Complaints and Disciplinary Procedure
How to raise a concern about a member's conduct, and how IIoET investigates and decides.
- Reference
- IIOET-PRC-0007
- Version
- 1.0
- Issued
- 8 October 2026
- Approved by
- Board of IIOET Limited
- Classification
- Public
1. Purpose and principles
This procedure explains how anyone can raise a concern about the conduct of an IIoET member, and how IIoET assesses, investigates and decides that concern. It exists to protect the public, to maintain confidence in the profession and in IIoET’s designatory letters, and to treat members fairly when their conduct is questioned.
The procedure is built on five principles. Concerns are taken seriously and handled without unnecessary delay. A member whose conduct is questioned is told what is alleged, sees the evidence relied on and has a fair opportunity to respond. Decisions are made by people with no conflict of interest and are explained with reasons. Sanctions are proportionate to the conduct and to the need to protect the public. And the process is as confidential as fairness and the public interest allow.
2. Scope
2.1 This procedure covers concerns that a member has breached the Code of Conduct (IIOET-COD-0005). It applies to every individual member at every grade, including Affiliates and Honorary Fellows, and to the conduct of the named representatives of Corporate members when acting in connection with IIoET.
2.2 It does not cover complaints about the service IIoET provides, such as the handling of an application, a renewal, an event or a payment. Service complaints are made to contact@iioet.org with the subject “Service complaint”, are handled by the Director, and receive a full response within 20 working days. Appeals against admission decisions are handled under the Membership Grades and Admission Framework (IIOET-FWK-0006), and complaints about Journal editorial decisions under the Journal Author Guidelines and Peer Review Policy (IIOET-POL-0013).
2.3 IIoET is not a regulator, a court or an employment tribunal. It cannot award compensation, resolve contractual disputes or decide matters of employment law. Where a concern is better dealt with elsewhere, IIoET will say so, and may pause its own process until the other process has concluded.
3. Raising a concern
3.1 Anyone may raise a concern, including members of the public, clients, employers, colleagues and other members. IIoET may also open a matter on its own initiative, for example on learning of a relevant criminal conviction or regulatory finding.
3.2 Concerns are raised by email to contact@iioet.org with the subject “Conduct concern”. The person raising the concern should give the member’s name, describe what happened and when, explain which part of the Code they believe was breached, and provide any evidence they have.
3.3 IIoET acknowledges a concern within five working days. It will make reasonable adjustments for anyone who needs help to raise a concern or take part in the process.
3.4 Anonymous concerns are accepted but may be difficult to investigate. A person raising a concern may ask for their identity to be withheld from the member; IIoET will respect that request where it can, but will explain if fairness to the member makes it impossible to proceed without disclosure.
3.5 Concerns should normally be raised within two years of the conduct, or of the person becoming aware of it. IIoET may consider older concerns where the conduct is serious or the public interest requires it.
4. Initial assessment
4.1 Each concern is first assessed by a Case Officer appointed by the Board. The initial assessment decides whether the concern falls within this procedure and whether it meets the threshold for investigation.
4.2 The threshold for investigation is met where the concern, if proved, could amount to a breach of the Code of Conduct serious enough to justify a sanction under section 9, and there is enough information to make an investigation worthwhile.
4.3 At the end of the initial assessment, the concern may be closed with reasons; closed with advice to the member, where it is minor and the member accepts the advice; referred elsewhere; or referred for investigation. The person who raised the concern and, where they have been contacted, the member are told the outcome and the reasons within 20 working days of the concern being acknowledged.
5. Interim measures
5.1 Where a concern is serious and there is a real risk to the public, to the integrity of an IIoET process or to confidence in IIoET while it is investigated, the Chair of the Conduct Panel pool, or another Panel member acting in their place, may impose an interim measure. Interim measures include suspending the member’s right to act as an assessor, reviewer, editor or panel member, and, in the most serious cases, suspending membership and the right to use designatory letters pending the outcome.
5.2 An interim measure is not a finding or a sanction. It is imposed only where necessary and proportionate, the member is given an opportunity to make representations before or as soon as possible after it is imposed, and it is reviewed at least every three months. While an interim suspension is in force, the public register shows the member’s membership as suspended, without giving the reasons.
6. Investigation
6.1 An investigation is carried out by an investigator appointed by IIoET who has no conflict of interest. The investigator may be a member or an independent person with relevant expertise.
6.2 The member is told in writing that an investigation has begun, what is alleged, which parts of the Code are said to have been breached, and how the process will work. They are invited to respond in writing within 21 days.
6.3 The investigator gathers the relevant evidence, which may include documents, written statements and interviews with the person who raised the concern, the member and witnesses. Members are required by the Code of Conduct to co-operate with an investigation.
6.4 The investigator prepares a report setting out the allegations, the evidence and the member’s response, and recommends whether there is a case to answer. The member sees the report and may comment on it before a decision is taken.
6.5 If there is no case to answer, the matter is closed and the member and the person who raised the concern are told. If there is a case to answer, the matter is referred to a Conduct Panel. Where the member admits the allegations and the facts are clear, the Panel may, with the member’s agreement, deal with the matter without an oral hearing.
6.6 IIoET aims to complete an investigation within three months, and tells the member and the person who raised the concern if it will take longer.
7. Conduct Panel and hearing
7.1 A Conduct Panel has three members, drawn from a pool appointed by the Board, at least one of whom is a lay person who is not a member of IIoET and at least one of whom is a member at or above the grade of the member concerned. The investigator does not sit on the Panel.
7.2 The member is given at least 28 days’ notice of the hearing, a copy of all the evidence the Panel will consider, and the names of the Panel members, so that they can raise any objection on grounds of conflict.
7.3 The member has the right to attend the hearing, to respond to the allegations in writing and in person, to call witnesses and to question the evidence against them. They may be accompanied by a person of their choice, who may speak on their behalf. Hearings may be held in person or by video call.
7.4 If the member chooses not to attend without good reason, the Panel may proceed in their absence, having satisfied itself that the member had proper notice.
7.5 The Panel first decides whether the facts alleged are proved, then whether the proved facts amount to a breach of the Code of Conduct, and finally what sanction, if any, is appropriate. The member may make representations about sanction, including any mitigation, before the Panel decides it.
7.6 The Panel gives its decision and reasons in writing within 14 days of the hearing.
8. Standard of proof
The Panel decides questions of fact on the balance of probabilities: a fact is proved if the Panel is satisfied that it is more likely than not to have happened. The burden of proving an allegation rests with IIoET, not with the member.
9. Sanctions
Where the Panel finds a breach of the Code, it chooses the least severe sanction that is sufficient to protect the public, maintain confidence in the profession and mark the seriousness of the breach. It considers the nature of the conduct, any harm caused, the member’s insight and any steps taken to put things right, the member’s previous record, and any mitigation. The available sanctions, in increasing order of severity, are:
| Sanction | Effect |
|---|---|
| No further action | A breach is found but no sanction is needed, for example because the breach was minor and has been remedied. |
| Advice | The member is given written advice about their future conduct. Advice is kept on the member's record but is not published. |
| Reprimand | A formal statement that the member's conduct fell below the standard expected. A reprimand is kept on the member's record for three years. |
| Conditions | The member must meet specified conditions, such as further training, supervision or restrictions on acting for IIoET, for a stated period. |
| Suspension | Membership and the right to use designatory letters are suspended for a stated period of up to twelve months. |
| Expulsion | Membership ends. The Panel may set a period before which the person may not reapply. |
| Withdrawal of letters | The right to use IIoET designatory letters is withdrawn. This accompanies suspension and expulsion, and may be imposed with conditions where the breach concerns the use of letters. |
Failure to comply with a sanction or a condition is itself a breach of the Code of Conduct.
10. The public register
10.1 Where a sanction affects a member’s standing, the public register on iioet.org is annotated. Suspension is shown for its duration. Expulsion and withdrawal of letters are shown by removing the entry and recording that the person’s membership has ended. Conditions that limit how a member may describe their standing are shown for their duration.
10.2 A short summary of any finding that results in suspension, expulsion or withdrawal of letters is published on iioet.org, for the period of a suspension or for five years after expulsion or withdrawal. Advice, reprimands and conditions are not published, and are not shown on the public register except as described in clause 10.1.
10.3 An annotation is not made until the time for appeal has passed or any appeal has been decided, unless an interim measure applies.
11. Appeal
11.1 The member may appeal against the Panel’s finding or sanction within 28 days of receiving the written decision. The person who raised the concern may not appeal, but is told of the outcome.
11.2 An appeal may be made on one or more of these grounds: there was a serious procedural irregularity; new evidence has become available that could not reasonably have been produced at the hearing and could affect the outcome; the finding was one no reasonable panel could have reached on the evidence; or the sanction was clearly disproportionate.
11.3 Appeals are heard by an independent Appeal Panel of three people, including at least one lay person, who have had no involvement in the case, chaired by a person who is independent of IIoET’s management. The Appeal Panel may confirm, vary or overturn the decision, or order a fresh hearing.
11.4 The Appeal Panel decides within eight weeks of the appeal being lodged and gives written reasons. Its decision is final within IIoET.
12. Conduct of panel members and conflicts of interest
12.1 Everyone who acts under this procedure, including case officers, investigators and members of Conduct and Appeal Panels, acts impartially, keeps the matter confidential and declares any conflict of interest as soon as it arises. A conflict includes any personal, professional, commercial or financial connection with the member, the person who raised the concern or a witness that could reasonably be seen to affect their judgement.
12.2 A person with a conflict takes no part. If a conflict is discovered after a decision, the decision may be reviewed. Directors of IIOET Limited do not sit on Conduct or Appeal Panels.
12.3 Panel members receive training in this procedure, in fair decision-making and in equality and diversity before they sit.
13. Confidentiality and data protection
13.1 Information about a concern is shared only with those who need it to deal with the matter fairly, and with others only where the law requires it or the public interest justifies it. The person who raised the concern is told the outcome but not the full details of the member’s response unless that is necessary.
13.2 IIoET processes personal data under this procedure lawfully and in line with its privacy notice. Information relating to criminal convictions or offences is processed only where the law permits it and with appropriate safeguards. Special category personal data is processed only where it is necessary for the matter.
13.3 Hearings are held in private, unless the member asks for a public hearing and the Panel agrees that holding it in public would not be unfair to anyone else involved.
14. Record keeping
14.1 IIoET keeps a secure record of each concern, the decisions made and the reasons for them. Access to records is limited to those who need it.
14.2 Records of concerns closed without investigation are kept for two years. Records of matters investigated or decided by a Panel are kept for six years after the case closes or any sanction ends, whichever is later. Records are then securely deleted.
14.3 IIoET reports anonymised information about the number, nature and outcome of concerns to the Board each year, so that the Board can see whether the Code of Conduct and this procedure are working.