MULTI DPSIPLINARY PROCEEDURES

The professional disciplinary team at Platts Solicitors has an outstanding reputation. We are known for going the extra mile as we are knowledgeable, dedicated and will work hard to provide support throughout the investigation and any proceedings that follow. We understand the nuances between different regulatory bodies and therefore are in a strong position to secure the best possible outcome.

Professional discipline investigations are an investigation into the conduct of the individual by the professional regulator, having been given reason to believe that the individual has behaved in a way that does not benefit the profession.

Disciplinary investigations are bought in one of two ways: either by the employer or directly from the profession’s governing body.

The Disciplinary Process

Everybody has their own method of investigating. The process involves:

Notification of the investigation. This will detail the reasons for the investigation, the process of the investigation and potential consequences if found guilty.
Investigation undertaken;including gathering of evidence, questioning by the evidence team
Completion of the investigation will result in the regulator making an initial decision on the future of the case, determining whether to move forward to a formal hearing or declaring that there is not sufficient evidence to continue.

If the investigator decides to move forward to a formal hearing or tribunal, time will be awarded to prepare the case. It is vital that advice is obtained from highly skilled lawyers with relevant expertise such as Platts Solicitors in order to achieve the most favorable outcome. As we understand the effect it has on an individual’s loss of registration, the impact it has on their professional standing and career.

The tribunal comprises of a panel of expert independent members that make the final decision. Depending on the severity of the accusation, the amount of evidence required and additional factors the duration could take several weeks to many months.

If an individual is found guilty, the sanctions can be severe which could include but are not limited to; financial penalties, loss of employment or a permanent ban from working in the industry. Furthermore, an individual could be subject to a criminal investigation resulting in a criminal conviction.

Platts Solicitors have experience working with people under investigation from a range of regulatory bodies, which includes:

The Association of Chartered Certified Accountants (ACCA)
The Chartered Institute of Management Accountants (CIMA)
The Financial Conduct Authority (FCA)
The General Dental Council (GDC)
The General Medical Council (GMC)
The Institute of Chartered Accountants in England and Wales (ICAEW)
The Solicitors Regulation Authority (SRA)
The Teaching Regulation Agency (TRA)
The Royal Institution for Chartered Surveyors (RICS)
General Teaching Council for England (GTC)

Administrative Appeals Tribunal (AAT) Disciplinary Tribunal

The AAT’s main objective is to ensure that members behave ethically and professionally, as set out in the AAT’s Code of Professional Ethics. The AAT will investigate issues that genuinely relate to a member’s misconduct, and it will refer members to the Disciplinary Tribunal, if the Investigations Team are satisfied that the evidence is strong enough to objectively provide a realistic prospect of the member being found guilty of misconduct. The AAT has the discretion not to refer to a member if it considers it not to be in the public interest.

Referrals to the disciplinary tribunal are more likely where the following issues exist;

An abuse of a position of trust or authority;
Clients’ interests have been seriously compromised;
Discrimination;
Dishonesty;
Financial loss;
Likelihood of repetition;
Misconduct related to a genuine mistake or misunderstanding;
The member has relevant health issues;
The member is no longer practicing;
Referrals to the disciplinary tribunal are less likely when the following issues exist:

Full co-operation is given to the AAT and prompt redress offered to any relevant clients. Therefore, it is vital that legal advice is sought from an experienced, knowledgeable and skilled lawyers such as Platts Solicitors from the outset, so that the case has a strong foundation and takes the correct course of action.

If misconduct is found, the tribunal will hear representations from both sides and will then decide which of the following sanctions to impose:

Expulsion from the AAT;
Suspension from the AAT;
Removal of fellow membership status;
Reprimand and/or warning;
Specific conditions imposed upon the member’s license;
Fine (maximum of £5000) – imposed alone or with another sanction;
Require a member to seek advice over future conduct;
No further action;
The Tribunal will also decide whether the AAT member should have to pay the AAT’s costs, subject to the current maximum of £15,000.

The tribunal when deciding on the most appropriate sanction will always consider personal mitigation such as: remorse, remediation, insight, personal factors and the member’s previous good character. It is vital that you obtain expert representation from a knowledgeable lawyer at Platt’s Solicitors in order to properly advance mitigation.

Applications to appeal The Disciplinary Tribunal decision has to be lodged within 14 days of the member being served with the written notice of the decision. At Platts Solicitors we can advise, assist and lodge the appeal by preparing the grounds for appeal and leave no stone unturned in advancing the case.

Association of Chartered Certified Accountants (ACCA) complaints investigation process

The jurisdiction the ACCA has over its members is regulatory and disciplinary in nature. The ACCA takes disciplinary action against its members in situations in which there is evidence of a serious departure from the standards of conduct to be expected of professional accountants.

Accountancy related complaints will only be investigated if it is brought to the ACCA’s attention within 12 months after the grounds for complaint was first made. The ACCA’s Professional Conduct Department will investigate the complaints made against its members. ACCA disciplinary action only occurs when there is evidence of a serious failure to observe their standards.

The Professional Conduct Department will write to the accountant, enclosing a copy of the complaint and inviting observations from the accountant. It is vital that legal advice is sought before responding to a complaint at Platts Solicitors we have experienced lawyers that will provide the highest standard of client care and strategic advice in order to protect your interest to achieve a successful outcome.

The investigatory process can last around 6 months and at its conclusion the Professional Conduct Department may decide to close the investigation or to refer the matter to an assessor JM Changes below in blue

Failure to observe ACCA standards will result in The Professional Conduct Department writing to the accountant with a copy of the original complaint in conjunction with a request to respond to the observations from the accountant.

The entire investigation could take up to 6 months in which it may decide to close the investigation or to refer the matter to an assessor. It is vital that legal advice is sought before responding to a complaint, at Platts Solicitors we have experienced lawyers that will provide the highest standard of client care and strategic advice to protect your interest to achieve a successful outcome with an ACCA Disciplinary Committee or Independent assessor.

The independent assessor considers all the evidence including written representations, before deciding whether there is a case for the accountant to answer and if so, whether it is necessary to refer the accountant to the ACCA Disciplinary Committee for a full hearing.

At the disciplinary hearing an opportunity is provided for the accountant to put forward its version of events and to submit representations seeking to persuade the independent assessor that the complaint should go no further. It would be extremely unwise to attend such an important hearing without expert legal representations. At Platts Solicitors we can advise on the merits of the case, provide strategic advice about the best approach to take and prepare written representations in order to achieve the best possible outcome. Having heard from both sides the Committee will then make their findings on the factual allegations, they will also decide whether the factual findings amount to misconduct. If so, then the Committee will hear representations in relation to the most appropriate sanction and any costs order.

The disciplinary hearing is an opportunity for Platts Solicitors to support the accountant to put forward a version of events and submit representations seeking to persuade the independent assessor that the complaint should go no further. It would be extremely unwise to attend such an important hearing without expert legal representations. At Platts Solicitors we can advise on the merits of the case, provide strategic advice about the best approach to take and prepare written representations in order to achieve the best possible outcome. Having heard from both sides the Committee will then make their findings on the factual allegations, they will also decide whether the factual findings amount to misconduct. If so, then the Committee will hear representations in relation to the most appropriate sanction and any costs order.

The Disciplinary Committee decides the most appropriate sanctions having considers aggravating and mitigating factors, such as the member’s previous disciplinary history, evidence of insight, remediation, personal mitigation and the impact of actions on others. The sanctions which the ACCA Disciplinary Committee can impose are:

The sanctions which the ACCA Disciplinary Committee can impose are:

No further action;
The waiver or reduction of fees to a client;
Compensation to a client up to £1000;
Fine up to £50,000;
Admonishment;
Reprimand;
Severe reprimand;
Exclusion from membership.

Resolution by Consent Order

In instances involving minor misconduct, it may be possible to agree with the ACCA a consent order, to resolve the proceedings without the need for a full hearing before the Disciplinary Committee. The Consent Order Committee will be to ensure that a proposed Consent Order provides an appropriate resolution to the case and can confirm, amend or reject it.

ACCA Interim Order Committee

An interim order committee hearing may be considered in some cases and may impose an interim sanction, whilst the substantive allegation is investigated.

ACCA Appeals Process

The accountant can apply for permission to appeal the decision which is based on an error of fact or law in the original proceedings in adverse outcomes. This appeal must be lodged within 21 days of the accountant receiving the written notice of the decision. Appeals can be heard by the ACCA Appeal Committee.

General Dental Council (GDC) Lawyers for Dentists

The GDC’s role is to protect, promote and maintain the health, safety, well-being of the public, and is governed by the Dentist Act 1984. The GDC investigates a variety of fitness to practice complaints against dentists which have arisen from concerns raised by: patients, employers, the police, the Dental Complaints Service and other professionals. Platt’s Solicitors have the knowledge and expertise to provide sound legal representation in order for you to achieve the best result.

Dental misconduct complaints can be varied, and may include:

Alcohol/drug dependency;
Criminal convictions/cautions;
Failure to obtain informed patient consent;
Fraudulent claims for non-existing NHS work;
Having ineffective complaints procedures;
Improper relationships with patients;
Inadequate dental treatment;
Practicing without professional indemnity insurance;
Scope of practice issues for dental technicians;
The GDC fitness to practice committees;
Theft/dishonesty.

The GDC comprises of 3 separate fitness to practice committees which deal with dentist’s fitness to practice cases based on the nature of the allegation:

The Professional Conduct Committee – deals with allegations in relation to a dentist’s fitness to practice being impaired due to allegations relating to misconduct;
The Professional Performance Committee – manages allegations concerning a dentist’s fitness to practice being impaired due to clinical performance which is consistently below an acceptable standard. In such cases the GDC will often consider a performance assessment to assist them to objectively decide;
The Health Committee – investigates allegations relating to a dentist fitness to practice due toregistrant’s own ill health

Platt’s Solicitors expert dental lawyers have successfully represented dentists through all stages of a GDC fitness to practice investigation; from initial referral to preparing written representations to the Investigating Committee, to representing dentists before the Interim Orders Committee, the Professional Conduct Committee and the Professional Performance Committee. At Platts Solicitors we endeavor to obtain the best possible outcome for dentists by diligently working with dentists to establish a clear strategy for their case from the outset in order to prepare robust defence and strong mitigation.

Platt’s GDC lawyers are also highly experienced criminal defence lawyers with in excess of one hundred years of collective expertise, which in cases of dentist’s accused of criminal offences, enables us to undertake a multidisciplinary approach to provide the best defence possible.

As experienced GDC solicitors, Platt’s lawyers regularly defend dentists on a nationwide basis, who often do not have membership of a defence organisation, or who have been refused representation by their respective unions.

Platts Solicitors are committed to helping all dental care professionals and offer a free initial telephone consultation with one of our expert GDC lawyers. If you are being investigated by the GDC for fitness to practice issues, please contact Platt’s Solicitors today for immediate expert advice.

Platt’s defence lawyers have expertise in representing dentists, dental professionals and dental students with GDC fitness to practice investigations in a multitude of regulatory problems including:

GDC Fitness to Practice.
GDC Health Committee.
GDC Investigating Committee responses.
GDC Professional Performance Committee.
GDC Professional Conduct Committee.

The GDC has three separate fitness to practice committees that deal with dentist’s fitness to practice cases based on the nature of the allegation against them:

The Professional Conduct Committee – deals with allegations that a dentist’s fitness to practice is impaired due to allegations relating to misconduct;
The Professional Performance Committee – deals with allegations that a dentist’s fitness to practice is impaired due to clinical performance which is consistently below an acceptable standard. In cases of this nature the GDC will often consider a performance assessment to assist them to objectively assess the dentist’s clinical performance;
The Health Committee – deals with allegations that a dentist’s fitness to practice is impaired due to the registrant’s own ill health.

Our experienced doctor lawyers provide specialist legal representation and advice for:

Medical practitioners at every stage of their careers, from Medical Students to Consultants;

Doctors who are working in the NHS;

Doctors who work in private practice who are facing a disciplinary investigation by their employer;

Doctors who have been referred to the General Medic Council (GMC) for an investigation into allegations that their fitness to practice is impaired.

Our team of GMC lawyers and MPTS lawyers are dedicated and experienced in providing legal advice to doctors throughout the UK. We pride ourselves on providing clear and coherent advice and will provide you with straight-forward legal advice on the implications of your situation and we have an excellent track record of securing the best possible outcome for our clients. We understand the impact any investigation questioning your fitness to practice can have on you and your family. That is why we will work persistently hard to ensure you can continue to practice medicine during an ongoing investigation by getting the right results when defending doctors facing a hearing before the Interim Orders Tribunals (IOT).

What if I am the subject of a criminal investigation by the police as well as a GMC investigation?

We understand the implication of a caution or conviction for any doctor and so we will work hard to defend your case whilst ensuring that we do not jeopardise your position before the GMC as we fully understand the issues involved for you as a doctor, both professionally and personally.

You can benefit from our specialist multi-disciplinary team, comprising doctor lawyers and criminal defence lawyers. This enables us, where necessary, to provide effective legal representation for doctors who face criminal investigations by the police or the NHS Counter Fraud Team. Our team is experienced at representing doctors in police station interviews under caution and before the Magistrates or Crown Court in any criminal proceedings, should an investigation proceed that far.

If your defence organisation is paying your fees, we are willing to be paid by them and can arrange for this, if you wish to have us as your solicitor of choice, rather than having to rely on a panel solicitor.

Throughout a GMC investigation, our expert lawyers will provide you with expert

We will provide legal representation and guidance throughout your case. We understand the stress you face when you are subjected to a trust disciplinary investigation or a GMC investigation. We also understand the far-reaching consequences for your career, reputation and personal life, when your suitability to practice as a doctor is called into question. We will work closely with you, taking a proactive approach and keeping you informed at all stages. Drawing on our extensive experience we prepare robust defences to support denied allegations and where necessary, we will present the Panel with compelling mitigation on your behalf.

Defence Lawyers for Opticians

Members of the public, employers, other opticians, the police and other statutory agencies can make complaints about opticians to the General Optical Council (GOC). The GOC are obliged to investigate these complaints to determine if the optician’s fitness to practice is impaired. In some instances such investigations can also take into account an optician’s private life.

In the event that you’re subject to a GOC investigation our defence lawyers can provide expert representation, particularly if you’re not a member of a defence union or if your union has refused to offer you representation. We understand the impact an investigation can have on your life and career, so to help you through the process we offer sensible legal guidance. When the allegations are denied we’ll prepare robust defences and, where it’s appropriate, present strong mitigation in order to secure the best possible outcome for you.

HCPC Lawyers for Health and Care Professions Council

At Platts Solicitors we have experienced and dedicated Lawyers providing specialist legal representation for health and care professionals facing an HCPC investigation into their fitness to practice from the Health and Care Professional Council. We have experience of representing HCPC registrants from both the public and private sector, across a range of professions regulated by the HCPC. Our experienced lawyers are experts in representing HCPC registrants in all stages of a fitness to practice investigation; from initial referral to interim order applications, written submissions to the Investigating Committee, legal representation before the HCPC’s Conduct and Competence Committee, representation in review hearings as well as High Court appeals.

We understand the impact an investigation into fitness to practice can have both professionally and personally. At Platts solicitors we are trained to be extremely pro-active from the inception of any investigation to ensure a positive outcome in the shortest possible time. We will fight tirelessly to ensure that you can continue to practice during an ongoing investigation, by getting the right results when defending you against an interim order application before the HCPC.

Where HCPC registrants are referred to the HCPTS (Health and Care Professions Tribunal Service) for a hearing before the Conduct and Competence Committee, we take a proactive approach and will guide you and provide you with clear and concise advice and with our skills and expertise we will secure the best possible outcome.

Institute of Chartered Accountants in England and Wales (ICAEW) Standards and Complaints

The ICAEW role is to ensure that chartered accountants are meeting the highest ethical and technical standards in order to maintain the reputation of the profession, to protect the title ‘chartered accountant’, to uphold standards and protect the public.

The ICAEW has a Code of Ethics which has 5 main principles: integrity, objectivity, professional competence and due care, confidentiality and professional behaviour.

The Professional Conduct Department investigates complaints and first assesses whether there are grounds for the complaint and whether the member may need to face disciplinary action.

The investigation process can take 6-12 months depending on the complexity of the situation. During the investigation process, the member will be invited to provide written comment on the allegations. This is a crucial stage in the investigation, as up to 50% of cases can be closed at this stage, when a member is able to demonstrate that there has not been any misconduct. At Platts solicitors we can prepare a thorough written response to the allegation to ensure that the response is swaying and achieves the best possible outcome.

If a complaint is regarded as being sufficiently serious and relates to a member’s conduct, then it is referred to the Investigation Committee. The committee evaluates the complaint privately, considering relevant documentation including written representations from the member. The Investigation Committee then decides whether there is a case for the member to answer. If not, then, subject only to a potential review, the matter is closed.

If the Investigation Committee does find that there is a case for the member to answer then they can take one of the following disciplinary actions:

Take no further action;
Invite the member to accept an unpublicised caution;
Invite the member to consent to a reprimand, fine and costs; or
Refer the complaint to the Disciplinary Committee.

It is essential that the written representations for the Investigation Committee are written objectively and clearly. It must either persuasively setting out either that there is no misconduct, or where there have been failings, demonstrating appropriate remediation, co-operation, insight and remorse with an objective of achieving an outcome short of a referral to the Disciplinary Committee.

In an ICAEW disciplinary hearing, the Disciplinary Committee considers formal complaints referred by the Investigation Committee. At the hearing, the Disciplinary Committee hears evidence, legal representations from both sides and will make decisions regarding the factual circumstances. If the allegations are found proven, then the committee will impose a relevant penalty, hearing further legal submissions regarding what the appropriate penalty should be.

The penalty imposed can include a fine, reprimand or exclusion. In addition, there are a number of ancillary orders which can be imposed, such as taking specific advice from a specified source, a waiver or return of fees, the repayment of a commission, and payment of the Institute’s costs including their investigation costs.

Decisions made by the Disciplinary Committee can be appealed to the Appeal Committee if the appeal is made within 28 days of the hearing.

Nursing and Midwifery Council (NMC)

At Platts solicitors we have a dedicated and experienced team that consists of specialist solicitors who can assist you if you find yourself being investigated by the NMC for fitness to practice, interim orders, disciplinary hearings or investigations by their employer.

Nursing and Midwifery Council (NMC) is the regulator for nurses and midwives in the UK. The NMC’s role is to set and review the standards for education, training, conduct and performance. The NMC is also responsible for investigating allegations of misconduct and impaired fitness to practice.

Our experience includes defending;

Hospital and community-based nurses and midwives;
Practice nurses;
Nurses in private practices;
Nurses employed by nursing homes.

Our team of lawyers work tirelessly to ensure that a nurse or midwife and their PIN number, are robustly defended. We care about each individual client and strive to obtain the best possible outcome for each person. We are trained to be extremely pro-active from the inception of any investigation to ensure a positive outcome in the shortest possible time and we will work relentlessly and leave no stone unturned to achieve a successful outcome.

Disclosure and Barring Service (DBS) Appeals

The Disclosure and Barring Service hold a list of individuals who cannot engage in ‘regulated activity’ ie. are banned from working with children and/or vulnerable adults. The DBS cannot include an individual on a barred list unless they can establish that an individual is presently, has previously been, or may be in the future be engaged in regulated activity with children and/or vulnerable adults. We are expert lawyers dealing with all issues related to criminal records and the Disclosure and Barring Service (DBS).

The police may automatically reveal as much “relevant” information as possible on a DBS certificate, but this can often be unfair. Due to our specialised expertise in this field we are frequently able to persuade the DBS/police that the information need not be disclosed.

For individuals, we are able to advice on what information must be disclosed when applying for jobs. We are frequently asked to challenge disclosures on DBS certificates and to appeal DBS barring decisions. We have successfully challenged many DBS certificates, either having information completely removed, or instead having the disclosure altered to reduce the impact of any negative information.

If you have already challenged the disclosure with the DBS, we will be able to assist you appealing the matter, to give you the best possible chance of any negative information being removed.

The DBS may have disclosed “relevant” information on your DBS certificate, or the Chief Constable of the police force concerned may have written to you giving you an opportunity to make representations. In either case we will be able to assist you in challenging any disclosure of information.

It is important that you act promptly so that we can accumulate as much supporting evidence as possible, to give you the best possible chances of success. If you have left matters until late, then don’t worry, we will often be able to get an extension to give us sufficient time to gather your evidence together, and provide detailed and compelling representations.

The DBS’s powers of disclosure are very broad, and they do not need to prove that the allegations against you are true. They can even disclose records where you have been found not guilty at court. All the DBS needs to show is that there is some evidence of an allegation against you, and then they will assess whether it needs to be disclosed according to various parameters.

As the disclosure rules are tipped in favour of disclosure, it is important that your prepare as robust a defence of your case as possible.

Deletion of Police Records-Sometimes a disclosure may relate to an unfairly issued caution, community resolution or unlawful arrest, if this is the case, then we will be able to challenge these records, with a view to getting them deleted. If your records are deleted from police systems, then the information will be removed from your DBS certificate.

We have helped many clients either challenging an existing barring, or resisting being placed on the DBS barred lists.

We have prevented many clients from being placed on both the children and vulnerable adults barred lists.

If you have received a “minded to bar” letter, then please get in touch.

Equally, if you have already been barred, then please get in touch to see if you can come off. Sometimes a barring decision may have been made on incorrect facts, or a false criminal record. If a barring is based on an incorrect caution or other police disposal, then we will apply to have this record expunged first, and then apply to have your barring overturned.

If your barring relates to an unfair conviction, and you have already appealed to court unsuccessfully, we may be able to apply to the Criminal Cases Review Commission (CCRC) to have your conviction overturned.

Employers and the DBS

Along with advising individuals on DBS background certificates and barring, we are also able to assist businesses with their recruitment and human resources obligations. We advise employers on how recruitment questions should be framed with respect to prospective and current employees’ criminal records. We are also able to advise and assist when relevant information has come to your attention, and you are considering making a disclosure to the DBS.

Common Law Disclosure

The police have a common law power to disclose information to a suspect’s employer/regulator. This would typically happen after someone has been accused and arrested for an allegation.

The police may provide you an opportunity to make representations prior to this disclosure being made. If so, we will be able to present robust representations to persuade the police not to make a disclosure.

Police Caution Removal Solicitor

If you have received a police caution, we are experts in police caution removal.

We are a dedicated legal practice focusing on the deletion of police records held on the Police National Computer (PNC). We are also expert in challenging DBS certificates and barring applications, disciplinary proceedings, and associated Data Protection issues; such as applying for the deletion of local police records, and resisting police disclosures to regulatory bodies under their common law disclosure powers.

If you have received a police caution, and it is causing you issues, it is possible to apply to the police for police caution removal. If you have applied for police caution removal and the police have refused to delete your caution you can appeal your police caution removal case to the High Court. It is preferable in any police caution removal case to persuade the police to remove your police caution, rather than resorting to the Court for removal of your police caution.

A simple police caution will not show up on a basic DBS certificate, and so if you only ever need a basic DBS certificate, a police caution may not cause you any issues, and you may not need to apply for police caution removal. The only exception to this is if you have received a conditional police caution, in which case your police caution will be revealed on a Basic DBS check for the length of the conditions, up to a maximum of three months.

A caution is “spent” immediately for the purposes of a basic DBS check, save for a conditional caution (as detailed above). A caution is “protected” after 6 years, unless the offence appears on the DBS’s list of non-filterable offences. Once it is protected, it will become “filtered” from a standard and enhanced DBS certificate.

If your caution is not protected, and it is causing you an issue, you can apply to the police for police caution removal – if the police refused to delete your caution, you can appeal your case to the High Court.

Platts Solicitors