Policy paper

Disciplinary panel conduct and complaints procedure

Published 21 October 2026

Applies to England and Wales

1. Purpose of the conduct and complaints procedure

The disciplinary panel member conduct and complaints procedure (the procedure) sets out how the Building Safety Regulator (BSR) will assess and, where appropriate, investigate information that raises concerns about a disciplinary panel member’s:

• conduct
• compliance with applicable standards
• continuing suitability to be on disciplinary panels

This information may come from a complaint or another credible source.

The procedure provides a fair, consistent and proportionate framework. It applies to all disciplinary panel members.

Panel members must comply with BSR’s code of conduct as well as the additional requirements set out in the disciplinary panel member code of conduct. BSR’s code provides the overarching framework, while the panel-specific code supplements it with requirements reflecting members’ roles and responsibilities, including a higher standard where specified.

Where there is a direct conflict between the 2 codes, BSR’s code takes precedence. A more stringent requirement in the panel specific code does not, of itself, constitute a conflict.

This procedure is for disciplinary panel members only. It is not BSR’s employee disciplinary or grievance procedure. Applying this policy to a panel member does not: 

• make them an employee of BSR
• give them a right to future panel work
• affect BSR’s ability to end an appointment under applicable law and the terms of appointment

2. How the procedure is used

2.1. Matters covered

The procedure will be used where information, if substantiated, could reasonably raise concerns about a panel member’s: 

• conduct or behaviour in their role
• integrity, independence, impartiality or professionalism
• competence or compliance with training, registration or other role requirements
• compliance with a code of conduct, contractual obligation, confidentiality requirement or governance standard
• continuing suitability to act as a disciplinary panel member

2.2. Other procedures

This procedure does not replace any of BSR’s other procedures, including:

• whistleblowing
• grievance
• fraud
• security
• data protection

Where information is raised under another procedure, BSR will decide the appropriate route for each aspect of the matter and may coordinate related processes.

A protected disclosure will be handled under BSR’s whistleblowing policy. Information relevant to a panel member’s conduct or suitability may be referred for consideration under this procedure. This will not transfer the whistleblower’s disclosure into this procedure or reduce any protection available to them.

Where the same matter is being considered by another employer, regulator, professional body, law enforcement agency, court or tribunal, BSR may pause, adapt or continue this procedure where reasonable. It may use evidence gathered elsewhere where it is lawful, reliable and fair to do so.

2.3. Fairness and adjustments

BSR will apply this procedure fairly, consistently, proportionately, and without unreasonable delay. It will consider reasonable adjustments for disabled participants and any other appropriate measures needed for effective participation.

3. Key roles in the procedure

The following roles are referenced in this procedure and have specific functions in the management and determination of information received. 

3.1. Disciplinary case manager

The disciplinary case manager will:

• receive, acknowledge and record information under this procedure
• undertake administrative case management and provide updates
• appoint an assessing officer and check for conflicts of interest
• maintain appropriate records and coordinate referrals to other procedures or bodies

3.2. Assessing officer

The assessing officer will usually be the professional standards manager or an equivalent role. They must have no material prior involvement and no actual or reasonably perceived conflict of interest.

The assessing officer will make an initial assessment and, where appropriate, will conduct or manage any investigation. They will present their findings and recommendations to the decision maker. The decision maker will consider them when reaching a decision but is not required to follow them.

3.3. Independent investigator or adviser

Where the nature, complexity, sensitivity or perceived independence of the matter requires it, BSR may appoint an appropriately qualified independent investigator or adviser. Their remit and reporting arrangements will be confirmed in writing.

3.4. Decision maker

The head of professional standards or an equivalent role will make decisions about interim suspension, formal findings and outcomes. They must not have investigated the matter and must be able to decide it impartially. Where they are unavailable, conflicted or have had material prior involvement, an appropriately senior alternative will be appointed.

3.5. Appeal decision maker

An appeal will be determined by a person who is:

• appropriately senior
• able to act impartially
• has not previously been materially involved in the matter

This will usually be a deputy director or equivalent role.

4. Raising a concern about a panel member

4.1. Sources

We may get information from:

• a complaint from an individual or organisation
• a referral from another BSR procedure
• another regulator, registration body, professional body, employer or contracting organisation
• a court, tribunal, law enforcement agency or public authority
• reliable publicly available information
• a disclosure by the member
• BSR’s own activities, records, processes or interactions

For this procedure, a ‘complaint’ includes any concern, allegation or information about a panel member’s conduct or continuing suitability, regardless of its source. The person who is the subject of the matter is referred to as the ‘panel member’.

4.2. Submitting a complaint

A complaint made directly under this procedure should be sent to the disciplinary case manager and should, as much as possible:

• describe the conduct or circumstances of concern
• give relevant dates
• identify people involved
• provide any available supporting information

Direct complaints will usually be acknowledged within 5 working days.

4.3. Anonymous and withdrawn complaints

Anonymous information may be considered where there is enough detail to assess it fairly and proportionately.

BSR will consider the seriousness, credibility, supporting evidence and ability of the panel member to respond.

Withdrawing a complaint will not necessarily end consideration of the matter. BSR may continue where the information indicates a material risk to standards, participants , proceedings, public confidence or its ability to carry out its functions.

4.4. Treatment of complainants

No person will be disadvantaged by BSR because they have raised a genuine complaint or participated in this procedure.

BSR will take appropriate action where information given is knowingly false, malicious or deliberately misleading. A complaint that is not substantiated will not, by itself, be treated as malicious.

5. Initial assessment of information

The assessing officer will conduct a proportionate initial assessment to decide whether:

• the matter falls within this procedure
• further information is needed before a decision can be made
• no further action is required
• another procedure or external body is the more appropriate route
• informal resolution is suitable
• a formal investigation is required
• interim measures should be considered

The assessment is a screening stage and will not determine disputed facts unless no formal investigation is needed to reach a fair conclusion.

Where no further action is taken, the reasons will be recorded. The complainant and panel member will usually be informed, subject to confidentiality and any risk to another process.

Previous substantiated findings, active warnings or related live matters may be considered where relevant. Previous allegations that were not substantiated will not usually be taken as evidence that a current allegation is established.

6. Outcomes of the initial assessment

6.1. Informal resolution

Where a matter is minor, admitted or capable of appropriate resolution without a formal investigation, the assessing officer may propose informal resolution. This may include:

• clarification
• facilitated discussion
• an apology
• advice
• coaching, mentoring or extra training

Informal resolution will not usually be used where the alleged conduct, if substantiated, could reasonably justify termination, extended suspension or a formal warning, or where disputed material facts require investigation.

The panel member will be told whether an informal outcome will be treated as a finding and:

• how it will be recorded
• how long it may be kept
• whether it may be considered in any later appointment or conduct decision

If informal resolution is unsuccessful or becomes inappropriate, the matter may proceed to a formal investigation.

6.2. Interim measures

The assessing officer may recommend interim measures to the decision maker at any stage. These may include temporary suspension from some or all panel duties, changes to allocation arrangements or another proportionate restriction.

Interim suspension may be considered where necessary to:

• protect participants, evidence or the integrity of an investigation or proceeding
• manage a serious regulatory, criminal, professional or reputational risk
• maintain confidence in BSR’s disciplinary arrangements
• protect the public interest or BSR’s ability to carry out its functions

An interim measure is neutral and does not imply a finding of wrongdoing.

Before imposing an interim measure, the decision maker will usually give the panel member an opportunity to comment, unless urgency or another material risk makes that impractical. The decision and reasons will be confirmed in writing.

Interim measures will be kept under regular review and will continue only for as long as they are necessary and proportionate. The panel member will be told about the practical effect on duties, panel allocations and any fees or payments. 

7. Formal investigation

7.1. Notice

The panel member will be told in writing about the:

• matters being investigated
• available supporting information
• procedure to be followed
• identity of the investigator
• possible range of outcomes

The scope of the investigation may be changed if further relevant matters arise, as long as the panel member is notified and given a fair opportunity to respond.

7.2. Investigation

The investigation will be proportionate to the seriousness and complexity of the matter. The investigator may:

• request relevant documents
• invite written accounts
• interview relevant people
• seek information from appropriate organisations
• make other reasonable enquiries

The panel member may gather relevant evidence and witnesses for consideration.

The investigation may include an investigation meeting. The purpose of this is to establish facts and allow the panel member to respond.

An investigation meeting is not, by itself, a decision meeting. A note will be made, and the panel member will be given an opportunity to discuss material inaccuracies.

7.3. Right to be accompanied

The panel member may be accompanied at any formal investigation, decision or appeal meeting by a trade union representative. The representative can:

• address the meeting
• confer with the panel member
• summarise the panel member’s position.

They cannot answer questions on the panel member’s behalf.

BSR may allow another companion, including a friend, support worker or legal representative, where this is required as a reasonable adjustment or is otherwise considered reasonable. There is no automatic right to legal representation. Requests for this should be made as early as possible.

If the chosen companion cannot attend, BSR will usually agree a reasonable alternative date, taking account of any applicable statutory requirements and the need to progress the matter without unreasonable delay.

7.4. Co-operation and confidentiality

Participants are expected to co-operate reasonably and keep information confidential. This does not affect their right to get appropriate advice, representation or support, or disclose information where the law permits or requires it. Confidentiality cannot be guaranteed, and information will be shared where reasonably necessary for a fair process, to comply with the law, or for another justified purpose.

8. Investigation report and response

At the end of the investigation, the investigator will prepare a report setting out:

• the allegations or matters investigated
• the evidence considered
• relevant findings of fact
• whether any applicable standard appears to have been breached
• any recommendations requested within the investigator’s terms of reference

The panel member will usually receive the report and any material the decision maker is expected to rely on, with any lawful and necessary redactions. They will be given a reasonable period, usually at least 10 working days, to provide a written response and find any factual inaccuracies or further evidence that could affect the outcome of the investigation.

9. Decision making

9.1. Standard of proof

Findings will be made on the balance of probabilities. This means whether the decision maker considers it more likely than not that the matter occurred. The seriousness of an allegation does not change that standard. However, sufficiently compelling evidence is likely to be needed to support serious findings.

9.2. Decision meeting

Where a formal warning, suspension or termination is under consideration, the panel member will usually be invited to a decision meeting. They will be given reasonable notice, access to the material that will be considered, and an explanation of the possible outcomes. The panel member can respond in writing, at the meeting, or both, and may be accompanied under section 7.3 of the procedure.

The decision maker may accept the investigator’s findings or recommendations, decide not to follow them, or request further enquiries. If materially adverse new information is found, the panel member will be given a reasonable opportunity to respond before a final decision is made.

9.3. Relevant considerations

In deciding findings and outcomes, the decision maker will consider all relevant circumstances, including:

• the nature, seriousness and effect of the conduct
• the panel member’s explanation, insight and any mitigating circumstances
• consistency with comparable cases, while recognising that each case must be decided on its own facts
• relevant substantiated findings, active warnings or formal restrictions
• the panel member’s role, responsibilities and applicable standards
• whether remediation or a lesser outcome would be effective
• the need to protect proceedings, participants, public confidence and BSR’s ability to carry out its functions

10. Outcomes of an investigation

The decision maker may determine that:

• the matter is not substantiated and no further action is required
• no formal action is required, but advice, guidance or support should be provided
• training, development, supervision or another remedial requirement should be imposed
• a formal warning should be issued
• a time-limited suspension or restriction should be imposed
• the appointment should be terminated
• another proportionate action within the terms of appointment and applicable governance arrangements should be taken

A formal warning will specify:

• the conduct or standard concerned
• the improvement or conduct expected
• any support or remedial action
• the period for which the warning will remain active
• the possible consequences of further substantiated concerns

Suspension or termination may be appropriate where the panel member has:

• committed serious misconduct
• seriously or persistently breached an applicable code or obligation
• not met a material role or registration requirement
• been subject to a relevant external finding or conviction
• otherwise demonstrated, on evidence relevant to the role, that they are no longer suitable to be a panel member

Any outcome must be reasonable and proportionate. The final decision, reasons, effective date and appeal arrangements will be given to the panel member in writing.

11. Communication with the complainant and external bodies

The complainant will usually be informed when the matter has been:

• assessed and closed
• resolved informally
• investigated and concluded
• otherwise referred

Information about findings or action may be limited to protect:

• personal data
• confidentiality
• legal obligations
• the panel member’s rights
• the integrity of other proceedings

Where there is a lawful basis and it is necessary and proportionate, BSR may share relevant information with a:

• regulator
• professional body
• employer
• contracting organisation
• law enforcement agency
• public authority

The panel member will usually be told before disclosure, unless this would be unlawful, prejudice another process or create a material risk.

12. Appeals

12.1. Right of appeal

The panel member may appeal a formal warning, suspension, restriction or termination on one or more of the following grounds:

• a material procedural error that may have affected the outcome
• a finding that was not reasonably supported by the evidence
• an outcome that was disproportionate
• significant new evidence that could not reasonably have been provided earlier

The appeal must usually be submitted in writing within 10 working days of the decision and must explain the grounds it relies on. The appeal decision maker may determine the appeal on the papers or arrange a meeting.

At an appeal meeting, the panel member may be accompanied under section 7.3 of the procedure.

12.2. Appeal outcome

The appeal decision maker can:

• uphold, revoke or vary the original decision
• require further enquiries
• direct that all or part of the matter be reconsidered by an appropriate person

They will not usually impose a more severe outcome without first giving the panel member notice and an opportunity to respond. The appeal outcome will be given in writing and will be final under this procedure.

12.3. Complainant review

A complainant may request a review of whether their complaint was handled in accordance with this procedure where they believe they have found a material procedural failure. This does not give the complainant a right to determine or appeal the disciplinary outcome imposed on the panel member. A request must usually be made within 10 working days of the complainant being notified that the matter has concluded.

13. Records and data handling

BSR will maintain appropriate records of complaints and other information received, including:

• assessments
• investigations
• decisions
• outcomes
• appeals
• interim measures

Records will be accurate, relevant, access controlled and kept in accordance with BSR’s retention schedule and applicable data protection legislation.

A record of an unsubstantiated allegation will not be treated as a finding of misconduct. Access to records will be limited to those who need it for a legitimate purpose.

14. Review and interpretation

BSR may provide supporting guidance and make reasonable procedural adjustments where a case requires it, as long as the overall process remains fair. Significant changes to this procedure will be approved and communicated.