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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
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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 screening committee in fitness to practice complaints,
  • Relevant legislative provisions including changes introduced by the Regulated Professions (Health and 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 practice inquiry where there are prima facie findings,
  • Applying the proper statutory criteria to decisions/opinions,
  • Writing clear and good rationale,
  • 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 case-law and legal updates.

Your Trainer – Caroline Conroy

Solicitor and Training Consultant

Caroline is the founder of the leading Irish company, La Touche Training, which she established in Ireland in 1995. She ran the first ever specialised training programme for expert witnesses in...

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