PART 6SOCIAL CARE WORKERS: FITNESS TO PRACTISE
CHAPTER 2PRELIMINARY PROCEDURES
Preliminary consideration of allegations etc.
118Referral of allegations etc. of impaired fitness to practise
1
This section applies where—
a
an allegation is made to SCW that a registered person’s fitness to practise is impaired, or
b
SCW otherwise has reason to believe that a registered person’s fitness to practise may be impaired.
2
SCW—
a
must refer for preliminary consideration the matter which is the subject of the allegation or its reason to believe that the registered person’s fitness to practise may be impaired, and
b
may refer the matter to an interim orders panel (see Chapter 4).
119Preliminary consideration
1
The person giving preliminary consideration to a matter referred by SCW must refer that matter for investigation under section 125 unless—
a
the person determines that the matter is not eligible for onward referral under section 120, or
b
the person is required by section 121 to refer the matter directly to a fitness to practise panel.
2
The person giving preliminary consideration to a matter may, at any stage, refer the matter to an interim orders panel (in addition to making a referral or determination under subsection (1)).
3
SCW must by rules make provision about the procedure for preliminary consideration which may, in particular, provide for preliminary consideration to be carried out by—
a
one or more persons appointed for that purpose, on such terms and conditions (including remuneration) as SCW may determine;
b
one or more members of SCW’s staff.
4
But rules made under subsection (3) may not provide for preliminary consideration to be carried out by—
a
a person who is a member of—
i
SCW,
ii
the Health and Care Professions Council,
iii
the Scottish Social Services Council, or
iv
the Northern Ireland Social Care Council;
b
a person who is a member of a fitness to practise panel;
c
a person who is a member of an interim orders panel;
d
a prescribed person.
5
SCW must make such arrangements as it thinks appropriate to facilitate co-operation between—
a
a person who has made an allegation that a registered person’s fitness to practise is impaired, and
b
the person giving preliminary consideration to the allegation.
120Eligibility for onward referral
1
A matter is eligible for onward referral unless—
a
the matter relates to conduct or an incident which occurred 5 years or more before the relevant date and none of the exceptions in subsection (4) apply,
b
the person appointed to give the matter preliminary consideration thinks the allegation is vexatious, or
c
where an allegation has been made anonymously, or by a person who fails to co-operate with the preliminary consideration procedure, the person appointed to give the matter preliminary consideration is unable to verify it.
2
In subsection (1) the reference to onward referral is a reference to—
a
referral to a fitness to practise panel under section 121, or
b
referral for investigation under section 125.
3
In subsection (1)(a) “relevant date” means—
a
the date of the allegation under section 118(1)(a), or
b
where an allegation has not been made under that section, the date on which SCW first became aware of the matter.
4
For the purposes of subsection (1)(a) the exceptions are—
a
the matter relates to a registered person’s conviction for a relevant criminal offence;
b
the matter relates to the inclusion of the registered person in a barred list (as defined in section 117);
c
the matter relates to a determination by a relevant body (as defined by section 117) to the effect that a registered person’s fitness to practise is impaired;
d
the person giving the matter preliminary consideration thinks that it is in the public interest for the matter to be referred for investigation.
5
For the purposes of subsection (4)(a) and section 121, a relevant criminal offence is—
a
in the case of a conviction by a court in the United Kingdom, an offence in respect of which a custodial sentence was, or could have been, imposed, or
b
in the case of a conviction by a court elsewhere, an offence in respect of which, had the offence been committed in England and Wales a custodial sentence could have been imposed.
6
In subsection (5) “custodial sentence” has the meaning given by section 76 of the Powers of Criminal Courts (Sentencing) Act 2000 (c.6).
121Direct referral to a fitness to practise panel
A person giving preliminary consideration to a matter must refer it directly to a fitness to practise panel—
a
if the matter relates to the conviction of a registered person for a relevant criminal offence (see section 120(5)), and
b
in such other circumstances as may be specified by SCW in rules.
122Notice: ineligibility for onward referral
1
This section applies where a person giving preliminary consideration to a matter determines that the matter is not eligible for onward referral under section 120(1).
2
SCW must give notice of the determination to the relevant persons, unless SCW thinks that it is not in the public interest to do so.
3
For the purposes of subsection (2) “the relevant persons” are—
a
the registered person to whom the matter relates, and
b
where the matter was the subject of an allegation mentioned in section 118(1)(a), the person who made the allegation.
4
SCW may give notice to any other person that a matter is not eligible for onward referral where it is satisfied that it is in the public interest to do so.
5
SCW may by rules make provision about—
a
the content of a notice under this section, and
b
the procedure for giving notice.
123Notice: onward referral
1
This section applies where, on conclusion of a preliminary consideration under section 119, a matter is referred—
a
to a fitness to practise panel under section 121, or
b
for investigation under section 125.
2
SCW must give notice to—
a
the registered person to whom the matter relates;
b
where the matter was the subject of an allegation mentioned in section 118(1)(a), the person who made the allegation;
c
each person by whom, to the knowledge of SCW, the registered person is employed as a social care worker;
d
each person who, to the knowledge of SCW, has an arrangement with the registered person for the registered person to provide services to a third party in his or her capacity as a social care worker;
e
such other persons as may be prescribed.
3
SCW must by rules make provision about giving notice under subsection (2).
4
The rules may, in particular, make provision about—
a
the content of a notice;
b
the procedure for giving notice;
c
the period within which notice must be given.
124Notice: referral to an interim orders panel
Where a person refers a matter to an interim orders panel under section 118(2)(b) or 119(2) SCW—
a
must give notice of the referral to—
i
the registered person to whom the matter relates, and
ii
where the matter was the subject of an allegation mentioned in section 118(1)(a), the person who made the allegation, and
b
may give notice of the referral to any other person if SCW thinks it is in the public interest to do so.
Investigation
125Duty to investigate
1
SCW must investigate, or make arrangements for the investigation of, a matter referred under section 119 in respect of a registered person’s fitness to practise.
2
The person conducting an investigation under this section may, at any stage during the investigation, refer the matter to an interim orders panel.
3
SCW must by rules make provision about the arrangements for investigations under this section.
4
Rules made under subsection (3) may, in particular, make provision for—
a
the registered person to make representations to the person conducting the investigation;
b
investigations to be carried out by a member of SCW’s staff;
c
the appointment of one or more individuals for the purpose of conducting an investigation;
d
the appointment of persons to provide assistance in relation to an investigation.
5
But rules made under subsection (3) may not provide for an investigation to be carried out by—
a
a person who is a member of—
i
SCW,
ii
the Health and Care Professions Council,
iii
the Scottish Social Services Council, or
iv
the Northern Ireland Social Care Council;
b
a person who is a member of a fitness to practise panel;
c
a person who is a member of an interim orders panel;
d
a prescribed person.
126Powers following an investigation
1
This section applies where the investigation of a matter relating to a registered person’s fitness to practise has been concluded.
2
SCW must refer the matter to a fitness to practise panel if it is satisfied that—
a
there is a realistic prospect of the panel finding that the registered person’s fitness to practise is impaired, and
b
it is in the public interest to refer the matter.
3
Where the matter is not referred to a fitness to practise panel, SCW may—
a
decide to take no further action in respect of the registered person;
b
give advice to the registered person, or to any other person involved in the investigation, in respect of any matter related to the investigation;
c
issue a warning to the registered person in respect of future conduct or performance;
d
agree with the registered person that he or she will comply with such undertakings as SCW thinks appropriate;
e
grant an application under section 92 by the registered person for his or her entry in the register to be removed by agreement.
127Notice: referral or disposal
1
SCW must give notice to the persons listed in subsection (2) of—
a
the referral of a matter to an interim orders panel under section 125(2);
b
the referral of a matter to a fitness to practise panel under section 126(2);
c
the way in which the matter has been disposed of under section 126(3).
2
The persons are—
a
the registered person to whom the matter relates, and
b
where the matter was the subject of an allegation mentioned in section 118(1)(a), the person who made the allegation.
3
SCW may give notice to any other person of the referral or disposal of a matter under section 126 if satisfied that it is in the public interest to do so.
4
A notice under this section must give the reasons for the referral.
128Warnings
1
Where SCW is proposing to issue a warning to a registered person, SCW must—
a
notify the registered person of its intention, and
b
notify that person of the right to request an oral hearing for the purpose of determining whether or not to give a warning.
2
SCW must by rules make provision about—
a
the period within which a request for an oral hearing may be made;
b
the arrangements and procedure for an oral hearing.
3
SCW must grant a request for an oral hearing if the request is made in accordance with the requirements of rules made under subsection (2).
129Undertakings
1
SCW must by rules make provision about the agreement of undertakings under section 126(3)(d).
2
The rules may, in particular, make provision about—
a
the procedure to be followed for the agreement of undertakings;
b
the procedure to be followed in the event of a breach of an undertaking;
c
the consequences of a breach of an undertaking;
d
periodic review of a requirement to comply with an undertaking.
130Mediation
1
The Welsh Ministers may by regulations provide, or authorise SCW by rules to provide, for arrangements for mediation to be undertaken with any registered person in respect of whom a matter is referred for investigation under section 125.
2
The regulations may make provision about, or authorise SCW by rules to make provision about—
a
the circumstances in which mediation may be undertaken, and
b
the arrangements for undertaking mediation.
Review
131Review of decisions by SCW
1
SCW must review a decision to which subsection (2) applies if—
a
it thinks that the decision may be materially flawed, or
b
it thinks that a different decision may have been made on the basis of information that was not available when the decision was made.
2
This subsection applies to the following decisions—
a
a decision not to refer a matter to a fitness to practise panel under section 121 or 126(2),
b
a decision not to refer a matter for investigation under section 125,
c
a decision to dispose of a case after investigation under section 126(3), and
d
a decision to refer a case for mediation under regulations under section 130.
3
SCW may not review a decision after the end of the period of 2 years beginning with the date on which the decision was made unless SCW thinks that it is in the public interest to do so.
4
Where SCW decides to review a decision, it must give notice to the interested parties of—
a
the decision to carry out a review, and
b
the reasons for carrying out a review.
5
In this section “interested parties” means—
a
the registered person in respect of whom the decision under review was made,
b
the person (if any) who made an allegation in respect of which the decision was made, and
c
any other person who SCW thinks has an interest in the decision.
6
On a review under this section, SCW may—
a
substitute for the decision under review another decision of a kind that could have been made by the original decision maker,
b
refer the matter for investigation under section 125, or
c
determine that the decision stands.
7
SCW must give notice of the outcome of the review to the interested parties.
8
SCW must by rules make provision about the arrangements for carrying out a review under this section.
9
Rules made under subsection (8) may, in particular, make provision about—
a
the procedure to be followed in carrying out a review (including provision for the interested parties to make representations to SCW);
b
the content and timing of notices to be given under this section.
132Cancellation of referral to fitness to practise panel
1
This section applies where a matter has been referred to a fitness to practise panel under section 121 or 126(2) or to an interim orders panel under section 118(2)(b), 119(2) or 125(2) and—
a
SCW no longer thinks that there is a realistic prospect that the panel will find that the registered person’s fitness to practise is impaired, or
b
SCW otherwise thinks that it is no longer appropriate for the registered person to be subject to fitness to practise proceedings under this Part.
2
SCW may—
a
determine that the fitness to practise panel or interim orders panel may not commence or continue proceedings in respect of the matter, or
b
determine that the fitness to practise proceedings may only commence or continue in respect of such particulars of the matter as SCW may specify.
3
Where SCW makes a determination under subsection (2) it may refer the matter, or specified particulars of the matter, for investigation under section 125.
4
SCW must give notice of a determination under subsection (2) to—
a
the registered person to whom the matter relates,
b
where an allegation has been made, the person who made the allegation, and
c
any person to whom notice of the referral was given under section 123(2)(c), (d) or (e) or 127(3).
5
The notice must include the reasons for the determination.
6
SCW must by rules make provision about the procedure for exercising its functions under this section; in particular, provision about—
a
the procedure to be followed in making a determination under subsection (2), and
b
the content and timing of a notice under subsection (4).
133Referral by SCW for review proceedings
1
This section applies where, in relation to a registered person, any of the following have effect—
a
undertakings agreed between the person and SCW under section 126(3)(d);
b
undertakings agreed between the person and a fitness to practise panel under section 136(1), 152(5) or (6), 153(4), 154(4) or 155(7);
c
a conditional registration order made (or confirmed or varied) under section 138(7), 152(8)(c), 153(6) or (7), 154(8)(c) or 155(10)(c);
d
a suspension order made (or confirmed or varied) under section 138(8), 152(8)(d), 153(9)(c) or 154(6) or (7).
2
If SCW thinks at any time that it is desirable that a fitness to practise panel should review the registered person’s fitness to practise, SCW may refer the case to the panel to carry out a review (see Chapter 5).
3
But SCW must refer a case to a fitness to practise panel to carry out a review of a registered person’s fitness to practise if SCW has reason to believe that—
a
where the person has agreed an undertaking of the kind mentioned in subsection (1)(a) or (b), that the person has breached the undertaking, or
b
where the person is subject to a conditional registration order of the kind mentioned in subsection (1)(c), that the person has breached any condition of the order.