Pre-hearing case management
The purpose of pre-hearing case management is to facilitate the effective and efficient running of fitness to practise panel hearings.
Pre-hearing case management
Last updated: 16 December 2022
- About this guidance
- Purpose of pre-hearing case management
- Roles and responsibilities of different participants
- Overview of the pre-hearing case management process
- Case management process
- Guidance for social workers on responding to the case management questionnaire
- Standard case management directions
- Case management meetings
- Annex A: Standard directions
About this guidance
Who this guidance is for
This guidance is for (all of the following):
- social workers and their representatives
- adjudicators
- legal advisers
- Social Work England’s external legal provider
- Social Work England’s hearings team
What this guidance will cover
This guidance will cover (all of the following):
- the purpose of case management
- the roles and responsibilities of participants in case management
- an overview of the case management process, including the case management questionnaire
- case management directions, including standard directions and variations to the standard directions
- explanation of the case management meeting process
- Annex A: text of standard directions
Purpose of pre-hearing case management
Pre-hearing case management facilitates the effective and efficient running of final fitness to practise or restoration hearings.
- Hearings are effective and efficient when they (do all of the following):
- run to schedule
- have minimal downtime
- hear witnesses at prearranged time slots (to minimise wait time)
- are completed within the hearings timetable without adjourning part-heard (meaning a further listing is required to complete the hearing)
It’s generally in the public interest to hold effective and efficient hearings. This also makes sure that we can meet the interests of all the parties (the social worker, their representative, and Social Work England).
Making sure cases are completed as quickly as possible
There are steps we (Social Work England) take before the hearing to make sure we complete cases as quickly as possible. This includes (doing all of the following):
- identifying which facts about the fitness to practise allegation are agreed
- identifying which facts remain in dispute (and are for the adjudicators to determine)
- identifying whether the social worker admits that their fitness to practise is impaired
- identifying the nature and volume of evidence (witness and documentary) that each party will present to the adjudicators
- identifying witnesses whose evidence is agreed (and therefore may not need to attend the hearing to give evidence)
- resolving legal and procedural issues in advance so they do not take up hearing time
- agreeing a hearing timetable (based on the time each party reasonably needs to present their evidence and submissions)
- consider formal applications made by either party, for example (any but not limited to the following):
- hearsay
- postponement
- redaction
- joinder of cases
- hearing format
- amendments to allegations
- special measures
Resolving pre-hearing issues
The pre-hearing case management process encourages the parties to first communicate with each other. This allows them to address and resolve pre-hearing procedural matters.
A direction is an instruction to the parties as to how to prepare their case. The standard directions aim to assist the parties by setting directions that will apply in every case (unless the parties disagree). The standard directions are set out in Annex A and are explained in further detail below.
In most cases, agreement between the parties will resolve pre-hearing case management issues. A hearings case manager from the hearings team will oversee this agreement. Where necessary, the hearings case manager may also facilitate case management conferences between the parties to assist them in resolving issues ahead of the hearing wherever possible.
Case management meeting
There may be circumstances where the parties cannot agree on a pre-hearing legal or procedural issue, or where the parties require the approval of the adjudicators to take a particular step. This may require a case management meeting.
The case management procedures and powers are set out in rules 25 to 30 of the Fitness to Practise Rules 2019 (as amended). These rules allow for case management meetings to be held by both the regulator (our hearings case manager) or an adjudicator and for the regulator or the adjudicator to give case management directions to the parties. In general, the hearings team will appoint a suitable adjudicator (or adjudicators) as a case manager. The adjudicator (or adjudicators) will then chair the case management meeting. This includes issuing case management directions.
The adjudicator that chairs the case management meeting does not need to be the same adjudicator that hears the case (although sometimes continuity of the adjudicators will make the hearing more efficient). [1] There may also be occasions where the adjudicators must not be the same adjudicators that sit on the final hearing, for example, where a decision has been made on discontinuance in part.
[note 1] Rule 30 – Fitness to Practise Rules 2019 (as amended) states that the directions need not be given by the person who hears the case.
Case management directions
Case management directions may include (any of the following):
- the format of the final hearing (in-person, remote or a mix of both – we call this ‘hybrid’)
- how a witness may give evidence
- whether a witness should be treated as vulnerable (and the implications of this for how they give evidence)
Directions may also be given on legal arguments. For example, about admissibility of evidence.
Case management directions are binding on both the parties and on the adjudicators that consider the fitness to practise hearing. This is unless the adjudicators consider that (either of the following apply):
- there has been a material change of circumstances
- it is not in the interests of justice for that to be the case [2]
This means that the adjudicators may prevent a party from calling evidence at the hearing if they failed to disclose or mention it during pre-hearing case management [3]. Unexpected additional evidence can be disruptive to the smooth progress of a hearing. This applies equally to Social Work England as it does to the social worker.
[note 2] Rule 29 - Fitness to Practise rules 2019 (as amended)
[note 3] Rule 31 – Fitness to Practise rules 2019 (as amended) which states that ‘where a party fails to comply with these rules or a case management direction, the fitness to practise panel or the regulator may (a) draw adverse inferences; and (b) refuse to admit evidence where the failure relates to the admissibility of that evidence.
Participation
The social worker does not have to take part in the pre-hearing case management process. However, they should bear in mind (both of the following):
- it is their professional duty to cooperate with investigations into their fitness to practise [4]
- it is in their interests to participate as case directions are binding on the parties and the adjudicators that hear the case
If the social worker does not participate in the pre-hearing case management process, they will still be subject to the case management directions. These directions may restrict how they can present their case at the hearing.
The adjudicators may also take a social worker’s failure to engage into account when assessing their current fitness to practise. For example, the adjudicators may draw a negative conclusion from the social worker’s failure to comply with directions. This is called ‘drawing adverse inferences’. [5]
[note 4] Standard 6.7 of the Social Work England Professional Standards, requires social workers to cooperate with any investigations by their employer, Social Work England, or another agency, into their fitness to practise or the fitness to practise of others.
[note 5] Rule 31 - Fitness to Practise Rules 2019 (as amended)
Roles and responsibilities of different participants
The hearings case manager
The hearings team facilitate the scheduling and logistics of the hearing. The hearing is held before independent adjudicators. The hearings team are not involved in decision making and do not represent the views of Social Work England as a party to the proceedings. When a case is referred to a hearing, we will assign it to a hearings case manager.
The hearings case manager will be responsible for (all of the following):
- facilitating pre-hearing case conferences between the parties (if required)
- facilitating the scheduling of the hearing and the appointment of the adjudicators
- organising a case management meeting (if required)
- issuing agreed directions
Social Work England
Social Work England is a party to the proceedings as we are bringing the fitness to practise case against the social worker. We will engage an external legal provider to prepare the case and appear on our behalf during the proceedings. The external legal provider will assign a specific advocate to the case.
Our external legal provider will be responsible for (all of the following):
- preparing the case for a hearing
- complying with directions
- preparing the notice of hearing and statement of case
- engaging and liaising with the social worker and their representative
The adjudicators
The hearings team will appoint the adjudicators to conduct the hearing. An adjudicator (or adjudicators) may also be involved in the pre-hearing case management process particularly if a case management meeting is required. If the parties do not agree, or if decisions are required on legal issues, they will issue directions.
Overview of the pre-hearing case management process
The steps below outline the pre-hearing case management process.
1. The case examiners refer the case to the adjudicators for a final fitness to practise hearing.
2. Social Work England instructs its external legal provider. The provider then sends an introductory letter to the social worker explaining their role. The provider will usually appoint a lawyer at this stage to act on behalf of the regulator. Social Work England’s lawyer will review the case and produce a case management questionnaire (CMQ).
3. The hearings case manager issues the CMQ for the social worker to complete. Once completed, they should return this to the hearings team.
4. Based on the responses in the CMQ, the hearings case manager issues draft directions to parties. They will ask the parties to agree (or indicate where they do not agree) with the directions.
5. Where the parties agree, the hearings case manager issues directions.
6. Where the parties do not agree:
- 6.1. If there are only minor disagreements, the case will be listed for a case conference with a hearings case manager and the parties.
- 6.1.1. If the parties still cannot reach agreement following the case conference, the hearings case managers will list the case for a case management meeting before the adjudicators. The parties can attend this. (go to step 7)
- 6.1.2. If the parties can reach an agreement at case conference, then the hearings case manager will issue directions. (go to step 9)
- 6.2. In some cases, the parties may have major disagreements or legal issues. If so, the hearings case manager will list the case for a case management meeting before the adjudicators. The parties can attend this. (go to step 7)
7. The hearings case manager will issue 7 calendar days’ notice for the case management meeting.
8. The case management meeting takes place. The adjudicators will then issue directions.
9. The hearings team sets the date of the hearing. They will then appoint the adjudicators and legal adviser.
10. If both parties comply with the directions:
- 10.1. Social Work England’s external legal provider will disclose the case to the social worker. This includes providing a draft statement of case and a response form.
- 10.2. The social worker will disclose their case to Social Work England’s external legal provider. This includes providing their completed response form.
- 10.3. Social Work England’s external legal provider will send the notice of hearing to the social worker. This usually includes the final statement of case.
- 10.4. The parties will agree the hearing bundles, witnesses required to attend the hearing and hearing timetable.
- 10.5. The hearings team will send bundles to the adjudicators and legal adviser ahead of the hearing.
11. In some cases, the parties may not comply with the directions or there may be legal or procedural issues. If so, a further case conference or case management meeting may be required (go back to step 6).
12. The hearing takes place.
Case management process
Case management questionnaire
Following referral to a hearing, Social Work England’s external legal provider will prepare and present the case. The hearings team will assign the case to a hearings case manager.
Our external legal provider will do a review of the case and complete a case management questionnaire (CMQ). They then provide this to the hearings case manager.
The hearings team and hearings case manager use the information from the questionnaire to (do both of the following):
- identify available options for hearing dates
- appoint the adjudicators to hear the case
In the questionnaire, our external legal provider will include relevant information to assist the hearings team. This includes the information listed below.
Regulatory concerns
Our external legal provider will set out the regulatory concerns that were referred from the case examiners.
Time estimate
Our external legal provider will provide a realistic estimate of how much time they will need to complete case preparation. The time estimate will be case specific. It will not be formulaic. For example, they will not assume that a certain number of witnesses equates to a certain number of weeks of preparation.
Disclosure of the statement of case and evidence to the social worker
Our external legal provider will indicate when they intend to have completed their investigation by and will be ready to disclose the evidence relied on and the draft statement of case to the social worker.
We will aim to disclose the case to the social worker as soon as reasonably possible after any additional documentary evidence and witness statements have been gathered.
Witnesses
Our external legal provider will be able to advise of the number of witnesses that they are likely to call to give evidence.
Our external legal provider should have already made enquiries about the likely availability of witnesses. They should also have requested appointments to take witness statements.
Views on standard directions
Our external legal provider will indicate whether the standard directions are likely to be suitable. If they are not, the case may require a case management meeting.
For example, the case may require a case management meeting because (either of the following apply):
- the case requires alternate directions outside of the standard directions
- the adjudicators need to determine a legal or procedural issue ahead of the hearing
Suitability of a remote hearing
Our external legal provider will indicate whether they anticipate any issues with the hearing being heard remotely.
Listing window
The hearings case manager will establish a listing window. A listing window is a range of dates when the adjudicators may hear the case, for example between April to July.
The hearings case manager will base the listing window on the time estimate that our external legal provider has provided (in the questionnaire) and witness availability (if relevant).
Social worker's response
Once the hearings case manager has identified a listing window, they will send the case management questionnaire to the social worker.
This questionnaire also gathers important information that will assist with scheduling the hearing. This includes (all of the following):
- the social worker’s response to the regulatory concerns (including whether they are admitted or denied)
- whether the social worker intends to call any witnesses to give evidence
- any dates in the listing window that the social worker, their representative or their witnesses (where applicable) are not available
- whether the social worker objects to the hearing taking place remotely and if so, the reasons why
- whether the standard directions are suitable for the case (or whether the social worker considers there need to be any variations to the standard directions listed in Annex A or other directions issued)
- whether the social worker requires a case management meeting and, if so, the reasons why. For instance, because they need alternate directions outside of the standard directions. Or, because a legal or procedural issue needs to be determined ahead of the hearing.
- whether the social worker needs any adjustments for the hearing
Guidance for social workers on responding to the case management questionnaire
In this section, we provide some practical tips for how a social worker might respond to the case management questionnaire.
Representation
It is up to the social worker whether they want a representative to help them with their response to the case. A representative can either respond on their behalf or assist them in preparing their response.
It may be helpful for the social worker to get (any of the following):
- advice from their defence organisation or professional body (if they are a member)
- free legal advice from organisations, such as a law centre or Citizens Advice
- private legal representation
- advice or support from a suitable other person
We encourage social workers to respond to the case management questionnaire, even if they do not have representation. This makes sure they have an opportunity to respond to the alleged concerns about their fitness to practise.
Admitting or denying the regulatory concerns
The social worker (or their representative) should state whether they admit, partially admit or deny the regulatory concerns. They should also state whether they admit or deny impairment of their fitness to practise.
The social worker will have a further opportunity to respond to the allegations once the draft statement of case has been served.
The social worker's case
The social worker (or their representative) should consider setting out what evidence they need to collect in the CMQ.
The social worker will have been aware of the fitness to practise concerns and the evidence Social Work England are relying on to support those concerns from when we initially opened the investigation (if not before).
This means that, in most cases, the social worker will know about the issues by the stage of hearing case management.
The social worker may need time to review their case after they receive the draft statement of case and supporting evidence from our external legal provider. However (for the most part) the social worker’s case preparation time should run concurrently with that of Social Work England.
Witnesses
The social worker (or their representative) should indicate in the CMQ whether they intend to call any witnesses to give evidence. They should also indicate the likely availability of those witnesses.
When preparing their case, the social worker should identify any witnesses who support their case and get statements from them setting out the witness’s account. Any witness statements they wish to rely on in support of their case should include a statement of truth. The witness should also sign this statement. Social Work England’s external legal provider can provide a template statement for the social worker’s use if required.
Format of hearing
In the first instance, our hearings will be listed as remote hearings. A remote hearing is where all parties attend via a video conferencing platform. In some instances, a remote hearing may not be suitable.
The social worker must indicate in the CMQ whether they object to a remote hearing. If so, they should state the reasons why.
Standard directions
Social Work England’s external legal provider will ask the social worker to confirm whether they agree that the standard directions are suitable. Or, whether they require any variations to the standard directions. Further detail about the standard directions is set out in the next section.
Whether a case management meeting may be required
The social worker (or their representative) should indicate whether they intend to raise any legal or procedural arguments. If so, this may require a case management meeting and a decision by the adjudicators ahead of the hearing. Further details about the case management meeting process are set out in the next section.
Standard case management directions
A direction is an instruction to the parties as to how to prepare their case. The hearings case manager (with agreement by the parties) or adjudicator(s) will issue directions.
Any delay in complying with directions could jeopardise the scheduling of the hearing. This will delay the conclusion of the case and could increase costs to both parties. If either party is not able to comply with a direction in the stated timescale, they should contact the hearings case manager immediately. They should outline the reasons why they are not able to comply.
To improve the management of cases, we have created standard directions. Standard directions will apply to every case unless the parties do not agree.
They relate to (all of the following):
- exchange of evidence (statement of case, social worker response and bundle, and unused material)
- admissions to the facts
- evidence (final hearing bundles, hearsay, requirements to call witnesses)
- hearing arrangements (hearings timetable)
Full details of the standard directions are set out in Annex A.
If (either of the following):
- both parties agree in the case management questionnaire that the standard directions apply
- neither party requests any variation to the standard directions
the hearings case manager will issue a directions order. This is based on the standard directions.
Standard directions relating to the exchange of evidence
Statement of case
There will be a direction that requires our external legal provider to serve a draft statement of case on the social worker.
The draft statement of case will include (all of the following):
- background to the case
- the allegations of impaired fitness to practise against the social worker
- the evidence (witness statements and documents) that we will rely on to prove each allegation
- the social worker’s earlier admissions or evidence previously provided (if applicable)
The allegations will largely mirror the regulatory concerns referred by the case examiners. However, our external legal provider may make some amendments to further clarify the allegations. This will assist the social worker in understanding the case against them. It can also assist the adjudicators in making findings at the final hearing.
The social worker and their representative should read the statement of case carefully.
Social worker's response and bundle
There will be a direction that requires the social worker to send their response and bundle. This should include (all of the following):
- their response to the statement of case
- their response to the allegations
- their response to the witness statements
- disclosure of any witness statements and documents that they want to rely on in support of their case
The social worker must send this to our external legal provider by a specified date. If the social worker needs more time to do this, they should contact the hearings team. This may mean they need a variation to the standard directions.
The social worker should carefully review all of our documents to help them prepare their response. If the social worker has previously provided evidence or submissions, the documents will contain their earlier responses. Our external legal provider will have referred to these in the statement of case.
Social Work England’s external legal provider will provide the social worker with a response form. This will assist them in responding to the allegations and the witness statements.
The social worker should review all of the documents and (do all of the following):
- decide which (if any) of the allegations set out in the statement of case they admit or deny
- prepare any written response they wish to make to the allegations
- provide any evidence in support of their response
- decide whether they agree or disagree with the content of each of the witness statements (and indicate which parts of the statement they agree with and which parts they disagree with)
- decide if they have questions for each of the witnesses relevant to the allegations that are set out in the statement of case. If so, they should identify if they require any (or all) of the witnesses to attend the hearing to answer those questions.
- indicate on the response form if they disagree with any parts of a witness statement. They should also indicate if they want to raise any issues (that support their case) that the witness has not addressed in their statement. We will ask that witness to attend the hearing so that the social worker can explain their version of events to the witness. The social worker can ask the witness to comment or ask any questions they may have for the witness.
The social worker should obtain any documentary evidence that they would like the adjudicators to consider at the final hearing. This may relate to (any of the following):
- the allegations
- details of their current practice
- details of any remediation that they have done since the matters alleged took place
Once the social worker has responded, Social Work England’s external legal provider will update the statement of case to include the social worker’s response.
Unused material
There will be a direction requiring Social Work England’s external legal provider to provide the social worker with a schedule (list) of any unused material.
Unused material refers to any documents (or other evidence) that we have gathered during the investigation but do not form part of the evidence we’ll rely upon to prove the case. As such, they will not be included within the final hearing bundle(s).
Our external legal provider will tell the social worker about any unused material that might reasonably be considered capable of (one or both of the following):
- undermining Social Work England’s case
- assisting the social worker’s case
Our external legal provider will normally provide the social worker with a copy of the relevant documents or evidence in addition to the schedule. If they are not able to do so, they will tell the social worker why that is the case. They will also let the social worker know how they can request or view the relevant evidence.
The social worker can rely on evidence we disclose (as unused material) in their response to Social Work England’s case. They can ask for our external legal provider to include this in the final hearing bundle(s) so that the adjudicators will consider it. If the social worker would like to do this, they must make sure that they provide a copy of the relevant document(s). Alternatively, they must tell our external legal provider which document(s) they would like to rely on. The social worker should do this when they disclose their case in accordance with the deadline set out in the case management directions.
Standard directions relating to admissions to the facts
There will be a direction requiring the social worker to say whether they admit any of the facts. The direction will set out what will happen based on how they respond.
When our external legal provider discloses Social Work England’s case, they will ask the social worker to complete a response form. In this form, the social worker can confirm which of the factual allegations they admit (if any) and which remain in dispute.
If the social worker confirms that they admit any of the factual allegations, our external legal provider will treat this as a formal admission. They will invite the adjudicators to find the relevant factual allegation proved on this basis. This means we don’t have to prove the allegation by calling witnesses to give evidence at the hearing. However, they will have the witnesses on standby to attend the hearing in case the social worker or the adjudicators have questions for the witnesses.
Before completing the response form, the social worker may have made admissions to the facts that underpin the regulatory concerns. Our investigators will have given them the opportunity to do so during the investigation. The social worker may also have made admissions when speaking to others about the concerns. For example, during an investigation by their current or former employer.
Our external legal provider will usually identify any previous admissions in the draft statement of case. They will rely on these to prove the case (unless it would be unfair to do so). It is very important that the social worker tells our external legal provider if there are any reasons why they should not rely on any previous admissions. They should do this when completing their response form.
If the social worker admits any of the allegations, our external legal provider will prepare a draft statement of agreed facts. If this is agreed by the social worker, Social Work England’s external legal provider will provide it to the adjudicators before the final hearing.
Standard directions relating to evidence
Final hearing bundles
There will be a direction about what actions will be required from either party if the contents of the final hearing bundle are not agreed.
In advance of the hearing, the adjudicators will be provided with (all of the following):
- the final statement of case
- witness statement bundle
- exhibit bundles
- the social worker’s response bundle
The final statement of case will set out (all of the following):
- matters that are agreed between the parties
- matters that are not agreed between the parties
- the basis for alleging impaired fitness to practise
If the social worker admits that their fitness to practise is impaired, then our external legal provider may prepare a draft submission. This submission will be on the proposed sanction. The social worker may also prepare a draft submission in response on the question of sanction.
The parties should aim to agree the contents of the hearing bundle in advance of the hearing. They should consult with each other about any redactions that they need Social Work England’s external legal provider to make to the evidence bundle. Redactions are content that needs to be removed to ensure fairness of the proceedings.
The burden is on both parties to make sure the content of the bundle does not include prejudicial material. This means material that may unduly influence adjudicators to reach a decision at the final hearing on an improper basis. For example, if the bundle references allegations against the social worker that were previously closed by the case examiners and that Social Work England are no longer pursuing.
It is especially important that our external legal provider reviews the bundle carefully if the social worker is not represented.
If the parties are unable to agree the content of the hearing bundle (including redactions), we may arrange a case management meeting. An adjudicator case manager can then determine the final contents of the hearing bundle. In some cases, it may not be possible or practicable for a case management meeting to take place in advance of the hearing (usually when there is not enough time to hold a case management meeting before the hearing starts). If so, our external legal provider will provide a bundle to the adjudicators at the final hearing, with any disputed documents removed or redacted. The adjudicators will then decide whether they will allow any of the disputed documents into evidence.
The parties should revisit the hearing timetable if there are any developments in the way each party intends to present its case. This includes reconsidering which witnesses need to be called to give live evidence.
Hearsay
In some cases, Social Work England may make a proposal to rely on hearsay evidence. If so, there will be a standard direction that sets out a deadline for the social worker to object.
While this is a standard direction, because we often rely on hearsay evidence, it may not be applicable in every case. Our external legal provider will inform the social worker, usually in the draft statement of case, whether Social Work England intend to rely on hearsay evidence.
In simple terms, evidence will be hearsay when we (both of the following):
- are not calling the person who is able to give direct (first-hand) evidence at the hearing
- wish to still rely on that person’s evidence as being true to prove the case
This could include circumstances where (either of the following apply):
- a witness has provided us with a formal signed statement but is unable or unwilling to give evidence during the hearing
- we have not obtained a formal signed statement from the person who is able to give direct (first-hand) evidence
If we do not have a formal signed statement, Social Work England may call other witnesses to give evidence or produce documents. These should set out what the relevant person’s account is.
We may seek to rely on hearsay evidence if the person who is able to give direct (first-hand) evidence is a child or a vulnerable service user.
If Social Work England know in advance of the hearing that we will seek to rely on hearsay evidence to prove a disputed fact, we will identify the relevant evidence usually in the draft statement of case. We will also tell the social worker why we do not intend to call the relevant person to give evidence at the hearing.
If the social worker objects to our proposal to rely on hearsay evidence, we will (do either of the following):
- call the relevant person to give evidence
- make an application at a case management meeting. At this meeting, the adjudicators will decide whether the witness evidence can be admitted.
Requirement to call witnesses
In some cases, the parties will agree to the contents of the witness statements in writing. If so, there will be a standard direction that states that either party is not required to call a witness.
Both parties should carefully review any witness statements that the other party are relying on. They should do this to decide whether they agree to the contents.
Agreement of witness statements will make sure that Social Work England only call those witnesses who are required to attend the hearing. These will be witnesses that Social Work England need to give evidence and answer questions. This helps make sure that the length of the hearing is set correctly.
Standard directions relating to the hearing timetable
There will be a direction requiring the parties to agree to the hearing timetable. The directions will also set out what will happen if the parties do not agree.
Our external legal provider will prepare a hearing timetable. This timetable will set out the proposed elements of the hearing by each hearing day. At first, they may only be able to provide this information in draft.
The draft timetable will include time for the (both of the following):
- witnesses (who have been identified as being required to attend the hearing) to give oral evidence
- social worker (and their representative) to make submissions to the adjudicators
Our external legal provider will ask the social worker to indicate if they agree to the proposed hearing timetable. If they do not agree, they should identify what changes they would like our external legal provider to make. For example, the social worker may do this if (either of the following apply):
- they intend to call a witness not listed on the timetable
- they need more time to ask questions of a witness
The timetable is subject to change and will evolve to become a finalised comprehensive agenda for the hearing. The parties are expected to liaise closely about the content of the hearing timetable throughout the case management process.
The hearing timetable sets out the proposed elements of the hearing by each hearing day.
For example:
Day 1: Opening submission by Social Work England, witness 1 (am), witness 2 (pm).
Day 2: Social Work England’s witness 3 (am), social worker’s opening submission, witness 1 (am), witness 2(pm).
Day 3: Social worker’s witness 3 (am), witness 4 (am). Closing submissions on facts by both parties (pm), adjudicators in camera [6] on facts.
Day 4: Adjudicators announce findings of fact (am), submissions on impairment (if required) by both parties, adjudicators in camera on impairment (pm).
Day 5: Adjudicators announce finding on impairment, submissions on sanction (if impairment found), adjudicators in camera on sanction (am), adjudicators announce sanction (pm).
When preparing the timetable, our external legal provider should carefully consider (all of the following):
- the complexity of the subject matter in the case
- the amount of evidence that is contested (not agreed between the parties)
- the likely amount of time the adjudicators will need for decision-making at the final hearing
A realistic and detailed hearing timetable is important to the efficient running of a hearing. It is also important that all parties agree on the timetable. This allows us to accurately determine how long the hearing should be. More importantly, it allows us to schedule and call witnesses within a reasonable time frame. This minimises disruption to the witnesses.
While our external legal provider is finalising the hearing timetable, the parties should make sure that they have up-to-date information about witness availability.
If necessary, the adjudicator case manager (the adjudicator who will run the case management meeting) may direct the final terms of the timetable at a case management meeting.
[note 6] When the adjudicators are ‘in camera’, this means they meet in private with the legal adviser to discuss the case and make a decision. Social Work England and the social worker do not attend.
Variations to the standard directions
In some cases, one or both of the parties may request variations to the standard directions. If so, the hearings case manager will first seek the other party’s agreement to the proposed variations. If both parties agree to the variations, then the hearings case manager will issue a directions order based on the agreed directions.
Some examples of variations to the standard directions include (any of the following):
- adjustments to time periods for when documents should be served or deadlines for when responses are due
- changing the format of the hearing (for example from remote to hybrid or in-person)
If the parties cannot agree on directions, the hearings case manager will arrange (one of the following):
- a case conference between the parties. This aims to facilitate agreement. If the parties can reach an agreement, the hearings case manager will issue a directions order.
- a case management meeting before an adjudicator case manager. The hearings case manager will arrange this if a case conference doesn’t lead to agreement or is not appropriate in the circumstances. An adjudicator or adjudicators will then issue directions.
The case management meeting process is set out in more detail in the next section.
Case management meetings
Case management meetings will be necessary when there are (one or both of the following):
- procedural issues (meaning there is disagreement between the parties on directions)
- legal issues (meaning there is a legal matter that requires a decision or direction from adjudicators such as an application for discontinuance in part)
Arranging a case management meeting
The parties should try to agree on the format of the case management meeting. If they cannot agree, the adjudicator case manager or the hearings case manager can decide [7].
The hearings team will arrange the case management meeting, usually by video conference. This meeting will be between the parties and chaired by an adjudicator case manager.
The adjudicator case manager can also conduct a case management meeting ‘on the papers’. This means they will conduct the meeting with neither party attending.
[note 7] Rule 26(a) – Fitness to Practise rules 2019 (as amended)
Notice
The hearings team must give the social worker at least 7 calendar days’ notice of the case management meeting. This is unless the parties agree to another notice period [8].
[note 8] Rule 26(b) – Fitness to Practise rules 2019 (as amended)
Making an application
In some cases, there is a particular legal or procedural issue that requires an adjudicator decision at a case management meeting. If so, the party seeking resolution of the procedural or legal issue needs to make an application. The application should explain the legal issue and set out the arguments of the party in relation to that legal issue.
The party making the application should make sure the application has been (both of the following):
- sent to the other party using the contact address they have provided (usually email)
- provided to the hearings team at [email protected]
This should be done ahead of the case management meeting. The parties should reach an agreement on the timeframe within which the other party should respond to the application.
The hearings team will aim to provide the application (and any response to the application) to the adjudicator case manager and legal adviser. Where possible, they will do this before the case management meeting.
Who will attend a case management meeting
The following people will attend a case management meeting:
- the adjudicator case manager (who will run the meeting)
- the legal adviser (who will give the adjudicator or adjudicators legal advice)
- a hearings officer
The social worker (or the social worker’s representative) and Social Work England’s advocate may attend the meeting, but this is not compulsory. The case management meeting will happen whether or not all parties join the meeting.
Decisions available at a case management meeting
This is a non-exhaustive list of the types of matters that can be considered at a case management meeting. The outcome of the case management meeting will either result in a direction or a decision.
Discontinuance in part
In some cases, there is no longer a realistic prospect of finding one or more regulatory concern(s) (factual particulars) and/or statutory grounds capable of proof.
If so, our external legal provider can make an application that part of the regulatory concern(s) and/or ground(s) should be discontinued. That means those specific elements will no longer form part of the case that will be heard at a final hearing. We call this ‘discontinuance in part’.
You can read detailed guidance on discontinuance. This outlines (all of the following):
- the process of discontinuance
- when it may be suitable
- how it will be applied
Amending allegations
When the case examiners refer a case to a fitness to practise hearing, they refer the broad regulatory concerns. Social Work England will then clarify the regulatory concerns into formal allegations which will be set out in the draft statement of case.
The adjudicator case manager may give directions about whether some (or all) of the allegations set out in the draft statement of case need amending. They can do this following an application from either party or of their own motion.
An application at the case management meeting stage will allow both parties to have clarity on the exact nature of the concern. This makes sure case preparation is focused and accurate. This is useful where the allegation is central or material to the overall case.
In some cases, there may be minor amendments needed, such as correcting typographical errors or dates. Social Work England’s advocate will raise this as a preliminary issue before the hearing commences.
Hearsay applications
In some cases, the parties may not agree on the admission of hearsay evidence. If they cannot reach an agreement, they may need to make an application at a case management meeting. Adjudicators will then decide whether the evidence can be admitted as evidence at the hearing.
Content of bundles
In some cases, the parties may not agree on the content of the final hearing bundle. If they cannot reach an agreement, the adjudicators may need to decide the final content of the bundle.
Engaging a legally qualified person (special counsel)
There may be cases where we appoint a legally qualified person. We will appoint this person to cross examine a witness on behalf of a self-represented social worker.
For example, if a witness is a child and is giving evidence against the social worker. In this instance, allowing the social worker to directly cross examine the child is likely to be inappropriate. The adjudicators may direct us to appoint the legally qualified person.
This does not include allegations of a sexual nature. For more detail on this, read the next section.
Other directions that may be made at a case management meeting
The adjudicators can issue any directions they consider are appropriate in the circumstances of the case. This is a list of the most common types of directions.
Vulnerable witnesses
The adjudicator case manager may give directions about whether a witness is to be treated as vulnerable. If so, they can also give directions about what measures we should take to facilitate the witness giving their evidence. They can do this following an application from either party or of their own motion.
Witnesses in cases of a sexual nature
A social worker may choose to be self-represented at the hearing. If the case involves an allegation of a sexual nature, the social worker is not entitled to cross examine the alleged victim. This is unless the victim agrees in writing to be cross examined by the social worker. [9]
In these circumstances, the hearings team may appoint a legally qualified person. An adjudicator case manager can also direct the hearings team to do this.
[note 9] Rule 42 – Fitness to Practise rules 2019 (as amended)
Format of the hearing
While it is better for the parties to be able to agree the format of the hearing, in some cases the parties cannot achieve a consensus. If so, the adjudicator case manager will make a direction.
When deciding whether a hearing should be held remotely, as a hybrid or in-person, the adjudicator case manager should consider the factors set out in Social Work England’s remote hearing protocol.
Joinder
The adjudicator case manager may direct that two or more matters are listed for one final hearing [10]. This may be because they are (either of the following):
- different events that relate to the same social worker
- the same events involving two or more social workers
We call this a ‘joinder’.
If the case relates to two or more social workers, we will adapt the arrangements for case management accordingly. This is subject to any necessary protections for each social worker. For example, restricting disclosure of their case to the other social worker(s).
[note 10] Rule 27(e) - Fitness to Practise rules 2019 (as amended)
Expert evidence
In some cases, both parties may be intending to rely on expert evidence at the hearing. For example, a medical expert report to establish the status of the social worker’s medical condition. If so, the adjudicator case manager may direct that one expert prepares an expert report.
Alternatively, the adjudicator case manager may direct that each expert instructed for each party discuss the case and prepare a single joint expert report.
Postponement
In some cases, a direction may be required in relation to a postponement application made by either party.
Further case management meetings and directions
It may be necessary to have several case management conferences or meetings to (do any of the following):
- complete the hearing timetable
- agree the evidence bundle
- finalise the hearing dates
Once the case management process has concluded, the parties must notify the hearings team immediately if anything changes. For example, if there are any changes that will impact on progress at the hearing or the ability to comply with directions. This includes (but is not limited to any of the following):
- any changes they may wish to make to the evidence they will be presenting
- any changes to admissions by the social worker
- any legal arguments that either party intends to present
Case directions are generally binding on the parties. The adjudicators may refuse to hear evidence or submissions that the parties could have presented during the case management process but did not.
Annex A: Standard directions
Exchange of evidence
1.The external legal provider, on behalf of Social Work England, will disclose to [name of social worker] (the ‘social worker’) as soon as possible and, in any event by 4pm on [INSERT DATE]:
- a. a draft statement of case setting out the basis for alleging impairment of fitness to practise;
- b. all witness statements and evidence (to include any media files [11]) it intends to rely on at the fitness to practise hearing;
- c. a response form inviting the social worker to admit or deny the factual allegations, the grounds of impairment and witness statements relied upon by Social Work England;
- d. a schedule of unused material;
- e. a draft hearing bundle index; and,
- f. a draft hearing timetable.
2. The social worker will disclose to the external legal provider, acting on behalf of Social Work England, as soon as possible and, in any event by 4pm on [INSERT DATE 28 days after date in direction 1]:
- a. a completed response form indicating:
- i. which of the factual allegations are admitted and which remain in dispute;
- ii. whether the statutory grounds of impairment are accepted;
- iii. whether the contents of the Social Work England’s witness statements are agreed, and, if not, which parts are in dispute and why; and,
- iv. whether any of Social Work England’s witnesses are required to attend the hearing.
- b. all witness statements and evidence (to include any media files) the social worker intends to rely on at the hearing;
- c. updated draft hearing bundle index (to include the documents at (b) above); and,
- d. updated draft hearing timetable (unless the timetable is agreed).
3. If the social worker discloses any witness statements in accordance with direction 2(b) above, the external legal provider on behalf of Social Work England will confirm in writing by [INSERT DATE 2 weeks after date in direction 2]:-
- a. whether the contents of the social worker’s witness statements are agreed, and, if not, which parts are in dispute and why; and,
- b. whether any of the social worker’s witnesses are required to attend the hearing.
[note 11] This could include any videos, audio or image files or photographs.
Admission of facts
4. If the social worker does not return a completed response form in compliance with direction 2 above, Social Work England will be entitled to rely on evidence of any previous admissions made by the social worker. This evidence shall be admitted unless it is considered by the adjudicators to be unfair to do so.
5. If the social worker returns a completed response form in compliance with direction 2 above, and indicates that some or all of the factual allegations are admitted:
- a. any such admissions shall be included in the statement of case, prepared by the external legal provider. A final version will usually be served on the social worker with the Notice of Final Hearing; and
- b. The external legal provider, on behalf of Social Work England, will prepare a draft statement of agreed facts and, if this is agreed by the social worker, will provide it to Social Work England’s hearings team as soon as possible, and in any event by no later than 4pm [INSERT DATE minimum of 1 week before the listed hearing date].
Evidence
Final hearing bundles
6. If either party objects to the adjudicators being provided with any of the evidence disclosed in accordance with direction 1 or 2 above, they must notify the other party and Social Work England’s hearings team as soon as possible and, in any event by no later than 4pm on [INSERT DATE 2 weeks after date in direction 2].
7. If neither party raises an objection in accordance with direction 6 above, the external legal provider on behalf of Social Work England shall prepare and send the final hearing bundles to Social Work England’s hearings team as soon as possible and, in any event by no later than 4pm on [INSERT DATE 2 weeks before the listed hearing date].
8. If either party raises an objection in accordance with direction 6 above and the parties are unable to reach agreement as to the contents of the hearing bundle, the external legal provider shall provide to Social Work England’s hearings team as soon as possible and, in any event by no later than 4pm on [INSERT DATE minimum of 1 week before the listed hearing date or earlier if possible to allow resolution at a case management meeting]:-
- a. a bundle with any disputed documents removed or redacted, which can be provided to the adjudicators and legal adviser for consideration in advance of the hearing; and,
- b. a bundle of disputed documents, which can be provided to the legal adviser only in advance of the hearing.
9. The adjudicators will determine, either before or at the final hearing, whether any evidence objected to in accordance with direction 6 above should be admitted into evidence.
Hearsay
10. If either Social Work England or the social worker wants to rely on hearsay evidence of a person who they do not propose to call to give oral evidence, when disclosing that evidence either in accordance with directions 1 or 2, above, they must:
- a. inform the other party that they do not intend to call the person to give oral evidence; and
- b. set out the reason(s) why the person is not being called.
11. Where either Social Work England or the social worker has given notice of their intention to rely on hearsay evidence, the other party must confirm in writing if they object to the admission of that evidence by [INSERT DATE 2 weeks after the date in direction 2]. Where an objection is raised in writing in accordance with this direction, the party seeking to rely on the hearsay evidence must either call the witness to give evidence, or make an application to rely on the evidence. Any application may be made either before or at the final hearing.
Requirement to call witnesses
12. Neither Social Work England nor the social worker shall be required to call a witness where the other party has confirmed in writing that their witness statement is agreed and that they are not required to attend the hearing.
Hearing arrangements
Timetable
13. The parties must try to agree the hearing timetable and send an agreed version to Social Work England’s hearings team as soon as possible and, in any event, by no later than 4pm on [INSERT DATE]. [12] If the social worker does not comply with direction 2 above, Social Work England shall be entitled to assume that the draft hearing timetable is agreed.
14. If the parties are unable to agree the hearing timetable, the external legal provider must provide Social Work England’s hearings team with the most recent proposed hearing timetables submitted by each party and should provide a summary of what is not agreed as soon as possible and, in any event, by no later than 4pm on [INSERT DATE]. [13]
[note 12] This date should be at least 2 weeks before the hearing but could be earlier if the hearing dates permit that. The date would need to be at least 2 weeks after the date stated in direction 3 to allow the parties to finalise the timetable following disclosure of the Social Worker’s case and Social Work England’s response to the social worker’s case.
[note 13] This will be the same date as given in standard direction 13.
Listing
15. The final hearing will take place between [insert date hearing is to commence] and [insert end date / further hearing dates if not continuous]. The current time estimate for the hearing is [insert] days.
16. The format of the final hearing will be remote.
Compliance
Both parties must notify Social Work England as soon as possible if they become aware of matters which are likely to impact on progress to or at the hearing.
Any failure to comply with a direction may be referred to the adjudicators who may refuse to admit any evidence where the failure relates to admissibility of that evidence. The adjudicators may also draw adverse inferences as a result of non-compliance.
Note for the social worker
The above directions are made in accordance with Rule 27 of Social Work England’s Fitness to Practise Rules 2019 (as amended). If you object to these directions then you must inform the hearings case manager as soon as possible.
These directions are binding on the parties and on the adjudicators subject to rule 29 of Social Work England’s Fitness to Practise Rules 2019 (as amended). Should a party fail to comply with a case management direction, the adjudicators may, pursuant to rule 31 of Social Work England’s Fitness to Practise Rules 2019 (as amended):
- (a) draw adverse inferences; and,
- (b) refuse to admit evidence where the failure relates to the admissibility of that evidence.
Version history
Last update: 16 December 2022
- Updated to reference changes to the regulations and rules
- Language review undertaken to make document more accessible
- Updated the standard directions
- Clearer information about the case management process
Previous update: 29 July 2022
- Updated to reference new rules relating to discontinuance in part at case management meetings
First published: 2 December 2019