PART 4Consideration by the Health and Disciplinary Committees: initial stages
Action upon referral of an allegation
16.—(1) After referral of an allegation by the Registrar or the Investigating Committee to the Health or Disciplinary Committee—
(a)if the case has been referred to the Health Committee, the chair of the Health Committee may require the registrant concerned to agree to be medically examined by a registered medical practitioner nominated by the Society;
(b)the Registrar shall take such steps as, in his opinion, are desirable or necessary to assist the Society in the preparation of the case for hearing; and
(c)the secretary to the Committee to which the case has been referred shall serve on both of the parties a listing questionnaire, which shall be in the format determined by the secretary responsible for serving it.
(2) The parties shall be jointly responsible for the completion of the listing questionnaire.
(3) No later than 28 days from the date on which the listing questionnaire has been served on the parties, the parties shall inform the secretary to the relevant committee of their agreed provisional time estimate for the duration of the hearing (if the parties are unable to agree it, they shall request case management directions).
(4) In a case where the Registrar has referred an allegation to the Health or Disciplinary Committee instead of to the Investigating Committee, the Society shall request case management directions.
Disclosure provisions: standard Disciplinary Committee cases
17.—(1) Paragraphs (4) to (7) shall apply in cases where the Investigating Committee—
(a)has referred a fitness to practise or disqualification allegation to the Disciplinary Committee; and
(b)has not notified the Disciplinary Committee that—
(i)the case should be fast tracked, or
(ii)it should consider making an interim order,
but where the case has been the subject of case management directions, those paragraphs shall apply as modified (where appropriate) by those directions.
(2) Where—
(a)the Registrar has referred a fitness to practise or disqualification allegation to the Disciplinary Committee (whether or not he has asked the Committee to consider making an interim order); and
(b)has not recommended that the case be fast tracked,
paragraphs (4) to (7) shall apply as modified (where appropriate) by any case management directions.
(3) Where the Investigating Committee has referred a fitness to practise allegation to the Disciplinary Committee and has notified it that it should consider making an interim order but has not notified it that the case should be fast tracked—
(a)the Society shall request case management directions; and
(b)paragraphs (4) to (7) shall apply as modified (where appropriate) by any case management directions.
(4) No later than 14 days from the date on which the registrant is served with the notice under rule 10(3) or notice of decision under rule 14 (“the referral date”), the Society shall serve on the registrant concerned a copy of its copy of the listing questionnaire, duly completed by the Society.
(5) No later than 7 months from the referral date, the Society shall serve on the registrant concerned—
(a)finalised particulars of the allegation, sufficiently particularised to enable the registrant concerned to understand the allegation;
(b)any statements of evidence, expert reports or other documents relied upon by the Society in support of its case, not previously served upon the registrant;
(c)any evidence or documents that the Society has in its possession (other than documents for which privilege is claimed) which, whilst not relied on by the Society, may assist the registrant in the preparation of his defence;
(d)a list of witnesses whose evidence is (or whose oral evidence will be) relied on by the Society in support of its case; and
(e)any revised time estimate for the duration of the Society’s case.
(6) No later than 28 days from the date of service of the material set out in paragraph (5), the registrant concerned shall serve on the secretary to the Disciplinary Committee—
(a)an agreed time estimate for the duration of the hearing (if the parties are unable to agree it, they shall request case management directions), and
(b)a copy of its copy of the listing questionnaire, duly completed by the registrant concerned.
(7) No later than 7 days after the expiry of the period specified in paragraphs (5) and (6), the party concerned shall notify the secretary to the Health or Disciplinary Committee of any changes to the agreed time estimate for the hearing or to the information provided by the parties in the listing questionnaire.
(8) No later than 6 months from the date of service of the material set out in paragraph (5), the registrant concerned shall serve on the Society—
(a)any statements of evidence (including witness statements), expert reports or other documents relied upon by him in support of his case; and
(b)a list of witnesses whose evidence is (or oral evidence will be) relied upon by him in support of his case.
Disclosure provisions: fast track and Health Committee cases
18.—(1) Paragraphs (4) to (7) of this rule shall apply in cases where the Investigating Committee—
(a)has referred a fitness to practise allegation—
(i)to the Health Committee but has not notified the Committee that it should consider making an interim order, or
(ii)to the Disciplinary Committee and has notified the Committee that the case should be fast tracked but has not notified the Committee that it should consider making an interim order; or
(b)has referred a disqualification allegation to the Disciplinary Committee and has notified the Committee that the case should be fast tracked,
but where the case has been subject to case management directions, those paragraphs shall apply as modified (where appropriate) by those directions.
(2) Where—
(a)the Registrar has referred a fitness to practise allegation to the Health or Disciplinary Committee; and
(b)in the case of a referral to the Disciplinary Committee, the Registrar has recommended that the case be fast tracked,
paragraphs (4) to (7) shall apply as modified (as appropriate) by any case management directions.
(3) Where the Investigating Committee has referred a case—
(a)to the Health Committee and has notified that Committee that it should consider making an interim order; or
(b)to the Disciplinary Committee and has notified the Committee that—
(i)the case be fast tracked, and
(ii)it should consider making an interim order,
the Society shall request case management directions and paragraphs (4) to (7) shall apply as modified (where appropriate) by any case management directions.
(4) No later than 14 days from the date on which the registrant concerned is served with the notice under rule 10(3) or the notice of decision under rule 14 (“the referral date”), the Society shall serve on the registrant concerned a copy of its copy of the listing questionnaire, duly completed by the Society.
(5) No later than 4 months from the referral date, the Society shall serve on the registrant concerned—
(a)finalised particulars of the allegation, sufficiently particularised to enable the registrant concerned to understand the allegation;
(b)any statement of evidence, expert reports or other documents relied upon by the Society, not previously served upon the registrant;
(c)any evidence or documents that the Society has in its possession (other than documents for which privilege is claimed) which, whilst not relied on by the Society in support of its case, may assist the registrant concerned in the preparation of his defence;
(d)a list of witnesses whose evidence is (or oral evidence will be) relied upon by the Society in support of its case; and
(e)any revised time estimate for the duration of the Society’s case.
(6) No later than 28 days from the date of service of the material referred to in paragraph (5), the registrant concerned shall serve on the secretary to the relevant committee—
(a)an agreed time estimate for the duration of the hearing (if the parties are unable to agree, they shall request case management directions), and
(b)a copy of the listing questionnaire, duly completed by the registrant concerned.
(7) No later than 7 days after the expiry of the period specified in paragraph (5) or (6), the party concerned shall notify the secretary to the Health or Disciplinary Committee of any changes to the agreed time estimate for the hearing or to the information provided by the parties in the listing questionnaire.
(8) No later than 4 months from the date of service of the material referred to paragraph (5), the registrant concerned shall serve on the Society—
(a)any statements of evidence (including witness statements), expert reports or other documents relied upon by him in support of his case; and
(b)a list of witnesses whose evidence is (or oral evidence will be) relied upon by him in support of his case.
Inspection of documents
19.—(1) At any time after the service of a document by a party under this Part, up until the commencement of the relevant hearing, the party being served with the document may serve notification on the other party in possession of the original version of the document that he wishes to inspect and examine it.
(2) The party in possession of the original version of the document shall provide facilities for its inspection and examination within 10 days from the notification of the request.
Notices of hearing other than in interim order proceedings
20.—(1) Where the Health or Disciplinary Committee is to hold a hearing, other than an interim order hearing, the secretary to that Committee shall serve a Notice of Hearing on the parties no less than 28 days before the date fixed for the hearing.
(2) The Notice of Hearing shall—
(a)state the date, time and venue of the hearing;
(b)in the case—
(i)of a principal hearing, contain the finalised particulars of the allegation;
(ii)where the Registrar is seeking the advice of—
(aa)the Disciplinary Committee under rule 6(5) of the Registration Rules, contain a statement from the Registrar of his grounds for believing that the applicant’s fitness to practise may be impaired for reasons other than adverse physical or mental health,
(bb)the Health Committee under rule 6(7) of the Registration Rules, contain a statement from the Registrar of his grounds for believing that the applicant’s fitness to practise may be impaired because of adverse physical or mental health,
(cc)the Health or Disciplinary Committee under rule 8(3), contain a statement from the Registrar of his grounds for believing that the fitness to practise of the registrant is in question, and
(dd)the Disciplinary Committee under rule 17(2)(a) of the Registration Rules for the purposes of making findings of fact, contain a statement from the Registrar of the matters on which findings of fact are sought;
(c)where the Health or Disciplinary Committee is to review directions previously given (including applications for restoration and applications under section 83 of the Act), contain a copy of the directions under review and the Committee’s reasons for making the directions;
(d)inform the party other than the Society of his right to attend, and to be represented or accompanied at the hearing in accordance with rule 43;
(e)inform the party other than the Society that the Health or Disciplinary Committee may proceed with the hearing in his absence;
(f)inform the party other than the Society of—
(i)the relevant provisions of rules 35 to 38 relating to the procedure at the hearing,
(ii)the provisions relating to evidence set out in rule 30, and
(iii)the provisions relating to witness evidence set out in rules 46 and 47;
(g)require the party other than the Society to inform the secretary, within 14 days of service of the Notice of Hearing, whether he intends to—
(i)attend the hearing,
(ii)be represented at the hearing, and if so, by whom,
(iii)seek to call any witnesses at the hearing, and if so whom,
(iv)in the case of a principal hearing, make any admissions in respect of the allegation, and
(v)where a case has been referred to the Disciplinary Committee under rule 17(2)(a) of the Registration Rules for the purposes of making findings of fact, make any admissions;
(h)if the party other than the Society is a registered pharmacist, inform the registrant of the powers of the Health or Disciplinary Committee to make an interim order;
(i)in the case of a principal hearing, inform the registrant of the sanctions that may be imposed against him;
(j)in the case of a review hearing in fitness to practise proceedings, inform the registrant of the committee’s powers to vary or revoke any sanctions that have been imposed; and
(k)in the case of a restoration hearing, inform the applicant of the Disciplinary Committee’s powers to impose conditions if the applicant is restored to the register.
Interim Order Notices and court referrals
21.—(1) Where the Health or Disciplinary Committee is to hold an interim order hearing, the secretary to that Committee shall serve on the registrant an Interim Order Notice.
(2) The Interim Order Notice to be served on the registrant in accordance with paragraph (1) shall—
(a)state the date, time and venue of the hearing;
(b)inform the registrant of his right to attend and to be represented or accompanied at the hearing in accordance with rule 43;
(c)inform the registrant that the Committee may proceed with the hearing in his absence;
(d)require the registrant to inform the secretary, by a specified date, whether he intends to—
(i)attend the hearing,
(ii)oppose the making of an interim order, and
(iii)be represented at the hearing, and if so, by whom;
(e)invite the registrant, if he does not wish to attend the hearing, to submit written representations to the Committee before the date of the hearing;
(f)if there is no interim order in force in relation to the registrant, to state the reasons why the Society is seeking an interim order; and
(g)where the hearing is to review an interim order, include the terms of the order under review.
(3) The Interim Order Notice shall be served on the registrant on a date which, in the opinion of the secretary to the relevant Committee, provides the registrant with reasonable notice of the hearing in the particular circumstances of the case.
(4) Where it appears to the secretary of the Health or Disciplinary Committee that an application should be made to the relevant court under article 54(5) of the Order to extend, or further extend, the period of an interim order, he shall advise his Committee accordingly, and the Committee may direct the Society to make the application.
Hearing bundles
22.—(1) Before any hearing, no later than 14 days before the Monday of the week in which the hearing is to take place before the Health or Disciplinary Committee, the parties shall serve on each other copies of the bundles on which they intend to rely at the hearing.
(2) No later than 7 days before the Monday of the week in which the hearing is to take place, the parties shall serve on the secretary to the relevant Committee, 10 paginated copies of—
(a)where the bundle for the hearing has been agreed between the parties, the agreed bundle; or
(b)where the bundle for the hearing has not been agreed—
(i)a statement by each party setting out why the bundle for the hearing has not been agreed,
(ii)a statement from the party seeking to rely on any disputed material why he or it seeks to include it in the bundle, and
(iii)the bundles on which each party intends to rely at the hearing;
(c)a statement of each party’s case; and
(d)each party’s skeleton argument.
(3) No later than 7 days before the Monday of the week in which the hearing is to take place, the parties shall serve on the secretary to the relevant Committee a list (which they shall endeavour to agree but which they shall otherwise serve separately) indicating—
(a)any witness whose evidence has been agreed and who therefore does not need to be called; and
(b)any witness who is to be called to give oral evidence before the Committee.
(4) Any document which has not been served on the secretary by the period specified in paragraph (2) shall, except in exceptional circumstances, not be admitted into the evidence at the hearing.
Requests for case management directions
23.—(1) A party to proceedings before the Health or Disciplinary Committee may at any time serve on the secretary to the Committee and the other party a written request for case management directions (in addition to the occasions on which they must, by virtue of these Rules, make such a request).
(2) The request shall—
(a)state the reasons why the party is seeking case management directions;
(b)if the party is seeking an extension of time limits set out in these Rules, set out the reasons for the party’s inability to comply with the time limits set out;
(c)state what directions are sought for the management of the case (and the party may enclose draft directions where appropriate);
(d)state whether the person making the request seeks the participation of the parties at a case management meeting (and if so, the preferred format for that meeting) or whether the issues can be dealt with by way of directions from the chair without oral representations from the parties.
(3) The secretary to the relevant Committee shall send a copy of the request, together with any other material he considers relevant, to the chair of his Committee.
(4) The chair shall agree to the request for case management directions unless he determines that the directions are unnecessary or the request is an abuse of process.
Case management meetings
24.—(1) Where a chair agrees to a request for a case management meeting, the secretary to the Committee shall convene the meeting.
(2) Where a case management meeting is to be convened, the secretary to the relevant Committee shall give the parties such notice of the meeting as is reasonable in the particular circumstances of the case.
(3) Case management meetings may be conducted by video link, teleconference or such other method as is agreed by the parties or, where the parties fail to agree, as decided by the chair (or in the case of the Health Committee, the legal adviser or the chair).
(4) Case management meetings shall be held in private.
Case management directions
25.—(1) Case management directions may be issued—
(a)at a case management meeting;
(b)by the chair, upon the request of a party (in circumstances where the chair has decided not to hold a case management meeting); or
(c)by the chair, of his own volition.
(2) The chair (or the legal adviser to the Health Committee) may issue such case management directions as he considers necessary for the just and expeditious management of the case, which may include, but are not limited to—
(a)where this is duly justified, modifying the application of rules 17 to 20(1) and 22 to the particular circumstances of the case;
(b)requiring one of the parties to obtain, and to disclose within a specified period, evidence and expert reports;
(c)requiring each party to provide an estimate of the length of the hearing and any dates on which they or any witnesses would not be able to attend the hearing;
(d)where facts are not in dispute or the allegation is admitted, requiring the parties to produce a statement of agreed facts;
(e)in fitness to practise proceedings before the Disciplinary Committee—
(i)requiring the parties to state whether or not the health of the practitioner will be raised as an issue in the proceedings, and if so, whether, in their view, medical reports should be obtained, and
(ii)subject to rule 27, referring the case to the Health Committee, in which case, that Committee shall treat that referral, for the purposes of rules 17 and 18, as a referral of the Investigating Committee;
(f)in fitness to practise proceedings before the Health Committee, subject to rule 28, referring the case to the Disciplinary Committee, in which case that Committee shall treat that referral, for the purposes of rules 17 and 18, as a referral of the Investigating Committee;
(g)requiring a party to call the author of any expert report at the hearing;
(h)where agreed between the parties, directing that the witness statement of a witness shall stand as the evidence-in-chief of that witness;
(i)directing that special measures be put in place at the hearing for a vulnerable witness, including measures aimed at protecting his identity;
(j)requiring chronologies and additional skeleton arguments to be produced by the parties;
(k)directing that a further case management meeting should be held; and
(l)rulings (or, in the case of the legal adviser, opinions) for the purpose of resolving questions of law or admissibility of evidence.
(3) Any rulings, as mentioned in paragraph (2)(l), given by the chair of the Disciplinary Committee shall be binding on the Disciplinary Committee hearing the allegation.
(4) Any opinions, as mentioned in paragraph (2)(l), given by the legal adviser to the Health Committee shall be taken into account by the Health Committee hearing the allegation, but decisions on questions of law or admissibility of evidence shall be taken by that Committee.
(5) The secretary to the Health or Disciplinary Committee shall keep a record of any case management directions given and shall send written confirmation of such directions to the parties promptly.