. If the member is unable to provide a statement in writing within the timescale required, they should inform ETF 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).
ETF may also ask the member to consent in writing to ETF requesting the disclosure of information about them by a third party (e.g. an employer) within the same time period. Any further information supplied will be shared with the member and they will have time to provide any additional statement as necessary.
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, ETF is satisfied that the matter has not breached the Code, both the member and the Referrer will be informed in writing, including the reason(s) why.
4.3 If, having obtained further evidence, ETF remain satisfied that there may have been an alleged breach of the Code, the Panel will meet to review the case and the evidence and statements provided.
4.4 The Panel will establish to the best of its ability the matters of fact relating to the case and, if the Panel finds there has been a breach of the Code, it has the powers to determine applicable sanctions.
4.5 The Investigation and Disciplinary panel will consist of:
- A senior representative from ETF, who will act as the Panel’s Chair
Plus ETF’s:
- Associate Director of Quality and Standards
- Associate Director of Membership
- Head of Quality, Standards and Statuses.
4.6 The Panel will assess the case with regard to the Code to determine if there has been a breach.
4.7 The Panel may meet in person or online.
4.8. Where, having reviewed the statements and evidence provided, the 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 Any Oral Hearing will occur within 30 working days of the Panel meeting. Generally, an Oral Hearing will only be required where there are significant contradictory accounts from the Referrer/individuals who have supplied evidence and the member.
4.10 In deciding whether an Oral Hearing is required, the 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 Panel may take account of whether the member exercised any right of appeal against that finding – generally, the 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 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 Panel will make a decision within 10 days of meeting. The decision will be made by simple majority vote. Once made, it will 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 Panel to take no further action against the member, ETF will inform both the member and the Referrer of the reason why in writing.
Throughout the investigation, if ETF 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 panel hearing will continue to be heard in the absence of the member’s response.
5.0 Sanctions
5.1 If the Panel finds the Code has been breached, they 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, ETF 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 of the criteria for appeal as set out in Section 7.0 below.
5.3 ETF will send the outcome notification to the member by email to any email address provided by the member within five working days of the 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, and no update will be provided to the Referrer:
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, ETF may reopen the case and may refer it back to the 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 and will not be able to use their designations of QTLS/ATS , 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, less an administration fee of £20. 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, ETF 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 is made under this policy which again finds the member has breached the Code, ETF reserves the right to permanently exclude the member.
7.0 Appeal against a decision by the Investigations and Disciplinary Panel
7.1 Members can appeal against the outcome/sanction agreed by the Panel within 10 working days of the outcome notification being received on one or more of the following grounds:
- 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
- the policy was not applied correctly i.e. there were procedural irregularities
- 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 via email the grounds for appeal and their arguments in support of the appeal.
7.3 On receipt of a request for an appeal, ETF will ensure the grounds for an appeal are met. If they are not, ETF will contact the member to request further information as applicable.
7.4 If ETF 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 ETF Executive Leadership team and/or the SET Practitioner Advisory Group.
7.6 The Appeals Panel will be chaired by an Executive Director of the ETF.
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 at 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 ETF staff, which will be provided within 5 working days of the request being made.
7.11 The Appeals Panel may meet online or in person.
7.12 The Appeals Panel may receive the following support:
- independent legal advice;
- additional administrative support from ETF 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 member will receive a notification of the outcome of the appeal and the Appeals Panel’s decision in writing via email.
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
- notify the member of the date any 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 ETF will also notify the Referrer of the outcome of the appeal within ten working days.
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 ETF immediately in writing to investigations@etfoundation.co.uk. If there is found to be a procedural defect, a further and final appeal will be made available to the member, in line with this policy.
8.0 Additional information
8.1 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 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 ETF 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 Investigations office 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 ETF staff, in relation to the case/investigation, nor the members of the Investigation/Appeal panels. Contact in relation to any investigation will be via email only.
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 or the 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 and the Referrer.
8.8 The Investigations and Appeals Panels may make recommendations to improve all or part of the procedures to ensure the policy remains fit for purpose and in the best interests of ETF members and the wider public.
8.9 The Investigation and Disciplinary Policy and Procedures will be reviewed every two years. However ETF reserves the right to review and introduce changes at any time. ETF members will be given 14 days’ notice of when the changes come into effect.
APPENDIX A: PUBLICISING OUTCOMES
In accordance with its Privacy Policy, ETF 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, ETF 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.
ETF 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, ETF 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 ETF 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 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 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.
ETF 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 Panel Chair on the application of any party.
Within 10 working days of a matter being referred to an oral hearing, the ETF must send to the member:
- a list of factual issues to be determined;
- a list of witnesses ETF intends to call to give oral evidence, which sets out whether they will give evidence by telephone, video-link or in person;
- all documents ETF 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 sent the above, the member must send to ETF:
- 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 ETF 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 online;
- 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 ETF 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 by email 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
ETF 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 ETF 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.
ETF 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 ETF. It shall be open to the panel to ask questions of witnesses at any time.
When ETF 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 ETF 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 case;
- 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 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.
Updated February 2026