Fitness to Practise Policy and Procedure

The Fitness to Practise (FtP) Procedure at UEL is designed to ensure a fair, transparent, and supportive approach to handling concerns about a student’s ability to meet professional standards. The procedure consists of three key stages: Informal Stage, Formal Panel Stage, and Appeal Stage. The Complaints and Appeals Team will oversee the formal process, ensuring consistency and adherence to procedural fairness. Each stage of this process should be completed within one calendar month, where possible. Where this is not possible, students will be kept informed as appropriate.

4.1 Informal Stage

The informal stage is designed to address concerns as early as possible, offering students an opportunity to engage with support services, reflect on their actions, and implement improvements before formal proceedings are necessary.
 

4.1.1 Identifying Concerns

Concerns about a student’s fitness to practise may be raised by:

• University staff (academic or support staff), Placement providers or apprenticeship employers, Service users, clients, or patients, Professional bodies, External agencies or third parties, Students
• An apprentice must notify UEL immediately of any workplace investigation.

Concerns may relate to professional conduct, health, competence, criminal convictions, or personal behaviour that may affect a student’s ability to meet professional standards.

Cause for concern:

• Concerns must be clearly documented, specifying how they relate to the relevant Professional, Statutory, and Regulatory Body (PSRB) requirements for the student’s course.
• All concerns should normally be supported by evidence, such as placement feedback, witness statements, or academic records.
• Students can raise concerns through the Report and Support platform or by contacting their course leader or course team.
   

4.1.2 Initial Review

When a concern is raised, the Head of Department (or nominee), or Head of Apprenticeship Delivery (or nominee), will conduct an initial assessment to determine:

• Whether the concern falls within the scope of this policy.
• Whether the concern is related to professional and PSRB standards.
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• Whether the concern can be managed informally or should proceed to the formal stage.
• Whether precautionary measures, including suspension, should be implemented due to serious concerns. The imposition of precautionary measures does not indicate that any conclusion has been reached, nor does it prejudice or influence the final decision.

This will be captured within a Fitness to Practise Notification Form. All completed forms should be sent to fitnesstopractise@uel.ac.uk for record-keeping.
 

4.1.3 Informal Meeting and Support Plan

If deemed appropriate and the threshold to FtP has been crossed, the case will be passed to an investigator. Once the investigation is complete, an informal fitness to practise meeting will be arranged. The completed Fitness to Practise Notification form must be shared with the student at least five working days before the meeting to ensure adequate preparation. This meeting will include:

• The Student
• The Investigator
• A representative from the School (e.g., Academic Lead)
• A representative from Student Support Services Placement provider/employer (if relevant)
• Any other relevant university staff

At the meeting:

1. Communicate the identified concerns, outlining their significance and potential impact.
2. The student will be informed of the implications of being found in breach of professional standards, e.g. report to the professional body and/or withdrawal from the course.
3. They will have an opportunity to respond and explain their perspective.
4. A Support Plan may be agreed upon, outlining steps to address the concern. This may include:

• Regular check-ins with an academic advisor, placement tutor, Apprenticeship Coach, or course tutor as appropriate.
• Engagement with student well-being or disability support services.
• Adjustments to academic or placement requirements.

A review date will be set to assess progress if any further action is needed. It is likely that at this stage, the informal stage can escalate to the formal stage.
 

4.1.4 Precautionary Measures

If the Head of Department determines that the concern poses an immediate and significant risk, they must escalate the matter to the Dean of School, the Assistant University Secretary and Director of Complaints, Appeals, and Procedure and the Director of Student Services (or nominee) for a final decision on whether precautionary measures should be applied. The imposition of precautionary measures does not indicate that any conclusion has been reached, nor does it prejudice or influence the final decision. The

The Head of Department must provide all available evidence and a clear rationale for determining why the concern poses an immediate and significant risk. This evidence should include:

• Detailed documentation of the concern.
• Any supporting witness statements or placement feedback.
• Relevant professional or regulatory standards that have been breached.
• Risk assessment outlining the potential impact on public safety, service users, or professional integrity.

Precautionary measures may include:

• Suspension from placement or professional environments where the concern impacts public or patient safety.
• Restrictions on participation in university-related activities if necessary for safety or professional integrity.
• Non-contact orders where relationships within the learning or professional environment have been affected.
• Temporary suspension from academic activities where concerns affect professional standards or safety. 

Precautionary measures are not disciplinary actions but interim measures to mitigate risks. The decision to impose precautionary measures will be communicated to the student in writing, outlining the rationale and the review process. These measures will be reviewed at least every two months, or sooner if circumstances change.

Where precautionary measures are being considered for Apprentices by the Head of Apprenticeship Delivery, employers will be informed and advised on the impact on the status of the apprenticeship. In

In the case of an apprentice under investigation in their workplace, the status of the apprenticeship will be determined by their employment status. If they are suspended pending investigation, the apprenticeship will be paused; if they are able to continue to work during the investigation, the apprenticeship will continue.
 

4.1.5 Record-keeping and outcomes

• A clear record of concerns, meetings, and agreed actions will be maintained by the School and provided to the Complaints and Appeals Team for central record-keeping.
• If the student successfully meets the Support Plan requirements, no further action is taken.
• If concerns persist or are serious in nature, the case will be escalated to the Formal Fitness to Practise Panel process.

4.2 Formal Fitness to Practise panel process

The formal stage is used for serious or ongoing concerns about a student’s fitness to practise. The Complaints and Appeals Team will manage the formal process, ensuring procedural fairness and effective administration.

4.2.1 Initiating the formal process

A case will be referred to the Formal Fitness to Practise Panel when:

• A student fails to engage with or complete an informal Support Plan.
• The concern is too serious to be managed at an informal level. The
• The student’s behaviour presents an ongoing risk to public safety, service users, or the profession.
• The student’s health or conduct prevents them from continuing on their course or prevents them from being able to meet the professional standards and competencies, even with adjustments.
• Despite engaging with and/or completing an informal Support Plan, the student’s behaviour or performance remains of concern or deteriorates, or further issues arise that raise questions about their fitness to practise. 

The Complaints and Appeals Team will:

• Notify the student in writing of the formal investigation.
• Inform the student of their right to representation (e.g., UEL Students’ Union advisor or friend).
• Set a date for the Panel hearing, providing at least 5 working days’ notice (should this be recommended in the investigation report).
   

4.2.2 Investigation Process

The investigator will also review the fitness to practise notification form and any supporting evidence/documentation considered at the informal stage.

Once a case is referred to the Formal Panel, an independent member of staff is assigned as Fitness to Practise Investigator to examine the evidence in a neutral and fair manner.

The Investigation Process includes:

• Gathering Evidence – The investigator will collect statements from relevant individuals (e.g., placement providers, university staff, etc) and review any existing records (e.g., the fitness to practice notification forms, incident reports, placement evaluations, practice assessment document, portfolio and relevant evidence).
• Student Interview – The student will be invited to an investigatory meeting where they can present their perspective, submit additional evidence, or clarify any information.
• Investigation Report – After reviewing all materials, the investigator compiles a detailed report summarising their findings, including whether there is sufficient evidence to proceed with the Panel hearing.
• Report Distribution – The Complaints and Appeals Team will ensure the student receives a copy of the Investigation Report at least 5 working days before the hearing, giving them time to prepare.

4.2.3 The Formal Panel Hearing

• The Fitness to Practise Panel will be convened and will consist of:
• Chair: A Dean of School from a separate School or their nominee.
• Two Academic staff members: From the relevant professional discipline.
• External professional representative: From the relevant sector.
• Student Support representative: To provide welfare support.
• Complaints and Appeals Team representative: To ensure procedural fairness.
• In the case of an Apprentice, their employer (or representative)

To ensure impartiality and avoid any conflicts of interest, individuals who have been involved in the informal stage of the process (e.g., a Head of Department providing informal resolution) shall not serve on the formal panel.

Where an Apprentice has been subject to a workplace investigation, the outcome of that investigation will determine the next steps. If their employment is terminated, the apprenticeship will end. If the apprentice is considered fit to continue, the apprenticeship will continue. It is not anticipated that UEL would hold a separate FTP panel following a workplace investigation.

If a student fails to attend the scheduled Fitness to Practise Panel without prior notice or reason, the Panel reserves the right to proceed in their absence. The student will have been provided with adequate notice and the opportunity to submit written statements or evidence in advance.

Where a student is unable to attend for valid reasons (e.g. medical or exceptional personal circumstances), they must notify the Complaints and Appeals Team as soon as possible, ideally no later than 48 hours before the hearing. In such cases, the Panel may reschedule the hearing.

Failure to engage with the process, or repeated non-attendance without a valid cause, may result in the Panel making a decision based on the available evidence, including the student’s non-engagement.

Hearing Process:

1. Introductions and explanation of the process by the Chair.
2. Presentation of the case by the Investigator.
3. Student response, including evidence and witness statements.
4. Panel questioning to clarify issues.
5. Private deliberation by the Panel.
6. Decision communicated in writing within 5 working days. 

4.2.4 Panel Conclusions and Outcomes

The FtP Panel must first determine whether the student’s fitness to practise is impaired. This decision is based on the evidence presented, student engagement, and any mitigating/aggravating factors. The Panel’s decision must be proportionate, professional, and aligned with PSRB standards.

a) Fitness to Practise is not impaired

If the student’s fitness is not impaired, the Panel may:

• Take no further action, or
• Issue a formal warning, documented in the student record.
• b) Fitness to Practise is impaired

If fitness is impaired, possible outcomes include, but are not limited to:

1. Undertakings – voluntary actions by the student (e.g., mentoring, training).
2. Conditions – mandatory, time-limited requirements (e.g., supervision, health checks).
3. Suspension – temporary removal from the programme or placement.
4. Expulsion – permanent withdrawal, with reporting to relevant PSRBs.

This list is not exhaustive; the Panel may consider other appropriate outcomes based on individual circumstances, ensuring proportional response and public/professional safety.

When the FtP Panel determines that a student may resume their studies upon meeting specific conditions, these requirements must be clearly documented in a follow-up action plan. The action plan should include:

• Specific actions the student must undertake to address the concerns.
• Measurable criteria for demonstrating progress.
• A timeline for achieving these requirements.

The action plan will be shared with all relevant parties and reviewed periodically by the University.