What this means
Start with the exact decision in front of you.
A registrant and lay case examiner consider the investigation material. If they cannot agree or require a health or performance assessment, the Investigation Committee may become involved.
Immediate priorities
Organise the position before responding.
Read the complete case-examiner bundle
Address referral, warning and no-action outcomes
Prepare for an assessment request if health or performance is in issue
Detailed guidance
The procedure, evidence and possible route from here.
01
Two case examiners review the completed investigation
GOC case-examiner consideration involves one registrant and one lay case examiner. They receive the investigation material, the registrant's representations and any complainant comments. Their role is to decide whether the case should be referred to the independent Fitness to Practise Committee or concluded through another available outcome. Referral is a screening decision; it does not establish the facts or current impairment.
Read the bundle as the case examiners will see it. A useful index should identify the allegation, supporting evidence, contrary evidence and response. If late material has been added, confirm whether there is a fair opportunity to comment. Keep the submission directed to referral, advice, warning or no further action. A lengthy sanction argument can distract from the narrower question at this stage.
- Review the same materials supplied to case examiners
- Address the screening decision rather than final sanction
- Seek an opportunity to answer material late evidence
02
The Investigation Committee has a particular role
Where case examiners cannot agree, or where they request an assessment of health or performance, the Investigation Committee may consider the case. It has the same referral decision powers when deciding whether the matter should go to the Fitness to Practise Committee. Identify why the case has reached the committee, because disagreement and an assessment request create different preparation needs.
If health or performance is in issue, the scope of any assessment should connect to the alleged risk and the registrant's actual field. Raise reasonable adjustments and relevant confidentiality questions early. Assessment is evidence gathering, not a sanction, but the findings may significantly affect referral and interim-order decisions. Provide accurate information about current duties and avoid coaching or selective preparation that could undermine the assessment's reliability.
- Confirm why the Investigation Committee is involved
- Clarify assessment scope and practical adjustments
- Keep current-practice information accurate and complete
03
Compare no action, advice, warning and referral
Case examiners may take no further action, provide advice, issue a warning or refer the allegation, within their powers. A warning can be a formal published outcome even without a hearing, so its wording and factual basis matter. Advice may also form part of the professional record. Alternative submissions should recognise the seriousness needed for each outcome rather than treating anything short of referral as consequence-free.
If case examiners cannot agree or refer the case, preserve their determination and the updated allegation. Check whether an interim-order question has also been raised, because that follows a separate risk route. The GOC also publishes guidance on applications to terminate a referral after referral has occurred. Any such application must rely on the proper test and material change, not simply repeat the submissions the case examiners rejected.
- Assess the publication and practice effect of each outcome
- Separate interim risk from substantive referral
- Keep the determination for any later termination application
Key questions
Keep the analysis tied to this stage.
Whether referral to the Fitness to Practise Committee is required
Whether advice or a warning is sufficient
Whether assessment or Investigation Committee consideration is needed
Advice is provided only by the regulated firm that accepts a matter.
Common questions
Clarifying the route without assuming the outcome.
Who are GOC case examiners?
The GOC says cases are considered by two case examiners, one registrant and one lay. They decide whether referral or another available outcome is appropriate.
Why might the Investigation Committee become involved?
The GOC identifies case-examiner disagreement and requests for a health or performance assessment as routes to Investigation Committee consideration.
Connected guidance
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Official sources
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Sources checked 19 September 2026. Rules change, so compare the current notice and linked official material and tell the operator if a citation or summary needs correction.