Working with us - Your Regulatory Matter

Important information about Regulatory

Hearings

November 2015

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Midgie Bite #16

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Contents

3. About Thompsons Scotland

3. Funding your case.

3. This Leaflet

4. Background

4. Revalidation of Nurses—does it have a role on Fitness to Practice?

5. What are the Regulators for?

5. Who refers cases to Regulators?

5. What type of issues are referred?

6. Scope of Misconduct

6. How does the process start?

7. Should I advise my employer?

7. Voluntary Orders

8. What form will the investigation take?

9. What if they decide there is a case to answer?

10. Interim Order Hearings

11. Evidence at the hearing

11. Preparing your Evidence

12. Witnesses

13. NMC Room Layout

14. GMC Room Layout

15. Reforms to the General Medical Council process

21. Hearing

22. The Legal tests.

23. The Decision

23. Conditions of Practice

24. Locations

24. Appeals

24. Alternative mechanisms to resolve disputes

25. Media Coverage

26. Disclosure Scotland and Protecting Vulnerable Groups Scheme

26. Any queries or disputes must be raised with Disclosure Scotland within three months of the date of the issue of the Disclosure

27. Your Representative

28. Our Offices

28. Complaints

28. Our respective responsibilities

29. Useful Contacts

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About Thompsons Scotland

At Thompsons Scotland, we only work for employees and victims of accidents and injuries and Trade Unions. We never represent companies. Thompsons’ specialist Employment Rights Unit leads the field in winning dignity and fairness for people at work. We act for workers who believe they have been denied their rights at work. This could be the right to a job, to equal pay or to be able to work free from discrimination and harassment. Thompsons Scotland whole heartedly supports the trade unions and labour movement. It is our belief that joining a trade union is the best way to protect your interests at work. But we don’t just deal with employment rights. We are also proud to help workers in Scotland with personal injury and asbestos related illness cases. (further information, see page 14). We win over £1 Million a week in compensation for our clients. To find out more about Thompsons Scotland, go to www.thompsons-scotland.co.uk.

Funding your case You can choose to instruct us direct or decide to use the unique funding scheme created with Airdrie Savings

Bank, Britain’s only independent savings bank designed specifically to assist individuals seeking to fund our

advice and representation. Should you wish to use this unique funding scheme with Airdrie Savings Bank (you

do not require to be an existing customer of the bank) all you are required to do is go through an easy 4 step

online loan process

1. Step 1 – Confirm Loan

2. Step 2 – Personal details

3. Step 3 – Employment

4. Step 4 - Income and Expenditure

You will need to provide copies of 3 months wage slips and bank statements (you will be prompted to be

provided to Airdrie Savings Bank at info@airdriesavingsbank.com). Once this has been done all you need to do

is provide Thompsons (help@thompsons-scotland-scotland.co.uk) with confirmation of your loan and we can

arrange with you work on a “no win no fee” basis to secure the best reasonable outcome.

This Leaflet Please note, if you are receiving this leaflet along with a letter engaging you as a client of this firm, this letter forms part of our advice to you about your case. You should read it carefully. If you are reading this leaflet and you are not a client of this firm, then the information that follows is for information only and does not constitute legal advice. You should always seek formal legal advice about your case before deciding what to do next.

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Background Health and social care professionals who work in the UK must be registered with one of the 13 Regulators listed in this leaflet. This booklet is aimed at providing some information as to how Regulators operate in Scotland. There are additional Healthcare Regulators in the UK including the General Osteopathic Council, the General and Pharmaceutical Council, The Pharmaceutical Society of Northern Ireland and the General Medical Council. Please note that in England, Wales and Northern Ireland the equivalent of the Scottish Social Services Council are the Health Professions Council, the Care Council for Wales and the Northern Ireland Social Care Council, each operated under broadly separate regulations.

Revalidation of Nurses—does it have a role in

Fitness to Practice? With effect from April 2016 all nurses and midwives will have to complete a self declaration supported by a senior healthcare “confirmer” to maintain their registration and will require to revalidate every 3 years to demonstrate that they practise safely and effectively and replaces the current requirements and nurses and midwives will require to revalidate every 3 years when they renew their place on the register. Although the NMC describe that they have no plans to routinely review the evidence provided as part of the Revalidation process it may be that this evidence can be of assistance for practitioners who wish to demonstrate evidence of current practice and insight in appropriates cases.

Revalidation has been trialled across the UK including in Tayside in Scotland and is said to build on existing renewal requirements by introducing new elements which encourage nurses and midwives to reflect on the role of the Code in their practice and demonstrate that they are ‘living’ the standards set out within it. The requirements for revalidation include:

450 practice hours or 900 if revalidating as both a nurse and midwife

35 hours CPD including 20 hours participatory learning

Five pieces of practice related feedback

Five written reflective accounts

Reflective discussion

Health and character declaration

Professional indemnity arrangements

Confirmation

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What are the Regulators for? The function of the Regulators is to protect the public and uphold the reputation of the profession. There are in general no time limits to bring proceedings and the Regulatory bodies can consider cases where events took place many years ago, even at a time when you were not registered.

Who refers cases to Regulators? Anyone can raise a concern about a registered professional. This includes members of the public, employers and other registrants. Just because your employer does not commence a disciplinary investigation into allegations against you does not mean that your regulator will not commence an independent investigation. Regulators are separate from your employer and are not bound to follow disciplinary decisions made by them. It is therefore possible that your employer could clear you of misconduct allegations but your regulator could uphold them. This may also apply in reverse. The police will normally let a relevant Regulator know about criminal proceedings against a registrant. In some cases the Regulator can refer cases to the Police for investigation should there be any alleged criminal conduct. A Regulator may consider an anonymous complaint, so long as there is sufficient evidence to back it up.

What type of issues are referred? The types of cases most Regulators will consider are those that question whether fitness to practise is ‘impaired’ (negatively affected) by: • misconduct (such as inappropriate behaviour, dishonesty or deliberate clinical failings); • a lack of competence (not having the necessary skills and knowledge); • a conviction or caution for a crime in the UK (or somewhere else for an offence that would be a crime if it was committed in the UK); • physical or mental health; • a determination (a decision) made by another Regulator responsible for health or social care; or • being included on a barred list which prevents you working with vulnerable adults or children. Regulators can also consider allegations about whether your entry to their Register was made fraudulently or incorrectly. This might be the case if, for example, you gave false information when you applied to be registered or you were registered by mistake.

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Scope of Misconduct Each regulator operates a code of conduct which sets out the standards of professional behaviour expected of you as a professional. You should read and familiarise yourself with this code prior to any hearing. Please note that codes of conduct vary over time and your conduct will be judged against the code which was in place at the time of the incident. The Regulator will identify which sections of the code you are said to have breached. For example, they may say that you have breached Rule 1.1 of the NMC code by failing to “treat people with kindness, respect and compassion”; or that you failed to “complete all records at the time or as soon as possible after an event, recording if the notes are written some time after the event” contrary to rule 10.1 of the Code. In order to properly prepare your defence, you will need to apply your professional knowledge and expertise to the alleged breaches of your professional code and explain to your legal advisers why, in your professional opinion, your actions do not constitute a breach of the code. Please note that your advisers will not be aware of the specific professional obligations which apply to you under each section of your code: you must supply the detailed technical knowledge (for example, relating to policies procedures and standard practices) in order for us to properly prepare you defence.

You should be aware that the Regulator will not limit itself to considering conduct which occurs at work. If the regulator is concerned about conduct outside of work which may be criminal or which may call into question your character then they may take proceedings against you on that basis. In particular, allegations that you have behaved dishonestly, abusively, violently or otherwise in a manner which is below the level expected of your profession, may prompt your regulator to become involved. You should ensure that in all your public and private dealings that you conduct yourself in a manner which is consistent with the values of the profession to which you belong.

How does the process start? Regulatory proceedings usually begin with a letter from the Regulator requesting comment on a complaint or other cause for investigation. Look at the Regulator’s website and diarise to regularly review it to check the status of you registration. You should also check for the dates of hearings in your case and monitor outcomes in cases where similar allegations are made. It might be useful for you to attend a public hearing in advance of your own case in order to develop a better understanding of the process.

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Should I advise my employer? The first thing to do when you receive such a letter is to consider whether you are legally or ethically obliged to inform your employer. An employer may expect an employee to make them aware of any matters which may relate to their ability to perform the role in which they are employed. Whether you have a legal obligation to inform you employer about an allegation made against you outside of work depends on the terms of the contract. An allegation made against you in work is likely to be known to your employer and if it is not your contract may well provide that the employer should be told. The contract might refer to other documents for terms. As regards allegations made outside of work the position is likely to depend on the nature of the allegation, its potential connection to work and the terms of the contract. In one case heard recently by the Employment Appeal Tribunal it was held on the facts of that case that there was no implied contractual term (ie not an expressly agreed term) that an employee must disclose to his main employer an allegation against him of sexual impropriety which had occurred in another post to the one he was employed in. In addition, you may have a professional obligation to notify your employer of any question which has been raised as to your fitness to practise (whether in the role you perform for that employer or any other role with a different employer). We would also caution that if you are applying for a new job while fitness to practise proceedings are ongoing, it would be prudent to disclose this to any prospective employer.

Voluntary Orders Some regulators may offer to impose a certain sanction on your registration by agreement. They will often write to you with a draft notification of what the sanction to be placed on your registration will look like. Please note that this is notice is only a draft of what any agreed sanction will be. If you have not already indicated your agreement to a sanction in writing or been subject to an order imposed by an independent panel then the regulator has no power to impose an order on their own. If you are happy to agree to the proposed sanction you should firstly seek advice from your appointed representative. If you are still happy to proceed with a voluntary order, you should sign and return the offer from the regulator indicating your acceptance. Voluntary orders can be helpful in some cases. They avoid you having to attend a hearing and allow you to know with certainty what sanction is going to be imposed in your case. However, you must remember that you are not obliged to agree to any offer made by the regulator, particularly where the allegations are denied. You are entitled to insist that your case is heard by a full independent panel. While they will have the power to impose a more serious sanction, you may also be able to persuade them that the charges against you are ill founded or that a lesser sanction should be imposed.

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What form will the investigation take? What happens next will depend on the rules of the particular Regulator. Generally the Regulator will write to you at the outset explaining the process. While all Regulators will have dealt with groundless complaints they have no means of knowing this until they have looked into the facts. Even if an allegation appears to you to be unjustified the Regulator can't ignore it and neither should you. Generally the best course is to co-operate and to respond promptly to correspondence. A failure to co-operate with the Regulator’s investigation may count against you later in the proceedings. That does not mean you have to accept the content of the allegation against you; simply that you should not disengage with the process. The only restriction on co-operation with a regulator may arise where the allegations may also be the subject of criminal proceedings. In that case, you should seek the advice of your criminal lawyer prior to making any formal comment to your regulator.

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What if they decide there is a case to answer? If the investigation shows no cause for action to be taken against you then that will be the end of the matter. However, if the Regulator does decide to bring proceedings against you, you will be served with formal documents setting out the charges and the case against you (i.e. the facts which the Regulator believes they can prove). You will be expected to respond to these in writing. You should consider whether the charges amount to professional misconduct. You should review the terms of the professional code which was in place at the time of the allegation and consider whether the allegations breach any of its terms. If you are unable to comply with any requests from the regulator (for example, to respond within a time period or attend a hearing date) you should explain why and request an extension of time or a discharge of the hearing. You should provide any supporting documents along with this request. Your Regulator will expect fitness to practise proceedings to take priority over all other professional and social engagements (with the exception of court appearances, bereavement and the need for medical treatment). You are entitled to fair notice of the hearing. If you believe that you have been given insufficient time to prepare your defence you should write to the Regulator to say so. You may be entitled to disclose to the Regulator (but to no one else) confidential client or patient information if that information is necessary to resist a charge of misconduct. However, you should always seek the client's written permission before doing so. You should not disclose any document prepared for a criminal case by the Crown office without their express permission. In the more formal types of investigation you may be required to attend for interview with the Regulator. This is likely to be recorded and may be used against you at any future hearing. An interview should not be conducted like an ambush; you should be informed of what is going to be discussed beforehand. There shouldn’t be any objection to your lawyer being present if you have instructed one. If you have a concurrent criminal case, you should seek advice on your right to silence and whether you wish to exercise it in these circumstances.

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It can often take a number of years for a regulator to prepare and schedule a full hearing to determine the allegations against a registrant. During this time, your regulator may wish to restrict or prohibit your practice on an interim basis, particularly where the allegations are of a particularly serious nature. In these circumstances, the regulator will appoint an Interim Orders Hearing. The Regulators look to determine whether an interim order is necessary by applying a 3 stage process: A consideration of whether there appears to be a sufficiency of evidence to support the allegations. The

purpose at this stage is not to examine or test the evidence against the Registrant, but simply to ask, if they assume the evidence was accepted at a later (full) hearing, would the allegations be found established?

A consideration of the risk these allegations, if proved, pose. The risk can either be to Service Users or to the wider public interest

The final stage involves a consideration of the least restrictive steps a sub-committee can take to address

the identified risk. Where a registrant is able to formulate and propose a set of conditions which fully mitigate the risk it is possible to ask the Regulator to apply these. It is therefore important that you have already considered whether your employer would allow you to act in a restricted capacity. You should also identify a suitable contact within your employer with whom contact can be made to confirm this. It may also be possible to argue that an order requiring you to undergo further training might mitigate against the identified risk. However, if no such conditions can be identified, or where such conditions are not workable or enforceable, the Regulator may impose a suspension. If your registration is suspended, you will not be permitted to work in a registered post either for the period of the Interim Order or until the allegations have been tested before a conduct sub-committee. The length of an Interim Order will vary depending on a range of factors, but the Regulator will want to ensure that it is sufficiently long to allow the Regulator to fully prepare its case. An Interim Suspension Order cannot be extended beyond an initial period without approval by a higher court. You would be notified by the Regulator if such an application was made to extend. A registrant may request reconsideration of an Interim Order at any time if he can show exceptional circumstances or a material change in his circumstances. The Regulator itself may review an Interim Order decision if new evidence comes to light. Where you are legally represented at an interim orders hearing, you should not assume that your Representative will elect to exercise its discretion to instruct representation at any subsequent hearing. It is your responsibility to respond and co-operate with the Regulator throughout the regulatory process.

Interim Order Hearings

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If an interim order is imposed on your registration it will be reviewed on a regular basis. If there has been no change to your circumstances, you may not wish to oppose the continuation of the order. For example, you may have been ordered to undertake training which you have not completed by the time the order is reviewed. In these circumstances, your local union branch would usually assist you to draft written submissions to the regulator. This avoids you requiring to travel to any hearing. If you wish to challenge the existing order because your circumstances have changed, you should make that clear to your advisors. As soon as your receive

notification of any review hearing, you should notify your branch.

Evidence at the hearing The Regulator will present their evidence on the facts of the allegation first. Your representative will then have the opportunity to question their witnesses. You will then be allowed to present your evidence on the facts. This will usually involve you giving evidence. If you give evidence you may be asked to make an oath or affirmation that you will tell the truth. You will then be asked a series of questions about the issue which the panel is considering. Questions may be asked by your representative, the lawyer asking for the regulator and the panel. In some cases you may be required to provide a Written Witness Statement for the Panel before the hearing starts. If you are required to provide such a statement you should carefully read and consider the statement as this will be taken as your evidence. Where such a statement is used the Panel may then ask you to read your witness statement out loud.

Preparing your Evidence If you think that the Regulator has information additional to that which has been served on you which you believe may be helpful in your defence you should ask to see it at once. If the Regulator declines to provide it you have the right to ask the Panel to direct him to do so (although he may argue that there are legal reasons why he should not). In the most complex types of hearing you may be required to attend a pre-trial hearing of the tribunal or its chairman. The purpose of this is to deal with issues such as timetabling, disclosure of documents, admissibility of evidence and challenges to the validity of a charge. Generally speaking an employee will not have a right to have legal representation at an internal employer’s disciplinary hearing. The contract could provide such a right but is unlikely to do so. The courts are very unlikely to find there is such a right to be implied. The position is probably different where the proceedings are before a professional or regulatory body and the issue to be decided potentially affects the person’s ability to practise their chosen profession.

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Witnesses Most Regulators do not have power to compel attendance of witness. In relation to a full hearing on the merits it is not uncommon for a regulator to invite colleagues and other fellow professional to attend to give evidence against you. With their agreement, you are entitled to ask any witness to attend the hearing to give evidence on your behalf. As with any legal process, a witness who attends the hearing can be asked questions by both sides. This can be damaging for your case as they may be able to provide negative as well as supportive testimony. It may be that your Trade Union will be able to assist you in locating relevant witnesses, documents or training courses so it is important that you maintain contact with your Trade Union officer An expert witness may be allowed to be present throughout the proceedings. However, any other witness will not be allowed to hear evidence in the case before they give evidence. If anyone refuses to give evidence on your behalf you can inquire of the Regulator whether it has power to compel his attendance. Unfortunately, most regulators do not have a legal power to compel the attendance of witnesses. However, where the witness is a regulated professional, they may have a professional obligation to attend. In most cases, it will be helpful to obtain testimonials or character references from your colleagues. References should state that the writer is aware of the allegations you, set out their relationship to you and state how long they have known you. It will be relevant how recent the reference is, the expertise of the writer and whether the writer is aware of how their reference is going to be used. The reference should be signed. We may ask helpful referees to attend the hearing to give evidence. You should make them aware of that possibility.

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NMC Room Layout

The NMC website also provides a useful “virtual online tour” showing the typical layout.

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GMC Room Layout

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Reforms to the General Medical Council process

The GMC rules have been recently reformed and it has been suggested that many of these changes were required to implement changes to the new Medical Act which were approved by Parliament in March.2015 These wider reforms include giving the GMC a new right to appeal decisions made by Medical Practitioners Tribunal Service panels where it's believed they do not give sufficient protection to patients and the public, placing the MPTS in statute for the first time (following which it will be accountable to the UK Parliament as well as to the GMC) and allowing the MPTS to award costs if either party (the GMC or doctor) doesn’t comply with a rule or direction made by a case manager and behaves unreasonably in the conduct of proceedings. The GMC had sought views on a small number of other changes (not related to the changes to the Medical Act) which they suggested would make its processes leaner and clearer. These include removing the need to tell a doctor’s employer that they have received a complaint until they have decided whether there is concern that requires investigation. Importantly and while the majority of those who responded to the GMC Consultation were not in favours of its proposed costs system the GMC have said they will implement same . Separately and while these hearings are presently based at the GMC offices in Manchester Scottish doctors are permitted to instructed Scottish Lawyers at these hearings and there have been calls for to follow the approach of other health care regulators to appoint hearings in Scotland where the doctor is based here. It should also be noted that for Scottish based doctors an appeal to the court from the GMC would be to the Court of Session in Edinburgh.

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Disciplinary tribunals are usually conducted in the same way as civil proceedings in the ordinary courts, although less formal. You should expect to be provided in advance of the hearing with a note of the procedure; it's worth studying this carefully. Commonly the panel members leave it to the Regulator and the person being investigated to produce the evidence. You should anticipate that the hearing will be held in public. Regulators will be reluctant to agree to hold a hearing in private against the possibility of a legal challenge and the general approach that Hearings should be open to the public. You will be asked to give evidence at the hearing. This will involve fielding questions from your own representative and the lawyer acting for the Regulator. Although this can be a stressful experience, it does not resemble the kind of examination that you see in television court room dramas. If for any reason you do not understand a question (for instance because it is very long) you can ask for clarification. You should not be worried if you genuinely do not understand and the Panel and your representative may assist you. The Tribunal panel may also ask you questions. When you are responding to questions you should give a clear and honest answer. You should try not to become upset, agitated or angry. However, if you do, you can ask for a brief pause to allow you to collect yourself. If at any stage you want to leave the room you should ask your representative to request an adjournment. However, you will not be permitted to discuss your evidence with your representative or any other witnesses whilst you are still under oath, i.e. whilst you are still giving evidence or being cross-examined on your evidence. You should not discuss your evidence with other witnesses before they give their evidence (this reduces the risk that the other witnesses recollection is criticised as being influenced by you). You must address your answers directly to the Panel rather than to the representative who asked the question. Whilst listening to any other witnesses’ evidence you should not make any verbal comments as this can create a bad impression with the panel. However, you should pass written comments to your representative if you believe that there are specific issues that your representative needs to raise or be aware of when cross-examining witnesses. If you have particular requirements, for example a translator, or require adjustments to the hearing process because of a disability you should let us know at the earliest opportunity so that we can inform the Regulator.

What happens at a hearing?

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Hearing

The layout of different Regulatory Hearings do vary – the following diagrams are intended for illustration purposes only.

HCPC Room Layout

SSSC Room Layout

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The Legal tests The Regulator has to prove the facts of their case on the balance of probabilities. That is, they have to establish that it was more likely than not that you did what they say you did. The NMC and HCPC operate a “Fitness to practise” model of regulation. This involves the panel answering the following questions: Are the facts of the allegation proved? Do the facts amount to misconduct or a lack of competence? As a result of this misconduct/lack of competence, is the Registrant’s fitness to practise currently impaired.

If the Registrant’s fitness to practise is currently impaired, what is the least serious sanction which should be imposed in the public interest and/or in order to protect the public?

The SSSC process is shorter. It simply asks: Are the facts of the allegation proved? f so, do they amount to misconduct? If so, what is the appropriate sanction, taking into account mitigating and aggravating circumstances? It is always helpful to limit the first stage of the process by agreeing evidence with the regulator wherever possible. For example, it can be agreed that certain acts of misconduct are accepted and are in breach of the relevant code of conduct. There is an independent legal assessor present at the hearing to advise panels on matters of law and procedure The legal assessor may retire with the panel when it makes any decision, but you should always be told what advice he has given

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The Decision After all the evidence has been read or heard and both sides have had the chance to sum up their case, the panel will retire to consider their decision on each of the legal questions to be determined. They will commonly announce the decision the same day, but occasionally may adjourn for a period to consider it further. If the tribunal regards your misconduct as particularly serious, it may be considering strike off. If there is a situation which led to the misconduct (insolvency, marital breakdown, alcohol abuse, medical issues) which is no longer relevant because you have taken or arranged for remedial treatment or action, you should tell the panel and be in a position provide corroborative evidence. If competence is in issue it would be helpful to be able to show the panel that a relevant refresher course would be appropriate. You should always think hard about what happened and show insight and reflection. You may wish to tender letters from respected people indicating that your conduct was out of character or unlikely to be repeated. You should certainly tell the tribunal of any circumstances which would make any order particularly harsh on you or your family. All Regulators have a range of possible disposals open to them; Take no further action Caution you (and place a warning against your name on the Register for usually between 1 and 5 years). Set conditions of practice such and requiring that you work under supervision and or more training. Suspend you from practising for a specific period. trike your name from the Register (which means it would

be unlawful for you to practice).

Conditions of Practice It is open to the Regulator to decide to impose conditions on your registration. These may include a requirement that you do not practice unsupervised, do not administer medication or that you keep a reflective diary. The Regulator can impose any condition that may be suitable to the circumstances of your case. Prior to imposing these conditions, the Regulator will seek evidence on whether the conditions are workable and enforceable. Most Regulators will undertake to obtain this evidence themselves but some (e.g. the SSSC) will ask the Registrant to do so. Prior to attending any hearing at which conditions may be imposed, it is therefore important to identify an individual from your employer who has the authority to advise the Regulator of the employer’s opinion of the workability and enforceability of proposed conditions. If your employer is hesitant about expressing an opinion, you can remind them of their obligation to cooperate with the investigations of the Regulator.

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Locations The Scottish Social Services Council operates from Dundee and it should be assumed that you would be expected to travel to Dundee for any hearing. The Nursing and Midwifery Council operates in Edinburgh and the HPC will hold hearings in various locations in Scotland. Hearings are commonly held in “conference hotel” locations with various rooms booked for the hearings. The General Teaching Council Scotland operates from Edinburgh.

Appeals If the Panel has made a mistake in Law when considering matters and has imposed a sanction it may be possible to lodge an Appeal. Appeals are complex and costly. It should not be assumed that that your Trade Union would choose to exercise it discretion to support appeal on the basis that you disagree with the decision of the Regulator. Commonly a Trade Union with finite resources may consider an appeal only where the matter raised is one of general strategic significance to the wider membership of the union. In relation to the decisions of the Scottish Social Services Council you would require to lodge an appeal within 14 days of the decision with the Sheriff Court in Dundee. In the case of the NMC the time limit is 28 days and any appeal in Scotland would be to the Court of Session. The time limit for any appeal against the HCPC is also 28 days and again any appeal in Scotland would be to the Court of Session. The time limit for an appeal against the GMC is again 28 days and again any appeal in Scotland would be to the Court of Session. The time limit for an appeal against a decision of the General Teaching Council Scotland is again 28 days and again any appeal would be to the Court of Session (or to the General Teaching Council Scotland's Appeals Board). In limited circumstances you can appeal on a finding of fact. If this is the case the Court will have special respect for the judgement of the professional decision making body. We will advise if your Trade Union wishes to support an appeal. You can of course proceed with an appeal outwith your Trade Union’s scheme of legal support. You may face costs in doing so. If you are successful the Regulator may appeal.

Alternative mechanisms to resolve disputes

Please note that the HPC is presently piloting a voluntary mediation project to determine the use and value of such a process to complainants and registrants, and as a means of contributing to ensuring public protection.

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Media Coverage One of the primary functions of any regulator is to ensure that public confidence in the profession is maintained. In some cases, the regulator will want to publicise cases in order to demonstrate to the public that they are actively pursuing registrants whose conduct has fallen short of what is expected. Even if the regulator does not actively publicise your case, there is still a chance that the press may take an interest and report on what happens at the hearing. In these circumstances we would normally advise registrants not to speak to the press as any comments are easily misconstrued. While it is possible to request that your hearing take place in private, this will only be allowed in limited circumstances. For example, where evidence is being led about a registrant’s health the panel will normally agree to ban the reporting of this evidence. However, the Regulator will not agree to close the hearing just because the evidence deals with matters you consider to be private or which are embarrassing or upsetting for you. If you believe there are grounds to request that a hearing be held in private you should make these known to your representative as early as possible. Please note, your union may wish to publicise your case if it is successful.

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Disclosure Scotland and Protecting Vulnerable Groups Scheme Workers who come into regular contact with children and protected adults must be registered under the Protecting Vulnerable Groups Scheme (PVG Scheme) in Scotland (the VBS in England, Wales and N. Ireland). The PVG Scheme operates to ensure that individuals with a known history of harm can be prevented from working with vulnerable groups. All PVG Scheme Members are subject to ongoing monitoring (continuous updating) by Disclosure Scotland.

This means that when you are a PVG Scheme Member your vetting information (e.g. convictions, cautions, children’s hearing findings or other pertinent information from the police) is kept up-to-date. Any new information about you this will be assessed to determine if you are unsuitable to do regulated work with children and/or protected adults.

Where an allegation is made against you that, if proven, may impair your suitability to work with children or vulnerable adults, a complaint can be made to Disclosure Scotland regardless of whether the same complaint has been made to your registration body (if you have one).

Any queries or disputes must be raised with Disclosure Scotland within three months of the

date of the issue of the Disclosure

Where disputes received by Disclosure Scotland relate solely to the accuracy of the information disclosed and after review the relevant Police Force is unable to resolve the matter to the applicant's satisfaction, you may refer the matter directly to the Information Commissioner's Office (“ICO”). More information can be found on the ICO website at: www.ico.gov.uk.

Beyond the ICO and Disclosure Scotland it may be possible in limited circumstances to seek to Judicially Review the decision of the relevant Police Force to disclose the information in question. However, the costs associated with such a legal challenge are extremely high, limited time limits operate and generally the Courts are reluctant to overturn the decision making process of a governmental body set up for the protection of the public. We are not instructed to make any such application for Judicial Review.

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Your Representative We strive at all times to provide a high quality service and a standard of care in which you can be confident. Our aim is to get the best outcome for you in the shortest possible time. That means: • Using plain language • Keeping in regular touch • Responding quickly • Keeping you fully informed • Giving independent advice Thompsons will always ensure that you are represented by a lawyer with the suitable skills and experience for your case. In some cases this will be a lawyer working directly for Thompsons. In other cases, we may instruct an independent advocate or barrister (called “counsel”) on your behalf. Either way, you can be assured that your representative will do everything in their powers to advance your interests at a hearing. Please note that you will either be accompanied by a lawyer working directly for Thompsons or counsel at the hearing; you will not be accompanied by both. The individual looking after your case works as part of a team. If you cannot get in contact with them for some reason, you can speak in complete confidence to another team member, all of whom have the knowledge and experience to help you with your query. If your representative wants to meet with you, we will look to arrange an appointment where possible at a time to take in to account your needs. They will also make any adjustments necessary to accommodate any disability you may have.

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Our Offices Our Scottish network of offices is open during normal office hours (Monday to Friday 9am – 5pm). If you need to contact your representative outside these hours, just ring and leave a message and they will generally call you back within 24 hours. Alternately you can send an e-mail to Team member allocated to your case. Remember to tell us your case reference number – you will find this on the letters we send you.

Complaints We hope that you will have no reason to complain about the service which we provide but you do have the right to complain if that service falls short of your expectations. Initially any such complaint should be directed to Rory McPherson as Department Supervisor. Furthermore, you have a right to complain to the Scottish Legal Complaints Commission, (S.L.C.C.) The Stamp Office, 10-14 Waterloo Place, Edinburgh EH1 3DG (website address www.scottishlegalcomplaints.com and telephone 0131 528 5111) and thereafter to complain against any finding of the S.L.C.C. to the Scottish Legal Services Ombudsman, 17 Waterloo Place, 17 Waterloo Place, Edinburgh EH1 3QL (telephone number 0131 244 3044). The S.L.C.C. operate strict time limits for accepting complaints. A complaint must be made within one year of our service ending or the conduct which is complained of occurring. The S.L.C.C. may disregard any time it considers the complainer was excusably unaware of the concerns which give rise to their complaint.

Our respective responsibilities We have certain responsibilities that we owe you. These include an obligation to: • Review your case regularly • Advise you of any relevant changes in the law Advise you of any circumstances and risks that we know about that could affect your case As our client you agree to: Tell us what you want us to do clearly, accurately and within reasonable time limits Advise specifically on any allegations and your response to same. Provide us with reasonable and prompt instructions in relation to the case including identification of any

relevant witness who may be in a position to materially support your position. Provide reasonable and prompt instructions as to the conduct of any specific hearing in which we are

instructed to provide advice to you in Provide us with all the necessary documentation we need within the time we need it Keep safe any documents that might be needed for a future hearing Tell us of any change in your address or contact details straightaway Share advice in your case with any trade union or organisation providing support for your case

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Useful Contacts

Scottish Social Services Council (SSSC) Social care workers, qualified social workers, and social work students on

approved degree courses in Scotland Phone: 0345 60 30 891 Website: www.sssc.uk.com

Health and Care Professions Council (HCPC)

Arts therapists, biomedical scientists, chiropodists / podiatrists, hearing aid dispensers, clinical scientists, dieticians, occupational therapists, operating department practitioners, orthoptists, paramedics, practitioner psychologists, physiotherapists, prosthetists / orthotists, radiographers, and speech and language therapists

Phone: 0845 300 6184 Website: http://www.hcpc-uk.org/

Nursing and Midwifery Council (NMC)

Nurses and Midwives

Phone: 020 7333 9333 Website: http://www.nmc.org.uk/

General Chiropractic Council (GCC)

Chiropractors

Phone: 020 7713 5844 Website: www.gcc-uk.org

General Dental Council (GDC)

Dentists, clinical dental technicians, dental hygienists, dental nurses, dental

technicians, dental therapists, and orthodontic therapists

Phone: 020 7167 6000 Website: www.gdc-uk.org

General Medical Council (GMC) Doctors

Phone: 0161 923 6602 Website: www.gmc-uk.org

General Teaching Council for Scotland (GTCS) Teachers in Scotland

Phone: 0131 314 6000 Website: http://www.gtcs.org.uk

General Optical Council (GOC) Opticians (optometrists and dispensing opticians)

Phone: 020 7580 3898 Website: www.optical.org

General Osteopathic Council (GOsC) Osteopaths

Phone: 020 7357 6655 Website: www.osteopathy.org.uk

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General Pharmaceutical Council (GPhC) Pharmacists, pharmacy technicians and pharmacy premises in England,

Scotland and Wales Phone: 020 3715 8000 Website: www.pharmacyregulation.org

Pharmaceutical Society of Northern Ireland (PSNI) Pharmacists and pharmacy premises in Northern Ireland Phone: 028 9032 6927 Website: www.psni.org.uk

Other Social care regulators Care Council for Wales

Social care workers, qualified social workers, and social work students on

approved degree courses in Wales

Phone: 0300 303 3444 Website: www.ccwales.org.uk

Northern Ireland Social Care Council (NISCC) Social care workers, qualified social workers, and social work students on

approved degree courses in Northern Ireland

Phone: 028 9536 2600 Website: www.niscc.info

Textphone: 02890 239340

Professional Standards Authority for Health and Social Care (PSA) The Professional Standards Authority for Health and Social Care oversees statutory bodies that regulate health and social care professionals in the UK. They assess their performance, conduct audits, scrutinise their decisions and report to Parliament. The Authority also set standards for organisations holding voluntary registers for people in unregulated health and care occupations and accredit those organisations that meet its standards.

The body was renamed the PSA in December 2012 having previously been known as the Council for Healthcare Regulatory Excellence. Jayne Scott, current PSA Scottish Council Member, was reappointed for four years from January 1, 2013.

It is important to note that the body only has an overview role of social care in England as part of the Health and Care Professions Council’s regulation of social care workers. The regulation of social workers and social service workers is devolved in Scotland and carried out by the Scottish Social Services Council.

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Notes

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Glasgow Edinburgh Aberdeen

285 Bath Street 16-20 Castle Street 42-44 King Street

Glasgow Edinburgh Aberdeen

G2 4HQ EH2 3AT AB24 5TJ

Tel: 0141 221 8840 Tel: 0131 225 4297 Tel: 01224 793 949

Peebles Galashiels

5 Cherry Court 84 Channel Street

Cavalry Park Galashiels

EH45 9BU TD1 1BD

Tel: 0131 473 6616 Tel: 0800 001 5163

Thompsons Solicitors & Solicitor Advocates

are regulated by The Law Society of Scotland and have offices throughout Scotland:

Our sister firm Thompsons LLP are regulated via The Law Society of England & Wales and have offices in:

Newcastle, Manchester, Leeds, Sheffield, Liverpool, Stoke-on-Trent, Cardiff, Chelmsford, Norwich, Nottingham,

Central London, Dagenham, Wimbledon, Oxford, Bristol and Plymouth and have an associated office in Belfast.

Further Midgie Bites Scottish Legal Guides are available - please contact 0141 566 6850 for details, this and

other Midgie Bites are available as Ebooks please let us know which format you would find most helpful.