Complaints, Discipline and Appeals Procedure

Document: Complaints, Discipline and Appeals Procedure
Status: Adopted and in force
Version: 1.0
Adopted by: The members in general meeting
Effective date: 1 January 2020
Last reviewed: January 2026 (reaffirmed without amendment)
Next review due: January 2029
Review cycle: Every three years

1. Purpose and Scope

1.1 This Procedure sets out the process by which the Society receives, investigates, and determines complaints that a member has breached the Constitution, the Code of Ethics, the Standards of Practice, or any other policy binding on members. It also sets out the sanctions available to the Society and the route of appeal.

1.2 The Society has no statutory or regulatory power. Sanctions under this Procedure are limited to those listed in paragraph 8 and operate only as between the Society and the member.

1.3 Nothing in this Procedure displaces or limits the right of any person to pursue a legal remedy in the courts, or to complain to any statutory body, regulatory body, or other professional body.

2. Who May Complain

2.1 A complaint may be made by:

1. an examinee or a person with parental or other lawful responsibility for an examinee;
2. a retaining party (including statutory agencies, legal representatives, employers, and private clients);
3. another member of the Society;
4. the Management Committee of its own motion; or
5. any other person with a legitimate interest in the conduct complained of.

3. Form and Timing of Complaint

To submit a complaint: use the online complaint form. The form captures everything required by paragraph 3.1 below and issues an automatic acknowledgement with a reference number. You may also email or post the complaint, as set out below.

3.1 A complaint shall be made in writing to the Secretary, shall identify the member complained of, shall set out the facts relied on, and shall be signed by the complainant (or the complainant’s representative). Complaints may be submitted by email to [email protected] or by post to:

The Secretary
British Polygraph Society
Oxford Centre for Innovation
Blue Boar Court, Alfred Street
Oxford OX1 4EH, United Kingdom

3.2 A complaint should be made within twelve months of the conduct complained of. The Management Committee may accept a complaint made outside that period where it is in the interests of justice to do so.

4. Initial Assessment

4.1 On receipt of a complaint, the Secretary shall acknowledge receipt within ten working days and shall refer the complaint to the Management Committee at its next meeting (or sooner if the matter is urgent).

4.2 The Management Committee shall make an initial assessment and may:

1. dismiss the complaint as plainly unfounded, vexatious, or outside the Society’s jurisdiction, giving written reasons to the complainant;
2. refer the complaint for conciliation where both parties agree;
3. refer the complaint to a Complaints Panel for investigation and determination; or
4. where the alleged breach is so serious that continued directory listing risks public harm, impose an interim suspension under paragraph 5.

5. Interim Measures

5.1 The Management Committee may, by resolution, suspend a member’s directory listing and/or voting rights pending determination of a complaint where:

1. the alleged breach is of such seriousness that allowing the listing to continue would expose the public or the Society to significant risk; and
2. the member has been given an opportunity to make written representations.

5.2 An interim measure shall be reviewed at least every three months and shall lapse on final determination of the complaint.

6. Complaints Panel

6.1 A Complaints Panel shall consist of three persons appointed by the Management Committee, of whom:

1. at least one shall be a Senior Member;
2. at least one shall be independent of the Management Committee;
3. none shall have a personal, financial, or professional interest in the subject matter of the complaint; and
4. the Panel shall appoint one of its number as Chair.

6.2 The Panel shall investigate the complaint and may:

1. require the member to respond in writing, within a period not less than twenty-one days;
2. request documents, records, and any other material relevant to the complaint;
3. invite or require the parties to attend a hearing in person or by electronic means; and
4. seek independent expert advice where appropriate.

7. Standard of Proof and Determination

7.1 The standard of proof is the balance of probabilities.

7.2 The Panel shall make written findings of fact, apply those findings to the Code of Ethics, the Standards of Practice, or other applicable policy, and determine whether a breach is proved.

7.3 Where a breach is proved, the Panel shall determine the appropriate sanction from those available under paragraph 8.

8. Sanctions

8.1 The sanctions available to the Society are, in order of severity:

1. No further action;
2. Informal advice or warning (not published);
3. Formal written warning, placed on the member’s record;
4. Reprimand, published to the membership;
5. Conditions on continued membership, including required CPD, supervised practice, or restrictions on the types of examination the member may conduct as a BPS member;
6. Suspension of membership and directory listing for a specified period not exceeding twenty-four months;
7. Expulsion from membership and removal from the directory, with or without a specified minimum period before re-application is permitted.

8.2 A sanction at levels (d) to (g) may include a requirement to repay the Society its reasonable costs of investigation, up to such limit as the Management Committee may set by general policy.

8.3 The Society shall not impose any financial penalty beyond costs, nor purport to prevent the member from practising polygraph examination outside the Society.

9. Notification of Outcome

9.1 The Panel’s written decision, including findings of fact and reasons for any sanction, shall be sent to the member and to the complainant within twenty-eight days of determination.

9.2 The Management Committee may, having regard to the seriousness of the matter and to the interests of members, the public, and the member concerned, publish a summary of the decision. Publication shall respect data protection law and the privacy interests of any examinee or third party.

10. Appeals

10.1 A member against whom a sanction at levels (c) to (g) has been imposed may appeal.

10.2 Notice of appeal shall be given in writing to the Secretary within twenty-one days of receipt of the Panel’s decision, stating the grounds of appeal.

10.3 The grounds of appeal are limited to:

1. a procedural irregularity that may have affected the outcome;
2. a material error in the findings of fact;
3. a misapplication of the Code of Ethics, Standards of Practice, or other applicable policy; or
4. that the sanction is manifestly disproportionate.

10.4 An Appeals Panel of three persons, none of whom sat on the original Complaints Panel and none of whom are members of the Management Committee, shall be appointed by the Chair. At least one member of the Appeals Panel shall be independent of the Society.

10.5 The Appeals Panel may confirm, vary, or set aside the original decision and the sanction. Its decision is final within the Society.

11. Record Keeping

11.1 The Secretary shall maintain a confidential record of all complaints, determinations, and appeals for a minimum of six years.

11.2 Records shall be held in accordance with the UK GDPR, the Data Protection Act 2018, and the Society’s Privacy and Confidentiality Policy.

12. Governing Law

12.1 This Procedure is governed by the law of England and Wales. Any challenge to a decision taken under this Procedure shall be brought in the courts of England and Wales.