What initiates formal disciplinary proceedings?

Formal disciplinary proceedings are often initiated by a determination of probable cause. This means that an investigation has been conducted, revealing sufficient evidence that supports the claims against an individual, which justifies proceeding with formal charges.

The process typically follows a complaint or concern and requires a thorough examination to ensure that the allegations have merit. This step is crucial as it protects individuals from baseless accusations and provides a fair opportunity to address any legitimate issues before further action is taken.

While a complaint from a client or a routine audit may highlight potential issues, it is the determination of probable cause that formally triggers the disciplinary process, leading to potential hearings or further investigation. Similarly, a request for a hearing may follow after proceedings have already been initiated but does not start the disciplinary process itself.