Fitness to Practise Procedure

Introduction
Procedure for Dealing with Allegations of Professional Misconduct or Professional Unsuitability
Procedure for Appeals against Decisions of the Professional Practice and Conduct Committee

Word version

Fitness to Practise Procedure

Introduction

All University students are required to comply with the regulations of the University regarding conduct. Students enrolled on courses where a practical professional placement is required (including health, social work and education) have additional responsibilities placed upon them regarding not only their conduct but also their professional suitability, as outlined in relevant regulatory and/or professional body codes of practice. Failure to meet these responsibilities can lead to the Fitness to Practise Procedure being invoked. Students will be notified on registration if their course of study is subject to the terms of this procedure
The Fitness to Practise Procedure applies to all relevant courses leading to awards of the University of Essex, although the office holders identified in Sections A and B below may be adapted where the course is offered through a partner institution of the University.
The Fitness to Practise Procedure is not intended to replace the University’s membership and Criminal Records Bureau, disciplinary or academic offences procedures, though the outcome of a case raised under these procedures for a particular student might also raise issues of fitness to practise. Where a conviction, caution or reprimand comes to light as part of the CRB checking process, the matter is considered in accordance with the Student Membership and Criminal Records Bureau Checks Policy and Procedure. Where a student allegedly commits an act that is actionable under the University’s disciplinary or academic offences regulations then these procedures must be completed prior to instigating action under the Fitness to Practise Procedure.
In the event of concerns that a student may not be suitable for engagement in the relevant profession, the University’s Fitness to Practise Procedure shall be invoked. A student may at any time be suspended or precluded from further study by the University if a concern is raised under the Fitness to Practise Procedure.

[top of page]

Schools/Departments that are running courses where students are subject to the Fitness to Practise Procedure will establish a School/Departmental Professional Suitability Group as outlined in appendix 1 of this procedure.
Concerns about a student’s fitness to practise may be raised from any source, including any member of staff, student, placement partner, member of the public, the Occupational Health Service or other agencies such at the Police or Social Services. Concerns about fitness to practise may involve a range of actions or omissions relating to professional conduct or professional suitability but may include any of the following:
1. actions that are harmful to service users, other members of the public or service providers
2. actions that are likely to constitute an unacceptable risk to the student or others
3. failure to disclose information about previous matters relating to their professional suitability prior to registration on the course, including health, previous convictions and cautions
4. contravention of the relevant professional code of conduct
5. concerns about health¹ or well being, including a failure to seek appropriate medical treatment or other support; reasonable failure to follow medical advice or care plans and treatment resistant conditions which might impair fitness to practise
6. actions that are prejudicial to the development or standing of professional practice.
This Procedure includes normal timescales. Every effort will be made to expedite the overall process and meet the normal timescales. However sometimes circumstances arise which mean that exceptionally the normal timescales will not be met. In these cases the student will be contacted and informed of the adjusted timescale.

A. Procedure for dealing with concerns about a student's fitness to practise

A1
Concerns about the fitness to practice of a student shall be made in writing to the Professional Suitability Group of the Department/School offering the professional course.

A2
It must be borne in mind that an allegation raising concerns about fitness to practise is a serious and potentially defamatory one. Consequently it is essential that the proceedings should be conducted on a basis of strict confidentiality.

[top of page]

A3
On receipt of a written allegation, the Professional Suitability Group, in consultation with the relevant Course Director or equivalent, shall:

take such immediate action as is deemed appropriate in the circumstances to safeguard all relevant parties, but without prejudice to the outcome of the enquiry
normally within five days of receipt of the allegation shall confirm in writing the nature of allegation made, the action taken under A3(a) above and the procedures for dealing with the allegation
normally within ten working days of the receipt of the allegation either:
1. decide no further action is required, or
2. appoint an Investigating Officer from the list approved by the Academic Registrar for this role.

A4
The Investigating Officer shall impartially assemble the evidence relevant to the case in a timely manner. Appropriate methods for gathering evidence will normally include

Interviewing the student concerned, who may be accompanied by a student or other member of the University, the relevant partner institution or the Students' Union if he or she wishes. The interview can be conducted by telephone if appropriate.

and may include:

Interviews with relevant University staff, students, professional or practice partner colleague
Obtaining a written professional opinion on the effect of the student's behaviour or state of health/well-being on their fitness to practise
Obtaining other relevant documents and other information
Obtaining information about the student's progress on the course.

A5
The Investigating Officer shall prepare a written report for the Professional Suitability Group, normally within fifteen working days of the case being referred to him/her. The report shall not pass judgement nor recommend a particular course of action.

[top of page]

A6
If the Professional Suitability Group deems that prima facie case has been made they shall inform the student in writing.

A7
If the Professional Suitability Group deems that a prima facie case has been made against the student, they shall refer the case as expeditiously as possible to a Fitness to Practise Committee which shall be appointed, normally within five working days, by the Pro-Vice-Chancellor (Education). The Committee shall normally comprise the following, but will also conform to the requirements of the relevant professional and/or regulatory body:

a Dean or Associate dean who has no previous involvement with the case as Chair
two members of academic staff from the relevant subject discipline within the School who have had no previous involvement in the case
one practising member of the relevant profession who is from outside the University and who has not been associated with teaching the student.

A8
The Secretary of the Fitness to Practise Committee shall be the Academic Registrar or his/her representative.

A9
The Professional Suitability Group shall submit to the Secretary of the Fitness to Practise Committee all relevant evidence, including the report of the Investigating Officer, and a case summary. The Secretary shall convene a meeting of the Committee as soon as possible and send copies of the evidence to the members of the Committee and at the same time to the student concerned a minimum of ten working days before the meeting.

A10
The student should submit to the Secretary of the Fitness to Practise Committee any papers for the consideration of the Committee at least five working days before the meeting.

A11
All representations to the Fitness to Practise Committee should be submitted in writing. Exceptionally the Committee may ask for witnesses to attend in person.

A12
The student will normally be required to attend the meeting of the Fitness to Practise Committee in person. In the event of their non attendance, without very good reason, the Committee meeting will continue in their absence.

[top of page]

A13
If the student wishes, they may bring to the Committee meeting a student or employee of the University, the relevant partner institution or the Students’ Union to help him/her in presenting his/her case to the Committee.

A14
The Head of Department/School or another member of the Departmental/School Professional Suitability Group will attend the meeting of the Fitness to Practise Committee to set out evidence relating to the concern. The Head/member of Professional Suitability Group should not propose or comment on any outcome or penalty which might be imposed.

A15
The Head/Professional Suitability Group member is not a member of the Committee and can only attend when the student is present (not before and after). Head/Professional Suitability Group member is not permitted to ask questions of the student during the meeting except through the Chair.

A16
The Fitness to Practise Committee will operate on the principle of ‘the balance of probability’ rather than that of ‘beyond reasonable doubt’.

A17
The conduct of the Fitness to Practise Committee is at the discretion of the Chair but shall normally proceed as follows:

The members of the Committee have a preliminary discussion without the student, the student’s representative or the Head/Professional Suitability Group member being present.
The student, the student’s representative and the Head/Professional Suitability Group member enter the room and the Chair introduces all those present.
The Chair checks that the student has received details of the concern and any supporting documentation.
The Chair explains the order of proceedings to the student.
The evidence relating to the concern about fitness to practise is then presented by the relevant Head or member of the Professional Suitability Group, and members of the Committee, the student and the student’s representative are invited to put questions to them.
The Chair then invites the student to put forward a case orally if he or she wishes to do so including any mitigation, and members of the committee (but not the Head) are invited to put questions to the student.
The Chair invites the student’s representative to put forward any additional statement.
Exceptionally the Committee has the power to call witnesses who shall only attend to present their evidence and to answer questions that the Committee or other party may put to them through the Chair. Once their evidence has been heard and there are no more questions, witnesses shall be required to withdraw.
The Chair invites the student to make any final response.
The student, the student’s representative and the Head/Professional Suitability Group member are then asked to leave the room. The Committee then deliberates and comes to a decision. If the Committee is unable to reach a decision then the Committee may be adjourned.
If the Committee finds on the balance of probability that the case is proven, they determine any further action or sanction, clarifying the reasons for the choice of penalty.
The student is then recalled to the room and is told the decision, the reason for the decision and details of any further action or sanction if appropriate. The Head /Professional Suitability Group member may be present during this final stage.

[top of page]

A18
Only members of the Committee and the Secretary shall be present while a Committee is reaching a decision on the outcome, or on any penalty or other action.

A19
The Committee shall have the power to seek such other evidence as it deems necessary. The Committee may be adjourned to allow for such evidence to be gathered.

A20
If the Committee decides that the fitness to practise concern is unproved, it will dismiss the case.

A21
If the Committee decides the fitness to practise concern is proven then it shall have the power to do any one or combination of the following:

Permit the student to continue on the course with no further action required
Permit the student to continue on the course with adjustments
Issue a formal warning
Discontinue the placement and institute arrangements for locating an alternative placement if this is permitted under the Rules of Assessment
Require the student to intermit from the course for a defined period of time with return subject to conditions
Require the student to withdraw from the course because they are unfit to practise
Impose such other penalty as it considers appropriate, provided that no such penalty requires or implies a concession or exemption under the Rules of Assessment

A22
The Secretary shall confirm to the student and the Head of Department/School concerned in writing within five working days the decision, the reason for the decision and details of any sanction or further action. The student shall be informed of the right to appeal against the decision in accordance with Section B (below).

A23
If the fitness to practise case against the student is found proven, the Head of Department/School and the Academic Registrar shall decide whether a report should be made to the relevant professional or regulatory body and/or the student’s employer, if applicable. The student will be informed in writing whether such a report will be made.

[top of page]

B. Procedure for Appeals against Decisions of the Fitness to Practise Committee.

B1
Written notice of appeal by the student must be lodged with the Academic Registrar within five working days of the student being informed of the decision by the Fitness to Practise Committee.

B2
In the event of an appeal, the Academic Registrar and the Pro-Vice-Chancellor (Education) shall decide whether the grounds for the appeal are covered by the provisions of paragraph B5 below and warrant further consideration by a Fitness to Practise Appeals Committee. If they agree that there are no grounds for further consideration of the appeal, the Academic Registrar shall inform the student in writing giving the reasons for that decision.

B3
If the Academic Registrar and the Pro-Vice-Chancellor (Education) decide that the appeal does warrant further consideration, the Academic Registrar shall refer the case to a Fitness to Practise Appeals Committee which shall be appointed by the Pro-Vice-Chancellor (Education) and which shall normally comprise:

a Chairman who shall be from a different Faculty from that relevant to the course
one member of staff from the relevant subject and professional discipline within the Faculty concerned who shall not be the Head of Department/School or the Investigating Officer or a member of the Professional Practice and Conduct Committee
one senior practising member of the relevant profession who is from outside the University and who has not been associated with the teaching of the appellant.

B4
The Secretary of the Committee shall be the Academic Registrar or his/her representative.

B5
The grounds for the appeal shall be one or more of the following:

that new evidence had become available that could materially affect the Fitness to Practise Committee's decision
that there was evidence of procedural irregularity or prejudice or bias in the conduct of the hearing by the Fitness to Practise Committee.

B6
The Committee shall have before it all documents relating to the original hearing, together with a written statement submitted by the student setting out the grounds for the appeal. The Committee shall not proceed by way of a re-hearing, but shall have power to require the presentation of such further evidence as it deems necessary.

B7
The Committee shall have the same powers as the Fitness to Practise Committee and may confirm the decision of the Fitness to Practise Committee or substitute such other decision as it considers appropriate.

B8
When the Committee has reached its decision, the Secretary shall inform the student and the Head of Department/School concerned in writing.

[top of page]

B9
If any action had been taken under paragraphs A23 above to inform the relevant professional or statutory bodies and/or the student’s employer, the Head of Department and the Academic Registrar shall decide whether any further report should be made to the professional or statutory bodies and/or the student’s employer concerned in the light of the decision of the Committee.

B10
The decision of the Fitness to Practise Appeals Committee shall be final.

B11
The Office of the Independent Adjudicator for Higher Education (OIA) provides an independent course for the review of student complaints or appeals. When the University’s internal procedures for dealing with complaints and appeals have been exhausted, the University will issue a Completion of Procedures letter. Students wishing to avail themselves of the opportunity of an independent review by the OIA must submit their application to the OIA within three months of the issue of the Completion of Procedures letter. Full details of the course are available on request and will be enclosed with the Completion of Procedures.

Kirstie Sceats
Academic Officer (Health Courses)
Registry
May 2012

¹By Health we are not referring to pre-existing medical conditions or disabilities that the student has already disclosed and where reasonable adjustments have been made to enable the student to access their study. Cases will be considered where disability prevents the student meeting the core competences after adjustments have been considered or made or where this has implications for the safety of the student, patients, service users or colleagues

[top of page]

Appendix 1 Guidelines on the Operation of a Departmental Professional Suitability Group

These guidelines are only relevant for Departments/Schools that are running courses where a professional or regulatory body has concerns for a student’s fitness to practise. These students will be subject to the Fitness to Practise Procedure.
Any concerns raised under the Fitness to Practise Procedure, will initially be made to a Departmental/School Professional Suitability Group so all relevant Departments/Schools will need to establish such a group.
There are a number of different policies and procedures where the outcome for a particular student might raise issues of fitness to practise. These procedures operate separately from each other but there is a need for them to be considered as a whole in assessing a student’s suitability for practice.
Information on Academic Offences cases, Disciplinary cases and Progress cases will be reported to the Professional Suitability Group with the Department/School.
The Professional Suitability Group will receive and consider reports from all the relevant sources and then make appropriate referrals
Professional Suitability Groups will vary in operation dependent on the needs of the department/school and the relevant professional/regulatory bodies.
In departments/schools which run courses for which it is a requirement, the Professional Suitability Group will consider all students who need to be ‘signed off’ as being of good character as part of their programme of study and will make the appropriate report to the Board of Examiners.
Departments/schools must ensure that students are informed of the operation of the departmental Professional Suitability Group and other processes relating to fitness to practise. This information should appear in student handbooks.

Constitution of a Professional Suitability Group

The constitution of the Professional Suitability Group will vary in operation dependent on the needs of the department and may need to take account of the requirements of relevant professional/regulatory bodies. The membership of the group may vary dependent upon the reason it has been convened.
The minimum requirements for membership of the group are:
- The Head of School/Department will chair the group
- There shall be at least two other members
- A majority of the members of group should be members of staff working on courses where the students are subject to the Fitness to Practise Procedure
- Other individuals may be co-opted into the group as appropriate. This may include, for example, the Programme Lead for a particular student under consideration or a member of staff with a particular clinical of professional background relevant to the case under consideration

[top of page]

Remit of the Professional Suitability Group

The Professional Suitability Group will:

only consider students who are on programmes which are subject to Fitness to Practise Procedure
have a remit to consider any report submitted to it as part of the Fitness to Practise Procedure
will, where relevant, consider any student on courses where students are required to be signed off as being of good character as part of their course, and either confirm to the Exam Board that there are no issues to raise, or deal with any issue arising under the Fitness to Practise Procedure
be a central point, established at Departmental/School level, to which the outcomes of a number of different processes can report. These are: Disciplinary procedures, Academic Offences Procedures, outcome of Progress Committee, Exam Board. It might also consider reports from Occupational Health, Student Support, or reports made directly from a placement.
Have the referral powers as outlined under the Fitness to Practise Procedure

Operation of group

The Professional Suitability Group will meet on an ad hoc basis, and may meet ‘virtually, to consider any referral made as outlined in the Fitness to Practise Procedure, keeping to the appropriate timescale where required.
For programmes where it is a requirement, the Professional Suitability Group will also need to meet before relevant exam boards, to review all students on the programmes to verify professional suitability and make referrals if necessary
A record should be kept of all cases considered by the Professional Suitability Group, noting decisions made.

[top of page]

| | | | | | |