Reporting, Investigation and Discipline Policy

Any allegation that a member, a credential holder, an instructor, an assessor, an examiner, a volunteer, a partner or the Institute itself has breached the Code of Ethics, the Community Guidelines, the Membership Terms or the Certification Standards.

Allegations arrive from the day the community opens. This policy exists so that they are handled consistently, fairly, and by someone with no interest in the outcome.

• 2.1 Anyone may raise a concern, whether or not they are a member.

• 2.2 Concerns are raised through the confidential reporting form on the SCPMI website. Submissions reach only the person designated to receive them, are not routed through the general inquiries team, and may be made anonymously.

• 2.3 A concern should say what happened, when, who was involved and what evidence exists. An incomplete report is still accepted.

• 2.4 Anonymous reports are accepted and considered, though they may be harder to act on.

• 2.5 A concern should be raised within twelve months of the conduct complained of. The Institute may consider a concern raised later where the matter is serious, where the delay is explained, or where the conduct only came to light recently.

• 3.1 A concern raised in good faith is protected, whether or not it is upheld.

• 3.2 Retaliation against a person who raises a concern, or who assists an investigation, is itself a breach and is treated as a serious one.

• 3.3 The identity of the person reporting is kept confidential, and disclosed only where it is unavoidable in order to deal with the matter fairly, and then only after telling them.

• 3.4 A report made in bad faith, knowing it to be false, is itself a breach.

• 3.5 Where a person repeatedly raises concerns that are found to be without substance, or raises the same concern after it has been decided and appealed, the Institute may decline to consider further concerns from that person and will tell them so.

• 4.1 Every concern is acknowledged within five working days.

• 4.2 It is assessed for seriousness, and one of four things happens. It is dismissed as outside this policy, with reasons. It is resolved informally. It proceeds to investigation. Or, where there is an immediate risk, an interim measure is taken under section 5 while it proceeds.

• 4.3 Triage is carried out by someone with no involvement in the matter.

• 5.1 Where there is a risk to members, to the integrity of a credential or to the Institute, access may be restricted, content removed or a credential suspended while an investigation runs.

• 5.2 An interim measure is not a finding. It is reviewed at least every twenty-eight days and lifted as soon as it is no longer needed.

• 5.3 The person concerned is told what measure has been taken and why.

• 6.1 An investigation is conducted by someone independent of the matter and of the person concerned.

• 6.2 The person concerned is told what is alleged, in enough detail to respond, and is given a reasonable opportunity to respond.

• 6.3 They may be accompanied or assisted.

• 6.4 Evidence is gathered proportionately. The Institute does not compel disclosure it has no right to.

• 6.5 The standard applied is the balance of probabilities.

• 6.6 An investigation concludes within sixty days where possible. Where it cannot, the parties are told why and given a revised date.

• 7.1 The decision is taken by a person or panel who did not conduct the investigation.

• 7.2 Where the matter concerns a certification or a recognition, the decision is taken under the authority of the Certification and Standards Committee or the Recognition Board as appropriate.

• 7.3 The decision is given in writing, with reasons, to the person concerned and, in summary, to the person who raised the concern.

Where an allegation is upheld, one or more of the following may follow, proportionate to what happened:

No further action, with the matter recorded. A written reminder of the standard expected. Removal of content. A written warning. Restriction of community access for a defined period. Suspension of membership. Withdrawal of a credential. Removal from a public register. Termination of membership. Termination of an instructor, assessor or examiner appointment. Termination of a partner relationship. Referral to a regulator, a professional body or a law enforcement authority.

A credential obtained through misrepresentation is withdrawn, and the register updated.

• 9.1 The person concerned may appeal within twenty-eight days of the decision.

• 9.2 An appeal is decided by a person or panel who had no part in the investigation or the original decision.

• 9.3 An appeal may be brought on the grounds that the process was not followed, that the decision was not reasonably open on the evidence, or that new evidence has emerged that was not reasonably available before.

• 9.4 The appeal outcome is final within the Institute, and is given in writing with reasons.

• 9.5 An appeal does not lift an interim measure unless the appeal body decides it should.

• 10.1 This policy applies where the concern is about the Institute, its leadership or its conduct.

• 10.2 Such a concern is handled by someone independent of the person or function concerned, and where it involves the Chief Executive Officer, it is referred to the Advisory Council.

• 10.3 The Advisory Council may not direct the outcome. It may record its view, and that record is kept.

• 11.1 A record is kept of every concern, its handling and its outcome, for six years.

• 11.2 Records are held securely and accessed only by those who need them.

• 11.3 The Institute reports annually, in aggregate and de-identified form, on the number of concerns raised, their categories and their outcomes. It publishes this whether or not the numbers flatter it.

• 12.1 The Institute decides how a concern is handled, which procedure applies and what outcome is proportionate. That judgment is the Institute's to make, exercised reasonably and consistently.

• 12.2 The Institute may consolidate related concerns, pause a matter pending an external process, or decline to investigate where the matter is outside its authority.

• 12.3 Nothing in this policy prevents the Institute from acting immediately where there is a risk to members, to the integrity of a credential, or to the Institute.

• A.1 The Institute may amend this document. A change that is not material takes effect when it is published.

• A.2 Where a change is material, the Institute gives thirty days' notice by email or by notification within the service before it takes effect. The Institute determines, acting reasonably, whether a change is material.

• A.3 Continued use of the Institute's services after the effective date is acceptance of the change. Where the law requires fresh consent, the Institute asks for it, and processing carried out before the change remains valid.

• A.4 Rights already granted to the Institute with respect to content already contributed are not affected by a later change.

• A.5 Every version is numbered, dated and archived. The version in force is published on the website. A previous version is available on request.