Pre-hearing case management

Last updated: 23 April 2026

The purpose of pre-hearing case management is to facilitate the effective and efficient running of fitness to practise panel hearings.

• 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 pre-hearing case management
• the roles and responsibilities of participants in pre-hearing case management
• an overview of the pre-hearing case management process (all of the following): 
  • the case management questionnaire
  • case management directions including standard directions and variations to the standard directions
  • 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 fitness to practise final hearings.

Hearings are effective and efficient when they (do all of the following):

• run to schedule
• hear witnesses at arranged 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 is in the public interest to hold effective and efficient hearings. This also ensures we can meet the interests of all the parties (the social worker, their representative and Social Work England) by avoiding unnecessary delays. Holding effective and efficient hearings also supports our overarching objective of public protection. 

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 (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 [1]
• 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, for example, this includes (but is not limited to):
  • hearsay
  • postponement
  • redaction
  • joinder of cases
  • hearing format
  • amendment to allegations
  • special measures
• agreeing a hearing timetable (based on the time each party needs to present their evidence and submissions)

[note 1] If the social worker admits the key facts of the allegations and that their fitness to practise is impaired, we will consider if adjudicator consensual disposal may be appropriate. 

Resolving pre-hearing issues

The pre-hearing case management process encourages the parties to communicate with each other before the final hearing. This allows them to address and resolve matters which may affect the hearing from taking place or the time the hearing takes.

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 meetings between the parties. This is to assist them in resolving issues ahead of the hearing where 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 (a hearings case manager) or an adjudicator. The rules also allow 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). [2] 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 (see below).

[note 2] Rule 30 – Fitness to Practise Rules 2019 (as amended) states that the directions need not be given by the person who hears the case.

Requesting a case management meeting

A case management meeting can be requested by a social worker or Social Work England’s external legal provider. To do so, they must complete (all of the following steps):

1. Complete a case management request form. This can be requested from the hearings team. The form will be used by the hearings case manager to consider whether a case management meeting is necessary and schedule this if it is. 
2. The requester must also provide a written application stating their request. The application must include the requester’s reasons and any supporting documentary evidence. The hearings team can provide a template for this application upon request.
3. You should submit your completed form and application to the hearings case manager . You must submit your request form and application as soon as possible. If an application is made in close proximity to the final hearing then it may not be possible to consider this before the hearing. Any application may then need to be considered at the hearing, if appropriate, or the final hearing may need to be postponed. 

If an application has not been provided with the request form, then the hearings case manager will make directions when scheduling the meeting setting out deadlines by which any applications must be submitted. 

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 parties. The parties will be expected to comply with case management directions, unless directed otherwise by the hearings case manager (see below). For example, if a case is being considered as part of the adjudicator consensual disposal process, the parties will still be required to comply with any directions made as part of the pre-hearing case management process. 

Case management directions are also binding 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 [3]

[note 3] Rule 29 - Fitness to Practise rules 2019 (as amended)

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
• a case cannot be considered for adjudicator consensual disposal without the social worker’s engagement 

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. For example, adjudicators may prevent a party from calling evidence at the hearing if they failed to disclose or mention it during pre-hearing case management [5]. Unexpected additional evidence can be disruptive to the progress of a hearing. This applies equally to Social Work England as it does to the social worker.

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’. [6]

[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) 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. 

[note 6] 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 final hearing. The final 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. They are therefore unable to discuss or comment on the facts of a case or the investigation of that case.

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 management meetings between the parties (if required)
• facilitating the scheduling of the hearing and the appointment of the adjudicators
• 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 as our representatives, and they will prepare the case and appear on our behalf during the proceedings. The external legal provider will assign a specific case presenter to the case at the hearing.

Our external legal provider will be responsible (on behalf of Social Work England) 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 an independent panel of adjudicators to conduct the hearing. The panel will consist of at least 2 adjudicators, including a panel chair (a lay person, i.e. someone who is not a registered social worker [7]) and a professional panel member (a registered social worker). An additional lay panel member may also be present during a hearing.

The adjudicators will be assisted by an independent legal adviser. The legal adviser’s role is to ensure that there is a fair hearing. They will provide advice and guidance on law and procedure to the panel of adjudicators. They are not involved in the decision making process.

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.

[note 7] Rule 2 of the Fitness to Practise Rules 2019 (as amended) – ‘lay person’ means a person who is not and never has been registered as a social worker in the UK, and does not hold qualifications that would entitle them to be so registered.

Overview of the pre-hearing case management process

The steps below outline the pre-hearing case management process. These steps must still be followed even if a social worker’s case is being considered under the adjudicator consensual disposal process.  

1. The case examiners refer the case to the adjudicators for a fitness to practise final hearing.

2. Social Work England instructs its external legal provider. The external legal provider will allocate a lawyer to the case who will be responsible for preparing the case for the final hearing. Once allocated, the lawyer will send an introductory letter to the social worker explaining their role and the lawyer will also review the case and produce a case management questionnaire (CMQ). This will be submitted to the hearings case manager.

3. The hearings case manager issues the CMQ for the social worker to complete. Once completed, they should return this to the case manager team.

4. The hearings case manager will issue directions to the parties and schedule the final hearing, based on the responses in the CMQ, unless there is significant disagreement between parties. Once directions are issued, both the social worker and the external legal providers (on behalf of Social Work England) will be expected to comply with the directions.

5. Where there are disagreements about proposed directions or one or both parties object to any directions issued:

• 5.1. If there are only minor disagreements between parties, the case will be listed for a case management meeting between the hearings case manager and the parties.
• 5.1.1. If the parties can reach an agreement at the hearings case manager chaired case management meeting, then the hearings case manager will issue directions. (go to step 8)
• 5.1.2. If the parties still cannot reach agreement following the case management meeting, the hearings case managers will list the case for a case management meeting before adjudicators. The parties can attend this. (go to step 6)
• 5.2. 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 in the first instance. The parties can attend this. (go to step 6)

6. The hearings case manager will give 7 calendar days’ notice for the case management meeting.

7. The case management meeting takes place. The adjudicators will then issue directions.

• 7.1 If a case management meeting has already taken place, the hearings team will set the date of the hearing. They will then appoint the adjudicators and legal adviser. 

8. If both parties comply with the directions:

• 8.1. 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.
• 8.2. The social worker will disclose their case to Social Work England’s external legal provider. This includes providing their completed response form.
• 8.3. 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.
• 8.4. The parties will agree the hearing bundles, witnesses required to attend the hearing and hearing timetable.
• 8.5. The hearings team will send bundles to the adjudicators and legal adviser ahead of the hearing.

9. In some cases, the parties may not comply with the directions or there may be legal or procedural issues. If so, a further case management meeting may be required (go back to step 6).

10. The final hearing takes place.

Case management process

Case prioritisation

All cases which require a final hearing will be subject to the pre-hearing case management process. 

Cases will be prioritised for progression and for scheduling of the final hearing based on both of the following:

• risk (for example, if there is an interim order in place or the concerns are particularly serious)
• age (the length of time since the concerns were originally raised with us). 

We consider that it is in the public interest to conclude cases in that order. That is not to say that we believe that some cases are more important than others, but rather that the potential risk to the public associated with not prioritising other cases is greater.

Case management questionnaire

Following the referral to a final 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 review the case and complete a case management questionnaire (CMQ). They will then provide this to the hearings case manager.

The hearings team and hearings case manager use the information from the questionnaire to (all of the following):

• identify available options for hearing dates
• issue directions
• 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.

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 hen they 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.

Time estimate for the hearing

Our external legal provider will provide an estimate of how long they expect the hearing to take. Time estimates are case specific. For example, they will not assume that a certain number of witnesses will influence the length of the hearing.

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 anticipated dates provided by the external legal provider. This includes (all of the following): 

• when they will be ready to disclose the evidence they intend to rely on
• when they will be ready to disclose the draft statement of the case to the social worker
• the time estimate for the hearing, provided in the CMQ by the external legal provider

Social worker's response

Once the hearings case manager has identified a listing window, they will send the case management questionnaire (CMQ) to the social worker. They will also notify the external legal provider of the hearing window so that they can confirm details of their witnesses’ availability for this period. 

This CMQ 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 needs 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 on how a social worker might respond to the case management questionnaire (CMQ).

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 trade union 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 at the end of the investigation, 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 the social worker will know about the issues by the start of the pre-hearing case management process.

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 at the same time as 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 (on behalf of Social Work England) 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
• a summary of 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 to our case. 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
• any signed 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 allegedly took place

The social worker may also indicate in their response whether they would like their case to be considered under the adjudicator consensual disposal process. The adjudicator consensual disposal process will be appropriate where the social worker admits the key facts that give rise to the allegations and admit that their fitness to practise is impaired.  

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. If the key facts are admitted, then it may be possible to consider the case under the adjudicator consensual disposal process. Alternatively, the external legal provider will invite the adjudicators at the fitness to practise final hearing to find the relevant factual allegation(s) proved on this basis. This means we don’t have to prove the allegation(s) by calling witnesses to give evidence at the hearing. However, they will have the witnesses on standby to attend the hearing in case 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 statements and any associated exhibits
• 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 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 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 the contents of a witness' statement in writing. If so, there will be a standard direction that states that if a statement is agreed there will be no requirement to ask the witness to attend the hearing.

Both parties should carefully review any witness statements that the other party is relying on. They should do this to decide whether they agree to the contents.

Agreement of witness statements will make sure that each party only call those witnesses who are required to attend the hearing. These will be witnesses that will 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 (both of the following):

• the witnesses (who have been identified as being required to attend the hearing) to give oral evidence and an indication of how long they will be required to attend
• the 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, Social Work England's witness 1 (am), witness 2 (pm).

Day 2: Social Work England’s witness 3 (am), social worker’s opening submission, social worker's 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 [8] 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 ensure the efficient running of a hearing. It is also important that all parties agree on the timetable. This allows us to determine, as accurately as possible, 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. It is the social worker’s responsibility to make sure that the witnesses they want to give evidence are kept informed of when they will be expected to attend the hearing and ensure they keep this time free. 

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 8] When the adjudicators are ‘in camera’, this means they meet in private to discuss the case and make a decision. The legal adviser will be in attendance. Social Work England's case presenter and the social worker (and any representatives) 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 management meeting between the parties and the hearings case manager. 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(s). The hearings case manager will arrange this if a case management meeting with the hearings case manager doesn’t lead to agreement or is not appropriate in the circumstances. An adjudicator or adjudicators will hear submissions from both parties and 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 the format of the case management meeting. If they cannot agree, the adjudicator(s) or the hearings case manager can decide [9].

The hearings team will arrange the case management meeting, usually by video call. This meeting will be between the parties and chaired by an adjudicator or a hearings case manager.

The adjudicator(s) can also conduct a case management meeting ‘on the papers’. This means they will conduct the meeting with neither party attending.

[note 9] 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 hearings@socialworkengland.org.uk

This should be done ahead of the case management meeting. The hearings case manager will make directions which will include the timeframe within which the other party should respond to the application.

The hearings team will provide the application (and any response to the application) to the adjudicator(s) and legal adviser. 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(s) or hearings case manager (who will run the meeting)
• the legal adviser (who will give the adjudicator(s) legal advice). This is applicable at adjudicator chaired case management meetings only
• a hearings officer

The social worker (or the social worker’s representative) and Social Work England’s case presenter 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. These decisions are most likely to be made at an adjudicator(s) chaired case management meeting. 

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 by preparing formal allegations which will be set out in the draft statement of case.

The adjudicator(s) 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 case presenter will raise this as a preliminary issue before the final hearing commences, rather than requesting a case management meeting.

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 a 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 appropriate in the circumstances of the case. This is a list of the most common types of directions.

Vulnerable witnesses

The adjudicator(s) 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 and a witness is the alleged victim, then the social worker is not entitled to cross-examine the witness. This is unless the victim agrees in writing to be cross examined by the social worker. [10]

In these circumstances, the hearings team will appoint a legally qualified person. The adjudicator(s) can make directions concerning the appointment of a legally qualified person.

[note 10] 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, this is not always possible. If so, the adjudicator(s) will make a direction.

When deciding whether a hearing should be held remotely, as a hybrid or in-person, the adjudicator(s) should consider the factors set out in Social Work England’s remote hearing protocol.

Joinder

The adjudicator(s) may direct that two or more matters are considered at the same final hearing [11]. This may be because they are (either of the following):

• different events that relate to the same social worker
• the same events involving 2 or more social workers

We call this a ‘joinder’.

If the case relates to 2 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 11] Rule 27(e) - Fitness to Practise rules 2019 (as amended)

Severance

The adjudicator(s) may direct that 2 or more matters should be separated so that they are considered at separate final hearings. The adjudicator(s) may separate (either of the following):

• allegations/regulatory concerns that, at the time of the severance application, form one case
• 2 or more cases that were previously joined together by the regulator and/or adjudicator(s)

We call this a 'severance'.

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(s) may direct that one expert prepares an expert report.

Alternatively, the adjudicator(s) may direct each expert instructed for each party to 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

If issues arise, it may be necessary to have several case management meetings. For example, 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 binding on the parties and on any fitness to practise panel considering the case unless the panel considers that:

• there has been a material change of circumstances; or
• it is not in the interests of justice for that to be the case. [12]

At the final hearing, the adjudicators may draw and/or refuse to hear evidence or submissions that the parties could have presented during the case management process but did not. [13] 

[note 12] Rule 29 – Fitness to Practise rules 2019 (as amended)

[note 13] Rule 31 – Fitness to Practise rules 2019 (as amended)

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.