Disciplinary & Regulatory Matters

The types of defence strategies that can be employed as part of a disciplinary hearing depend largely on the circumstances of the disciplinary hearing itself, as well as the type of disciplinary action that you may be facing.

That being said, the most common defence strategies used in disciplinary hearings include:

• Challenging the evidence that’s been gathered
• Claiming insufficient evidence to draw a conclusion beyond the evidentiary test
• Citing irregularities in the disciplinary procedure
• Arguing any mitigating circumstances that may have been at play
• The use of the internal review process verses court litigation

Given that every disciplinary investigation is different, there is no typical length of time that the disciplinary action process may take.

As a general rule, the more complex the investigation and circumstances, the more complex and time-consuming the disciplinary action process will be – lasting anywhere from a couple of months to more than a year.

Some matters that require urgent attention may have available an application for stay of the administrative decision affecting them which is normally heard and finalised within five to ten days from the date of the order. These matters are normally viewed as matters dealt with at administrative law, however, there may be criminal law elements that need to be considered.

The potential consequences of disciplinary action will typically be determined by the severity of the behaviour or misconduct.

In less severe cases, the consequences may be as little as a warning, while more serious instances of misconduct can lead to significant fines, loss of licencing or registration, and even criminal charges.

Yes, if the behaviour or misconduct of an individual is deemed to be so severe to warrant criminal charges, the person in question can face both disciplinary action from their employer or regulatory body, as well as criminal prosecution in the relevant court.