Stage 1 Preliminary Investigation Committee (PIC)

During the Stage 1 PIC, the case manager may need to:  

1. Obtain information from: 

   a. The person raising the concern

   b. The veterinary professional the concern is about 

   c. Others at the veterinary practice, such as the veterinary professional’s employer or colleagues 

   d. Anyone who may have witnessed or have knowledge about any of the concerns raised; and/or 

   e. Any other vet who may have treated the animal involved 

2. Obtain clinical records relating to any treatment carried out
3. Instruct the RCVS’s veterinary investigators to visit those involved and report back 

 The Stage 1 PIC must balance: 

1. Protecting the public from veterinary professionals who are unfit to practice, whether because of competence, integrity or health
2. Maintaining reputation and confidence in the profession by ensuring serious concerns are fully and fairly investigated
3. Safeguarding the veterinary professional, who may be vulnerable to unwarranted charges against them 

Areas of particular concern might include: 

Breaches of the RCVS Code of Professional Conduct (Code) 

1. Dishonesty, for example in certification or in clinical records
2. Misleading a client, colleague or the public (for example, about a swab left in an animal after surgery)
3. Reckless behaviour
4. Failure to obtain informed consent to treatment or to discuss treatment options and possible complications
5. Inappropriate or unwarranted physical force against an animal
6. Aggression or violence towards a client
7. Inappropriate storage, use or supply of veterinary medicines
8. Failure to provide 24-hour emergency cover
9. Unreasonable refusal to provide immediate first aid and pain relief
10. Failure to maintain adequate clinical records; and/or
11. Failure to maintain the equivalent of Core Standards (the RCVS Practice Standards Scheme)  

Not every breach of the Code means conduct has fallen far below the expected standard. 

Clinical matters 

Treatment that falls far short of what’s expected might include: 

1. Discharging an animal too soon after surgery
2. Reckless administration of a medicine
3. Failure to keep appropriate clinical records
4. Other very poor clinical care and skill short of the standard expected
5. Repeated errors  

Other issues 

1. Failure to follow previous advice from the RCVS
2. Concerns relating to serious criminal cautions or convictions, which may be referred directly to Stage 2 by the PIC Chair or Head of Professional Conduct
3. Concerns relating to serious health issues, which may also be referred directly to Stage 2 by the PIC Chair or Head of Professional Conduct 

Examples include: 

1. Fee disputes where charges by the veterinary professional are reasonable, or even high, but not so extreme as to damage public confidence
2. Service concerns such as failure to provide appointments at an agreed time
3. Civil matters such as boundary and planning disputes, or alleged minor disturbances between the practice and neighbours
4. General insurance matters unless there are allegations of dishonesty or unnecessary treatment or claims; and/or
5. Employment matters such as poor timekeeping, non-payment of locum fees or breach of contract, unless there is a clear issue regarding dishonesty or the welfare of animals 

The examples above are not exhaustive. They’re intended to form guidance and to provide a benchmark in identifying types of cases likely to meet the required threshold. 

The standard for deciding if treatment falls far short is stricter than the standard for negligence. It mainly looks at the quality of the veterinary professional’s work, not the result. In negligence, the result matters most. 

In some cases, the following factors may also be considered, as they help lower the risk of similar problems happening again: 

1. The veterinary professional has accepted their shortcomings and is likely to learn from the incident
2. The veterinary professional is likely to follow advice from the RCVS
3. The veterinary professional has taken, or agreed to take, steps to prevent similar situations arising;  
   and/or
4. The veterinary professional has undertaken, or is willing to undertake, further professional development to improve their skills in specific areas, including communication skills  

The Stage 1 PIC can ask the PIC Chair or the Head of Professional Conduct for guidance at any time. 

If Stage 1 PIC cannot rule out a realistic prospect of serious misconduct, it must refer the case to Stage 2. It can also refer a case to Stage 2 if it feels this is appropriate, for example, if the case has wider importance for the profession. 

Stage 1 PIC will keep a written record of its decision and may give advice to the veterinary professional at the end of an investigation. 

View guidance on what to expect from a Stage 2 PIC.