Complaint to the Regulator
If you are involved in an investigation being carried out by a professional regulator or body responsible for bringing enforcement action against its members, you will need to understand the process, your rights and what to do next.
Fitness to Practice (‘FTP’) is a professional’s ability to practice safely and effectively without impairment. In many cases, concerns will be reported by an employer if it believes an individual has committed an act of misconduct such as dishonesty, sexual misconduct, bullying or harassment or that the practitioner’s fitness to practice has been impaired, for instance, as a result of poor performance, failing to comply with professional obligations or errors leading to adverse outcomes to patients or clients. Anyone can however report concerns about a professional’s fitness to practice, including members of the public or the police. The police may report allegations involving a professional’s personal life which could cast doubt on their suitability to remain a member of a profession or which may adversely affect the reputation of that profession. This could follow a criminal conviction for example, or perhaps misconduct on social media.
Following a complaint, the regulator will consider whether it is necessary to investigate or take action in order to either uphold standards of behaviour, to protect members of the public or to uphold the reputation of the profession. Being ‘fit to practise’ means that a professional has the skills, knowledge, fitness and character to perform their job safely and effectively. They must also act professionally and adhere to the principles of good practice set out by the regulator in its standards and guidance.
Investigation
If the information received by the regulator raises a concern about you, the investigating officer should write informing you of the allegations that have been made and that an investigation has been commenced.
During the investigation stage the regulator will effectively be looking to build a case. This involves taking witness statements and obtaining evidence from a complainant or referrer. You may also receive a request for documentation at this early stage.
It is prudent to seek expert legal advice at this stage as it is unlikely you will know the full picture, and anything you provide may impact the course of the investigation. You should be seen to be cooperating fully whilst preserving your right to a fair and thorough investigation. It is important that you start to collate your own information, including any documents, records, witness statements or evidence that may support your case. You should also keep a record of the investigation process and any information you receive.
Towards the end of the investigation, you will normally be invited to respond formally to the allegations and make submissions in relation to the evidence that has been presented by the regulator. This is critically important because many cases can be resolved favourably at this stage if the right approach is adopted.
Investigating Committee
Once the investigation has concluded, a decision will be made regarding what action to take. Threshold cases will be referred to the Investigating Committee or panel of Case Examiners to close a case either with no further action, advice, or a warning or with an agreed set of undertakings.
Fitness to Practice Committee
For more serious concerns, the case will proceed to a full hearing by an FTP Committee which will be heard in public or at least publically reported. The Committee will usually be a panel of three individuals comprising of both professional and lay members. If you do not attend the hearing, your case is likely to proceed in your absence. The role of the FTP Committee is to determine whether you are ultimately fit to continue practising or whether your ability to practise is impaired as a result of the allegations that have been made against you.
Fitness to Practice Hearing
You have the right to be accompanied and represented at any hearing of your case and you will have the opportunity to respond to the allegations before the panel. When presenting your case orally, you should remain calm and avoid being argumentative or defensive. You should seek to outline your side of the story as clearly and concisely as possible and directly address the allegations that have been made, explaining why you believe they are unfounded or not serious. It may assist for you to prepare a written statement together with supporting evidence. If you have made mistakes, it may be in your interests to acknowledge this and explain what you have learned from the process. If you don’t understand something, you should ask for clarification. You should take notes during the hearing so that you have an accurate and contemporaneous record of what is discussed.
Sanctions
FTP sanctions can include a formal warning notice, restrictions on the ability to practice or conditions such as training or supervision, a suspension, or even striking off the professional register – in other words, withdrawal of your right to practice. There are also instances where a financial penalty can be deemed appropriate.
Appeal
If having reviewed your notes of the hearing, you do not agree with the outcome of the FTP proceedings or you believe you have been treated unfairly, you have a right to appeal. There are, however, strict time limits that must be observed and specific grounds for lodging an appeal.
How We Can Help
We understand professionals are facing increasing pressure in tightly regulated, ever-changing environments and that many regulated professionals will receive complaints at some point during their careers which doesn’t necessarily indicate impaired fitness to practice. The team at Harold & McCormack Law act for a wide range of professional clients with cases that can be very diverse and nearly always, emotionally charged. Given the sanctions available to regulators, these cases involve high stakes, with the implications for a professional’s livelihood and reputation being extremely serious. If you find yourself the subject of a professional FTP investigation, please get in touch, we have a dedicated team on hand and ready to support you.
Disclaimer: This information is for general information purposes only and does not constitute legal advice. It is recommended that specific professional advice is sought before acting on any of the information given. Please contact us for specific advice on your circumstances.