Investigating Committee
Decision-making tool
This tool is intended as guidance only and does not restrict the Investigating Committee’s ability
to depart from the routes shown. However, as with any guidance, if departing from the suggested
route the Investigating Committee should provide additional reasons for its decision.
(cases on or after 1/11/16)
Is the Investigating Committee satisfied that the registrant and the informant (if any)
have been provided with reasonable opportunity to submit written representations
on the allegation and the evidence relating to it?
No
Adjourn for such an
opportunity to be
provided
Yes
Close without a warning
or advice
(see paragraphs 208 - 209
No
Stage 1: Is there a real prospect of the facts alleged being found?
(see paragraphs 79 - 80 regarding conflicts in evidence)
Issues to bear in mind:
Does the Investigating Committee have sufficient
information to make a decision?
If not, consider adjourning for further information
(see paragraphs 58 – 63)
Yes
Close without a warning
or advice
OR
Close with advice
No
Close with advice
(see paragraphs 210 - 213)
Is there an error in the allegation, or anything within
the papers which raises a concern which is not
addressed by the allegation? If so, consider whether it
would be fair and proportionate to adjourn to direct
the Registrar to consider amending the allegation (see
paragraph 113)
Stage 3: Is there a real prospect of a Practice Committee
finding current impairment?
Factors to consider include whether the reason by which fitness
to practise is said to be impaired is easily remediable, whether it
has been remedied and whether it is highly unlikely to be
repeated in the future.
Factors which may be relevant to likelihood of repetition include:
insight, remedial steps taken, and relevant FTP history
Yes
Are undertakings appropriate?
(See paragraphs 125 - 136)
Is there any reason why
the warning should not be
published (see paragraph
232)? Otherwise, the
warning will be published
for the period specified
If the Investigating Committee is considering an
allegation of deficient professional performance, is this
demonstrated by a fair sample of the Registrant’s
practice? If not, would it be a proportionate to
adjourn and direct the Registrar to make further
enquiries (e.g. by way of record card audit?
Yes
No
Close with a warning
(see paragraphs 217 - 233)
Stage 2: Do the facts alleged, which stand a real prospect of being
found proved, amount to an allegation of impaired fitness to
practise by reason of the statutory ground detailed in the
allegation (set out at s.27(2)/36N(2) of the Act and at paragraphs
83 – 95? E.g.
·
Misconduct
·
Deficient Professional Performance
·
Adverse physical or mental health
·
Conviction or Caution
No
Refer to a Practice Committee
(see paragraphs 180 - 183) and, if appropriate,
the Interim Orders Committee (see paragraphs 184 - 191)
Yes
If not agreed
Seek to agree undertakings
(see paragraphs 137 – 150)
If agreed
Cease consideration of the
allegation