How Employers & HR Can Handle Fitness to Practise Concerns about Staff
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Understanding how to handle fitness to practise concerns about staff is essential for employers and HR professionals in regulated sectors. In a workplace context, fitness to practise refers to whether a professional has the competence, behaviour, health, and professionalism required to perform their role safely and effectively.
For regulated professions such as healthcare, education, or accounting, these concerns go beyond typical workplace issues and can trigger formal regulatory action if not addressed properly. Recognising and managing these concerns early helps protect both employees and the wider public while maintaining organisational credibility.
What Fitness to Practise Really Means in Daily Work
In day-to-day terms, fitness to practise encompasses several key areas. Competence is central, ensuring staff have the skills and knowledge to carry out their duties safely. Professionalism includes ethical conduct, respect for colleagues, and adherence to workplace policies. Health considerations, such as unmanaged stress or physical conditions affecting performance, also play a role. Behavioural issues, including unprofessional or unsafe conduct, can significantly impact team dynamics and client outcomes. HR and managers must monitor these areas carefully and take action when concerns arise.
Real-World Triggers
Fitness to practise concerns can stem from a wide variety of incidents. Examples include medication errors in healthcare settings, safeguarding lapses in education, repeated unprofessional conduct, or failure to manage stress effectively. Even isolated incidents can raise flags, particularly when they compromise safety or trust. Identifying these triggers early allows HR to provide support, training, or intervention before matters escalate to formal investigations.
How Fitness to Practise Differs from Standard Disciplinary Issues
Unlike standard disciplinary matters, fitness to practise issues may involve regulators rather than just internal HR procedures. When conduct or competence crosses regulatory thresholds, employers must escalate concerns appropriately. This distinction is vital because it introduces legal and procedural requirements that differ from typical workplace investigations. Understanding the difference helps HR act responsibly while protecting staff rights and maintaining regulatory compliance.
The Ripple Effect
A single fitness to practise case can affect more than the individual involved. Team morale may suffer as colleagues experience stress or uncertainty. Client or patient safety can be jeopardised, particularly in roles where high standards are critical. Organisational credibility can also be damaged if concerns are mishandled or publicised. Addressing fitness to practise issues promptly and transparently is therefore essential for sustaining trust and operational stability.
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Legal & Regulatory Context Employers Need to Know
When a fitness to practise concern arises, employers hold a critical responsibility. Understanding the legal and regulatory framework is essential to manage these matters effectively and ethically. Failure to meet obligations can lead to legal exposure, regulatory scrutiny, and damage to organisational reputation. By clearly understanding duties, employers can handle cases confidently, safeguard staff rights, and ensure public trust is maintained.
Employer Obligations Under UK Law and Regulator Codes
Employers of regulated professionals must comply with both statutory obligations and professional regulator codes. In the UK, key regulators include the GMC, HCPC, NMC, and Social Work England. Employers are expected to:
Promote and maintain professional standards within the workplace
Investigate concerns promptly, thoroughly, and fairly
Report serious issues to the relevant regulator without delay
Non-compliance can result in legal action or penalties for the organisation, as well as potential harm to the public. For example, failing to report a healthcare professional who repeatedly breaches clinical protocols could endanger patient safety and attract regulatory action. Maintaining clear policies that integrate both internal HR procedures and external regulatory requirements helps employers act decisively and transparently.
What “Duty to Refer” Looks Like in Practice
The duty to refer is a statutory and regulatory requirement that applies when an employer has serious concerns about a professional’s conduct, competence, or health. This duty ensures that regulators can take appropriate action to protect the public. In practice, duty to refer involves:
Evaluating whether the concern meets the threshold for reporting
Collecting and documenting all relevant evidence, including emails, witness statements, and incident reports
Submitting accurate, complete, and timely reports to the regulator
Employers should ensure that the referral clearly explains the nature of the concern and the steps taken internally to investigate it. Acting promptly and thoroughly demonstrates that the organisation prioritises both public safety and fairness to the employee.
Navigating the Overlap: HR Policies vs External Regulator Investigations
Fitness to practise investigations often coincide with internal HR procedures such as disciplinary action or performance management. Employers must carefully coordinate these processes to prevent double jeopardy or conflicting outcomes. Key considerations include:
Ensuring HR investigations do not compromise ongoing regulatory investigations
Avoiding decisions that may conflict with regulator findings
Maintaining consistent documentation across both internal and external processes
A clear policy framework outlining how internal HR actions interact with regulator requirements can prevent confusion, reduce risk, and protect employees’ rights. It also reassures regulators that the employer is managing cases responsibly.
Protecting Staff Rights
Employees under investigation have legal and ethical rights that must be respected. Employers should focus on:
Confidentiality: Limiting information to those directly involved in the process
Fairness: Allowing the professional to respond to allegations and present evidence
Non-discrimination: Ensuring that decisions are not influenced by bias or assumptions
Upholding these principles protects the individual while maintaining organisational integrity. Transparent and impartial processes also help to minimise stress for employees and reduce the likelihood of legal challenges.
Consequences of Mishandling a Case
Mismanagement of a fitness to practise concern can have serious repercussions, including:
Legal claims from employees for unfair treatment or breach of employment law
Regulatory scrutiny or sanctions for failure to comply with reporting duties
Damage to organisational reputation among staff, patients, and the public
Increased operational risk if unsafe practices continue unchecked
Best Practices for Employers
To navigate fitness to practise concerns effectively, employers should:
Develop and regularly update policies aligning with regulatory requirements
Train managers on the duty to refer and their responsibilities under the law
Maintain detailed documentation of all concerns, investigations, and decisions
Communicate clearly with staff while respecting confidentiality
Seek legal or professional advice when in doubt
Adopting these practices helps ensure that employers can respond appropriately to concerns while protecting staff and organisational interests.
Prevention & Long-Term Risk Management
Effective risk management in professional settings goes beyond reacting to incidents as they occur. Organisations that adopt a proactive approach not only protect staff and service users but also strengthen long-term resilience and credibility. Prevention is about embedding a culture of professionalism, supporting employees, and reducing the likelihood of events that could trigger regulatory action. By focusing on continuous improvement and accountability, employers can create a safer, more effective workplace.
Embedding a Culture of Professionalism
A culture of professionalism forms the backbone of sustainable risk management. This includes:
Ongoing supervision: Regular check-ins allow managers to provide guidance, address concerns early, and identify training needs before problems escalate.
Reflective practice: Encouraging staff to review their own work promotes continuous learning and self-awareness.
Early intervention: Addressing minor issues proactively prevents them from developing into serious incidents.
When organisations foster these practices consistently, staff feel supported, and standards are maintained across teams, reducing the likelihood of complaints or disciplinary action.
Proactive Measures
Taking proactive measures demonstrates a commitment to professional development, well-being, and accountability. Key strategies include:
CPD tracking: Monitoring continuous professional development ensures that staff maintain up-to-date skills and knowledge.
Wellbeing checks: Regularly assessing employee mental and physical health promotes resilience and reduces absenteeism.
Competency reviews: Objective performance evaluations identify areas for improvement and prevent skill gaps from impacting service quality.
Anonymous reporting systems: Allowing staff to report concerns without fear of retaliation fosters transparency and early problem resolution.
These proactive approaches create a supportive work environment and ensure that emerging issues are addressed before they escalate into serious breaches.
Managing Health-Related Concerns Sensitively
Health-related concerns require a careful balance between supporting employees and protecting service users or patients. Organisations can implement measures such as:
Adjusted work schedules or duties
Reasonable accommodations for temporary or long-term conditions
Temporary redeployment while maintaining service quality
A structured, empathetic approach ensures compliance with regulatory requirements and demonstrates organisational responsibility. Staff are more likely to feel valued and supported, which contributes to a positive work culture and overall professionalism.
Turning Lessons Learned into Policy Improvements
Every incident or complaint provides an opportunity to strengthen organisational processes. By analysing the root causes and outcomes, employers can:
Update training programs and professional development initiatives
Refine reporting and escalation procedures
Clarify organisational policies and expectations
Turning lessons learned into policy improvements enhances resilience, reduces future risks, and ensures that the organisation continuously evolves to meet professional standards.
The Reputational Upside
Proactively managing risks and demonstrating accountability offers significant reputational benefits:
Attracting talent: Skilled professionals are drawn to organisations with strong support systems and professional cultures.
Building public trust: Transparent, responsible practices increase confidence among patients, clients, and stakeholders.
Demonstrating leadership: Organisations that prioritise professionalism position themselves as leaders in their sector.
A proactive, prevention-focused culture reduces incidents, safeguards professional standards, and fosters long-term organisational success.
Don’t Face Regulatory Action Alone
Dealing with regulatory investigations or fitness to practise issues can be stressful, but you don’t have to face it alone. What Rights is here to support professionals like healthcare workers, teachers, accountants, and other regulated staff every step of the way. We can help with fitness to practise referrals and hearings, interim order hearings, restoration and registration, employer investigations, inquest support, and student fitness to practise hearings. Having expert guidance means you can navigate the process with confidence, protect your reputation, and get the outcomes you need.
Acting early makes a big difference and can prevent small issues from becoming bigger problems. For advice or support tailored to your situation, reach out to What Rights at 01223 803873 or info@whatrights.co.uk and take control of your professional future today.
