12.—(1) The Investigating Committee shall meet in private.
(2) The Investigating Committee shall not hear oral evidence.
(3) Before disposing of an allegation before it, the Investigating Committee—
(a) shall in all cases—
(i) consider all documents and recommendations placed before it by the Registrar, and
(ii) have regard to its own published referral criteria;
(b) may in all cases—
(i) direct that further investigations should be undertaken, and
(ii) obtain advice from a legal, clinical or other specialist adviser;
(c) may adjourn its consideration of an allegation until such time as any further information has been obtained, any comments from the maker of the allegation are received, or where the registrant has undertaken a medical examination, a report on him has been prepared; and
(d) in fitness to practise or disqualification proceedings (whether or not a criminal conduct allegation is also being considered in relation to the registrant)—
(i) shall in all cases—
(aa) consider any written representations received from the registrant, and
(bb) have regard to any relevant practice directions issued by the chair of the Health or Disciplinary Committee, and
(ii) may send any written representations received from the registrant concerned to the person making the allegation, if any, for comment; and
(e) may, in the case of an allegation that the registrant’s fitness to practise is impaired by reason of adverse physical or mental health—
(i) require him to agree to be medically examined by a registered medical practitioner nominated by the Society, and
(ii) where it receives information that a registrant has refused to co-operate fully with a medical examination, refer that matter to the Health or Disciplinary Committee as a separate allegation.
(4) Where the Investigating Committee decides to refer an allegation to the Health or Disciplinary Committee, and is of the view that—
(a) as regards an allegation being referred to the Disciplinary Committee, the case should be fast tracked; or
(b) case management directions should be issued,
it shall notify the committee accordingly.
(5) The Investigating Committee shall not refer any—
(a) fitness to practise allegation to the Health or Disciplinary Committee unless it is satisfied that there is a real prospect that the Health or Disciplinary Committee will make a finding that the registrant’s fitness to practise is impaired;
(b) fitness to practise allegation to the Health Committee if it considers that, if the case is referred instead to the Disciplinary Committee, there is a likelihood of that Committee deciding to give a direction that the registrant be removed from the register; or
(c) disqualification allegation to the Disciplinary Committee unless it is satisfied that there is a real prospect that the Disciplinary Committee will make a direction for disqualification.
(6) The Investigating Committee shall not exercise its functions under rule 6(e) or (f) or article 50(4) of the Order unless it is satisfied that—
(a) there is a real prospect of securing a criminal conviction; and
(b) it is in the public interest to bring the prosecution.
13.—(1) The Investigating Committee may dispose of disqualification proceedings by issuing a warning to the registrant concerned instead of referring the allegation to the Disciplinary Committee, but only in the circumstances set out in paragraph (3).
(2) The Investigating Committee shall only dispose of fitness to practise proceedings by issuing a warning, instead of referring the allegation to the Health or Disciplinary Committee, in the circumstances set out in paragraph (3).
(3) Cases shall only be disposed of by issuing a warning where—
(a) the registrant concerned does not dispute the particulars of the allegation set out in the notice of referral; and
(b) the registrant concerned has confirmed, within the period specified by the Committee, that he agrees to disposal of the matter by means of a warning, and in the terms notified to him when the period is specified.
(4) The Investigating Committee may dispose of fitness to practise proceedings by agreeing undertakings with the registrant concerned (that is, that he will comply with such undertakings as the Committee considers appropriate) instead of referring the allegation to the Health or Disciplinary Committee where—
(a) the allegation concerns deficient professional performance or adverse physical or mental health; and
(b) the registrant concerned admits that his fitness to practise is impaired.
(5) Where the Investigating Committee has disposed of a case by agreeing undertakings with a registrant, and it subsequently receives information that those undertakings have not been complied with, it—
(a) shall refer the original allegation to the Health or Disciplinary Committee; and
(b) may treat the failure to comply with the undertakings as a separate allegation of misconduct and refer that allegation to the Disciplinary Committee.
14.—(1) The information to be provided under article 50(2)(b) and (3)(c) of the Order shall be in a notice of decision which shall be sent to the registrant concerned and the person making the allegation, if any, no later than 10 days after the relevant decision was made.
(2) In disqualification proceedings, the secretary to the Investigating Committee shall inform the registrant concerned of the decision of the Investigating Committee to refer, or not to refer, the allegation to the Disciplinary Committee, and shall do so in a notice of decision which shall be sent to the registrant no later than 10 days after the decision was made.
(3) The notice of decision under paragraph (1) or (2) shall include the reasons for the decision and shall be accompanied by any legal advice considered by the Committee.
(4) Where the Investigating Committee has decided not to refer the allegation to the Health or Disciplinary Committee, the notice of decision under paragraph (1) or (2) shall inform the registrant concerned that the Investigating Committee may nevertheless reconsider the allegation in the circumstances set out in rule 15.
(5) Where the Investigating Committee has decided to dispose of the allegation by agreeing undertakings or issuing a warning, the notice of decision under paragraph (1) shall be accompanied by a statement setting out the undertakings or the warning, and if the statement relates to agreed undertakings, it shall also state, in terms, that if the Investigating Committee subsequently receives information that those undertakings have not been complied with, it—
(a) shall refer the original allegation to the Health or Disciplinary Committee; and
(b) may treat the failure to comply with the undertakings as a separate allegation of misconduct and refer that allegation to the Disciplinary Committee.
(6) The statement referred to in paragraph (5) shall not be sent to the person making the allegation if it includes undertakings relating to the health of a registrant.
(7) Where the Investigating Committee has decided to refer the matter to the Disciplinary Committee or Health Committee, the notice of decision under paragraph (1) or (2)—
(a) shall particularise the matters to be referred; and
(b) where the Investigating Committee is of the view that the Health or Disciplinary Committee should consider making an interim order, state the reasons for its view.
15.—(1) Where—
(a) the Investigating Committee has considered a fitness to practise or disqualification allegation and decided not to refer it to the Health or Disciplinary Committee; and
(b) within five years from service of the notice of decision under rule 14, the Society receives a new allegation about the registrant concerned,
the Investigating Committee may take the action specified in paragraph (2).
(2) The Investigating Committee may—
(a) when considering whether or not to refer the new allegation to the Health or Disciplinary Committee, have regard to the original allegation; and
(b) may refer both the original allegation and the new allegation to the Health or Disciplinary Committee.
(3) Where the Investigating Committee has disposed of a fitness to practise or disqualification allegation, and within five years of that decision receives new evidence or information which makes the reconsideration of that decision—
(a) necessary for the protection of the public;
(b) necessary for the prevention of injustice to the registrant;
(c) otherwise necessary in the public interest,
it may reconsider the allegation.
(4) The Investigating Committee may reconsider an allegation where it receives information that the Society has erred in its administrative handling of the case and it is satisfied that it is necessary in the public interest to do so.
(5) Where the Investigating Committee has decided to reconsider a fitness to practise or disqualification allegation, the secretary to the Investigating Committee shall—
(a) inform the registrant concerned and the person making the allegation, if any, of the decision to reconsider the allegation;
(b) inform the registrant concerned and, where appropriate, the person making the allegation, if any, of any new evidence or information;
(c) provide the registrant concerned and, where appropriate, the person making the allegation, if any, with copies of any new evidence and summaries of any new information received;
(d) seek written representations from the registrant concerned and the maker of the allegation, if any, on—
(i) the decision to reconsider the allegation, and
(ii) any new evidence or information received (unless, in the case of the person making the allegation, if any, this has not been sent to him).
(6) Following reconsideration of the original allegation, the original referral to the Health or Disciplinary Committee may be rescinded in appropriate circumstances.
(7) Following reconsideration of the allegation, a new notice of decision shall be sent, as provided for in rule 14.