Foundation year doctors and criminal matters

Advice for foundation doctors on reducing the risk of criminal investigations, plus how and when the MDU can help.

During a recent five-year period, of the 2,389 calls made to our medical advice line by foundation year doctors, only 76 were related to criminal matters.

The main reason foundation doctors tended to contact us was because of a recent criminal matter and the ensuing police investigation. Generally, these incidents weren't usually related to the doctors' clinical work, but rather to incidents such as motoring offences like speeding or driving under the influence of alcohol or possession of illegal substances.

When the criminal investigation did arise from their clinical practice, it tended to be in relation to an alleged sexual assault of a patient, rather than a clinical incident raising the possibility of gross negligence manslaughter or wilful neglect.

Understandably, the prospect of a criminal record is traumatic for the doctor involved, regardless of the nature of allegations. Many junior doctors are also surprised to find that their behaviour outside the workplace can have an impact on their career.

Below we look at some of the types of criminal charges doctors can face and the circumstances in which they arise.

Criminal issues not related to clinical practice

While you're not on duty all the time, it's important to be aware that the GMC expects your conduct to be of a certain standard even when you're not at work.

The GMC's 'Good medical practice (2024) states that, "you must make sure that your conduct justifies your patients' trust in you and the public's trust in the profession."

As such, doctors have an ethical duty to inform the GMC without delay if they accept a caution, or are charged with or found guilty of a criminal offence anywhere in the world. There is also likely to be an obligation for them to let their employer know too.

Although the police may indicate that accepting a caution will end the criminal investigation, due to the GMC reporting requirements mentioned above, it's not always straightforward for doctors to accept a caution.

Accepting a caution is essentially an admission of guilt - so although it may close the criminal investigation, it will go on your record and can trigger a GMC investigation.

The GMC has more detailed guidance on what criminal or regulatory proceedings doctors need to tell them about, which also includes exceptions that do not need to be reported - such as payment for a fixed penalty notice for a road traffic offence. Be aware that some offences, usually those related to alcohol or drug use (such as drink driving) may lead the GMC to investigate a doctor's health as well as their conduct.

For criminal investigations arising from issues not related to patient care, doctors would usually need to instruct a private solicitor to represent them through the criminal legal process. However, we recommend that you inform us so that we can advise on your obligations to report the matter to the GMC. You may also be under a contractual obligation to inform your employer of any cautions, charges or convictions.

Allegations of sexual misconduct

This type of allegation can have a devastating impact on doctors, their families, their reputation and wellbeing, even if it is eventually proved to be unfounded. So, how can you reduce the risk of being the subject of this kind of allegation?

  • Intimate examinations are likely to include examinations of breasts, genitalia and rectum, but could also include any examinations where it is necessary to touch. It could also include any examination where it is necessary to touch, examine intimate parts of the patient's body via remote consultation, or even be close to the patient, for example examination of the fundi using an ophthalmoscope in a darkened room. It is important to be mindful that some patients may have particular concerns about undressing or exposing parts of their body but feel hesitant to speak up.
  • Get informed consent for the examination. Often, allegations of this nature can arise from a misunderstanding. Explain what you plan to do, what equipment will be used, whether the patient might feel any discomfort, and why it's relevant to their presenting complaint so the patient understands the clinical reason for the examination.
  • Offer a chaperone. The GMC's 'Intimate examinations and chaperones' guidance states that, "when you carry out an intimate examination, you should, wherever possible, offer the patient the option of having a chaperone who can act as an impartial observer." This applies whether or not you are the same gender as the patient, and the chaperone should usually be a health professional who is trained to be familiar with what the examination or procedure involves.
  • Give patients privacy to dress and undress so they do not feel uncomfortable or observed while they get ready.
  • It can be tempting to try to put an anxious patient at ease with some light-hearted conversation, but this can be misinterpreted and may cause offence.
  • A patient may ask you to stop during an intimate examination, for example if they experience discomfort. Consent to a procedure can be withdrawn at any time and you must respect and comply with this regardless of the reason.
  • Keep careful documentation of the circumstances surrounding the examination. It's important to record the discussion you've had with the patient to obtain consent, including why the examination was clinically indicated, the fact that you offered a chaperone, and whether the patient accepted or declined. If a chaperone is present, make a note of their name and job description in the clinical records. The chaperone should be present through the whole of the examination and only leave once the patient is fully dressed.
  • The GMC accepts that a doctor may proceed with an intimate examination without a chaperone as long as both the patient and doctor agree. However, having a chaperone present can strengthen a doctor's defence if an allegation of unprofessional behaviour is made.

If you do become aware of this type of allegation made against you, please contact us promptly so that we can advise you.

For more advice in this area, read our guidance on chaperones and protecting yourself from a sexual assault allegation.

Gross negligence manslaughter

When patients die it can be very distressing for the clinicians involved, but this becomes magnified when it is suggested that the doctor has caused the death and that their actions could be considered to each the threshold for criminal prosecution.

Here are ways you can treat patients safely and reduce the risk of facing a criminal investigation.

  • Always work within your capabilities. If you're not sure about something you are about to do, seek advice or supervision.
  • Know your weaknesses. For example, if you habitually work late to keep on top of things, think about how this could affect your ability to practise safely.
  • Think about patient safety in your CPD planning. Some of the mistakes that lead to prosecutions have happened before, and raising your personal awareness of them will have obvious benefits, so seek out courses and conferences relevant to your specialty.
  • Raise concerns about systems or practices you believe are unsafe. If there aren't enough resources to provide a safe and effective service to patients, tell your senior manager and follow up discussions to ensure there is progress. Flagging up inadequate resources or poor system design or delivery is often more effective when done collectively and collaboratively with colleagues. The GMC has specific guidance on raising and acting on concerns about patient safety.
  • Take part in any induction training organised for you.

When things go wrong

If you do become aware of a potential criminal investigation relating to your clinical care of a patient:

  • seek advice at the outset from your medical defence organisation
  • don't try to produce a statement without the notes or advice from your medical defence organisation or a solicitor instructed by them
  • never make the mistake of thinking the police won't know the subject matter. Any interviews will likely be conducted by skilled officers who are familiar with these types of allegations
  • there may be press interest in the case. Regardless of whether a case is already in the public domain you still have a duty of confidentiality, so if you're approached by the media we recommend that your only statement is 'no comment' and that you contact our press office for further advice on how to handle the media.

How can we help?

The MDU is the only medical defence organisation with a specialist in-house team of solicitors with extensive experience of criminal law. As well as an enviable success rate, we offer much-needed support to members when their freedom, career and even mental health may be in jeopardy.

As an MDU member, if you find yourself in difficulty you'll get:

  • access to our 24-hour medico-legal advice line, staffed by doctors
  • support and representation for a range of medico-legal issues
  • support with professional development including educational learning
  • help in the event of unwanted media attention
  • indemnity for work not covered by NHS indemnity, including Good Samaritan acts.

Our criminal solicitors have an excellent track record in achieving a successful outcome for members. Most police investigations against MDU members do not result in a prosecution, and only about one in four prosecutions for our in-house team has resulted in a conviction.

The incidence of conviction in sexual cases is much lower - a remarkable record given that the Crown Prosecution Service's (CPS) overall conviction rate in England and Wales is around 80%.

Find out more about the benefits of being an MDU foundation doctor member.

This page was correct at publication on 30/01/2024. Any guidance is intended as general guidance for members only. If you are a member and need specific advice relating to your own circumstances, please contact one of our advisers.