The first stage of the process where a case or complaint is received is the investigating stage. Investigation involves the following, but the particular route your case, or a complaint made, takes within this stage will vary depending on the nature of it.

If, for example, your case lists one conviction or caution (save for certain exceptions), and there are no aggravating features to the particular offence or sentence, the Professional Standards Team may make a recommendation to the Chair of the Council’s Registration Committee that the case is closed as ‘no further action’, without the involvement of a Committee. However, each case is different and no general rule can apply to each and every one.

If the Chair of the Registration Committee agrees with this recommendation, no action will be taken against you. If he or she does not, your case will be referred to an Investigating Committee, as stage 2.

Stage 1 is a paperwork exercise.

If your case or a complaint made reaches this stage, an Investigating Committee convened under stage 2 will consider whether or not it should be investigated.

A decision at this stage is made on the basis of paperwork and in private. You will not able to attend the meeting and will not be invited for interview.

If your case or a complaint made reaches this stage, an Investigating Committee will investigate whether or not you have a case to answer. The Council will send you a ‘Notice of Investigation’ and ask you to respond to it. A decision at this stage is made on the basis of paperwork and in private. You will not able to attend the meeting and will not be invited for interview.

If the Investigating Committee is satisfied you do not have a case to answer, the matter will end there. If the Investigating Committee is satisfied you have a case to answer, it will send your case or complaint made to a Professional Conduct or Competence Committee for hearing.

‘Case to answer’ means in relation to unacceptable professional conduct, serious professional incompetence or a conviction of a relevant offence. The definition of each can be found in the glossary.

If your case or complaint suggests the harm, or the risk of harm to a child or vulnerable adult, the Professional Standards Team will refer it to the ISA. Such a referral can take place at any time during the process, and will delay the progress of your case or complaint.

The Council has no remit to investigate or hear any matter which alleges the harm, or risk of harm to children or vulnerable adults.

The second stage of the process where a case or complaint is referred to a Professional Conduct or Competence Committee is the hearing stage.

Again, if, during the progress of your case or complaint there is the suggestion of the harm, or the risk of harm to children or vulnerable adults, the Professional Standards Team will refer it to the ISA.

Hearing a case broadly involves the following:

If your case or a complaint made reaches this stage, a Professional Conduct or Competence Committee will decide whether or not (a) the facts of the case are proved (b) the facts found proven amount to unacceptable professional conduct (UPC), serious professional incompetence (SPI) and/or a conviction of a relevant offence. This is a judgment the Committee makes. If a Committee finds unacceptable professional conduct, serious professional incompetence or a conviction of a relevant offence established, it will then decide whether or not it is appropriate to impose a disciplinary order upon your teacher registration. Before doing so, the Committee will ask you if you have any mitigation for it to consider.

The Council will send you a ‘Notice of Proceedings’ and ask you to respond to it prior to the hearing.

The Orders available to the Committee are:

a Reprimand. This Order is held on the Register for two years and then removed permanently. Registration is not affected.

a Conditional Registration Order. This Order sets out conditions the registered teacher must comply with in order to remain registered. Conditions may be set for a specific period, or without limit of time.

a Suspension Order. This Order suspends the teacher’s registration for a maximum of two years. Conditions may be attached to this Order.

a Prohibition Order. This Order removes the teacher’s registration for a minimum of two years. The teacher may only apply for re-admission to the Register of Qualified Teachers after a specified time period has elapsed.

A decision at this stage is made on the basis of written and oral evidence, and, unless you ask for a private hearing and the Committee agrees, all evidence is heard in public. You are encouraged to attend, and attend with representation. A solicitor or union official may fulfill this role on your behalf. You may call witnesses, as may the Council. If you do not attend, the Council reserves the right to continue in your absence.

If a disciplinary order is imposed upon your teacher registration, you have the right of appeal to the High Court within 28 days of the date the decision notice is sent to you.

The Professional Standards Team will post any disciplinary order imposed by a Committee on the Council’s website for three months. This will confirm the registered teacher’s name, brief details of the Committee’s findings and the order. The decision may be released to the press and will be reported to Council, the Welsh Assembly Government, the ISA and to the current and/or previous employers of the teacher concerned.

Carefully read any letter, Notice and accompanying documentation you receive from the Professional Standards Team.

1. If your case or a complaint made is referred to an Investigating Committee for investigation, the Investigating Officer will send you a ‘Notice of Investigation’ (as stage 3 above).

When you respond, you should aim to submit:

1. a signed statement of reasons why, in your opinion, no disciplinary action should be taken against you;
2. a signed explanation of the case or complaint made (the circumstances of the offences/conduct/incompetence which have been referred to the Council);
3. mitigation. This means information surrounding the referral which you think is relevant;
4. testimonials and references from individuals who can comment on the referral from a first hand perspective. Testimonials and references from, for example, your current employer, can only be considered by a Professional Conduct or Competence Committee if your case or the complaint made is referred to a hearing;
5. a brief account of your teaching career, and/or your professional curriculum vitae;
6. any other information which you think is important for the Committee to be aware of.

In addition, the Notice will ask whether or not you think there may be a conflict of interest between you and a member of the Investigating Committee. If you feel this is the case, you should let the Investigating Officer know as soon as possible.

Your written response should be returned within four weeks of the Investigating Officer sending you the Notice.

2. If your case or a complaint made is referred to a Professional Conduct or Competence Committee for hearing, the Committee Officer will send you a ‘Notice of Proceedings’ (as above).

Part ‘f’

Part ‘f’ of the Notice asks you to respond to specific questions about the hearing. For example, whether or not you will be coming to the hearing in person, whether or not you will be bringing any witnesses, and whether or not you admit the facts and allegations referred.

In addition, part ‘f’ asks whether or not you think there is a conflict of interest between you and a member of the Professional Conduct or Competence Committee. If you feel this may be the case, you should let the Committee Officer know as soon as possible.

Your written response to part ‘f’ should be returned within three weeks of the Committee Officer sending you the Notice.

Part ‘g’

Part ‘g’ of the Notice asks you to make any further representations about the referral you think appropriate and relevant, including witness statements. Witness statements may be written by witnesses not attending the hearing, as well as any you choose to call. Testimonials and references from, for example, your current employer, can be considered by a Committee at this stage.

If you feel that you submitted as much information as you could to the Investigating Committee and have nothing more to add, you do not necessarily have to do this again when responding to a Notice of Proceedings. However, you should still make a written response in order to:

7. refer the Professional Conduct or Competence Committee to the evidence you sent to the Investigating Committee;
8. comment further on the allegations in the Notice of Proceedings as these are likely to be more detailed, and on any additional evidence the Committee Officer sends you at this stage.

Your written response to part ‘g’ should be returned at least four weeks before the date of the hearing.

If you did not respond to the Notice of Investigation, you should try and address all matters.