Guidance to Investigators

Please

Follow the University Fitness to Practise procedure

Seek advice and support from colleagues as required

Consider proportionality and risk

The role is to gather evidence, not to ‘make the case’

Remember the principles of equity and fairness

  • When presenting the report consider that the Dean (or nominee) and particularly Panel members will not be familiar with the case, the programme and the nature of any specific placement/module.
  • Provide a timeline, this greatly helps those not familiar with a case understand it.
  • Provide the report and appendices as a complete organised document. It can be difficult for those not familiar with a case to organise documentation and this may lead to problems with clarity.
  • Cross reference the report and in particular evidence in the appendices.
  • Provide details (and appendices) in an order that is easy to follow (e.g. chronologically).
  • Be concise and focused upon the allegations.
  • Try not use abbreviations or provide full explanations of their meaning on the first instance they are used, similarly where technical language is used please provide explanations.
  • Avoid speculative statements and statements unsupported by corroborating evidence.
  • Give clear and precise summation, quoting the Procedure.
  • Where summaries of meetings/interviews are provided it is always helpful if the parties present have had an opportunity to confirm or otherwise their agreement with the summaries. See Procedure for policy on audio recording of interviews.
  • Consider carefully whether all the information provided is pertinent to the main case. For example where the case regards a significant level of professional misconduct it may be distracting to provide details of a range of relatively less significant issues which would otherwise be dealt with as part of the student’s clinical training/development. However if there is an issue of professional unsuitability this information if appropriately presented may, where it is shown to be relevant and substantiated, provide evidence of broader issues.
  • Where recommending witnesses please give details of which aspects the witnesses are to be called in relation to and why it is considered useful for them to be called in addition to providing witness statements. Witnessescan be useful in cases with a contested version of a specific event and a Panel is asked to take a view as to which version on the balance of probabilities is more likely to be a true reflection of events.
  • Where there are broader or external issues in terms of University or placement provider practices it may not be appropriate to include details, but reference to the fact that these are to be addressed through appropriate channels (e.g. as a footnote) This allows those receiving the report, and who may have professional responsibilities, to be assured that such issues are being dealt with appropriately.
  • Be aware of confidentiality and data protection. Where it is necessary to redact a document to protect the identity of a third party or someone’s personal information (e.g. home address, personal email) then be clear that this has been done (e.g. by blocking out the details or substituting names with other identifiers [Student A] and [Patient B]). Be particularly careful not to breach confidentiality of clients.
  • All edited documents should be clearly identified as such. This aims to avoid the possible interpretation that attempts have been made to alter the evidence. This includes cutting and pasting extracts of/complete emails.
  • Where editing involves any form of selective quotation of statements, those making the statements should be provided with the opportunity to comment on the edit.
  • Where there are a number of appendices it is useful for readers if a clear contents list is provided, e.g. edited as appropriate:

Appendix 1 time line of event

Appendix 2 letter of notification from DoS (or nominee)

Appendix 3 copy of notification to School from placement/report of alleged misconduct

Appendix 4 note of meeting with student (student should have opportunity to comment on notes)

Appendix 5 notes of meeting/conversations with mentor/placement tutors/personal tutor etc

Appendix 5 correspondence (if edited in any way, even formatting, please note what has been changed)

Appendix 6relevant practice and / or academic documentation, Personal Development Plans, personal tutor records etc

Appendix 7previous relevant advice or warnings given, also previous cases

Appendix 8Allegations grids

Appendix 9list of key personnel, including job titles roles (e.g. mentor). Include initials used in report if this is done.

Appendix 10 glossary of technical terms (unless explained within the report)

The above is a brief set of bullet points. Further guidance is available from the relevant Professional Bodies and University schools:

  • BACP
  • HCPC
  • NMC
  • School of Health Sciences
  • School of Nursing, Midwifery, Social Work & Social Sciences
  • Further guidance and allegation grids are available at:

Form and guidance adapted from that produced by Ruth Chadwick and used by the School of Nursing, Midwifery, Social Work and Social Science, with additional comments and advice from other colleagues.