Fitness to practise processes
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Preliminary investigation of complaints to regulators
Conducting a preliminary investigation of complaints is essential for addressing and resolving issues effectively. Learn the key steps and strategies.
Online / In Person
Variable
About this course
Do you need to address complaints? This course provides a comprehensive overview of conducting a preliminary investigation to ensure fair and efficient resolution.
Course syllabus
This preliminary investigation of complaints training programme for professional regulators covers the following areas:
- The role of the preliminary proceedings/screening committee in fitness to
practise complaints. - Relevant legislative provisions including changes introduced by the Regulated
- Professions (Health and Social Care) (Amendment) Act 2020.
- The composition of the investigating committee.
- What acting in the public interest means and what that involves at the
preliminary investigation stage. - The procedures.
- The meaning of frivolous, “vexatious”, “without substance” or “made in bad faith”.
- The importance of promptly identifying cases that may warrant referral for an
application for immediate suspension. - What prima facie means.
- Application of the threshold to determine whether a complaint meets the prima
facie standard. - Determining the relevant grounds of referral to a fitness to practise inquiry where
there are prima facie findings. - Applying the proper statutory criteria to decisions and opinions.
- Writing a cogent and comprehensive rationale for the decision.
- Understanding the rights of the registrant at this stage of the complaints process.
- Potential legal challenges – the grounds for a judicial review application including
the principles of natural justice. - Relevant caselaw and legal updates.
Meet the trainer – Anthony Kennelly
Solicitor, BA, LLM
Anthony is a qualified solicitor and has been a part-time Programme Developer and Trainer with La Touche Training since September 2023. Anthony previously worked at leading commercial law firms and as...
Read BioPractical training with small groups to ensure quality.
Our training sessions are not lectures—they're practical, interactive experiences. The small group format allows every attendee to ask questions, take part in discussions involving practical exercises and role-plays.
This method of training allows attendees to put the skills learned into practice immediately. Course participants benefit from the focused attention and guidance of an independent expert.
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FAQs
The Complaints Investigation for Professional Regulators course provides practical training on how regulatory bodies investigate complaints about professionals. It focuses on structured investigative processes, evidential standards, and fair procedures in regulatory investigations.
This course is designed for investigators, case officers, regulatory staff, and legal professionals working within professional regulatory bodies responsible for handling complaints about registered professionals.
Professional regulators may investigate complaints relating to professional misconduct, breaches of regulatory standards, fitness to practise concerns, or other matters that may affect a professional’s registration or licence.
Participants will learn how to plan and manage complaints investigations, gather and assess evidence, conduct interviews, and prepare investigation reports that support regulatory decision-making.
Complaints investigations conducted by professional regulators must follow fair procedures to ensure that both complainants and professionals are treated fairly. Proper procedures help ensure that decisions are transparent, proportionate, and legally defensible.
The training helps investigators and case officers understand how to gather reliable evidence, assess complaints objectively, and produce investigation findings that support regulatory disciplinary or fitness-to-practise processes.
Yes. The course is relevant for regulators overseeing professions such as healthcare, legal services, financial services, engineering, and other regulated professions where complaints investigations are part of regulatory oversight.
The course explores challenges such as managing complex complaints, maintaining independence and impartiality, handling sensitive evidence, and communicating investigation outcomes clearly.
The training uses practical case studies and scenario-based exercises to help participants understand how to conduct effective complaints investigations within a regulatory framework.
