LoginAbout Professional Conduct and Competence
The Disciplinary Process
The General Teaching Council for Wales (‘the Council’) is the statutory, self-regulating professional body for teachers in Wales. It seeks to raise the status of teaching by maintaining and promoting the highest standards of professional practice and conduct in the interests of teachers, pupils and the general public.
Under Section 134 of the Education Act 2002, and the Education (Specified Work and Registration (Wales) Regulations 2004 (SI 2004/1744 (W. 183)), every qualified teacher who carries out the specified work of a teacher in a maintained school must be registered with the Council.
Under the terms of the Teaching and Higher Education Act 1998 as amended, the Council is responsible for investigating and hearing cases of unacceptable professional conduct, serious professional incompetence and/or where a teacher has been convicted (at any time) of a relevant offence, or it appears that a registered teacher may be so guilty or have been so convicted.
The public interest
The Council regulates the teaching profession in Wales in the public interest, which includes the protection of members of the public, the maintenance of public confidence in the profession and the declaration and upholding of proper standards of conduct and competence.
This means that Committees of the Council apply the public interest test in their consideration, investigation and hearing of all cases and complaints referred to it. Applying the test requires Committees to balance competing interests, for example, the general public interest as opposed to that of the registered teacher.
The public has a right to expect that registered teachers uphold the highest professional standards, just as teachers have a right to be certain that their peers are in good standing with their professional body.
The referral process
Cases of alleged unacceptable professional conduct, serious professional incompetence or a conviction of a relevant offence are referred to the Council in the following ways, by:
- employers, in line with Welsh Assembly Government regulations, where they dismissed, or might have dismissed a registered teacher had he or she not resigned, on the grounds of their conduct or incompetence;
- agents, in line with Welsh Assembly Government regulations, where they terminated arrangements, or might have terminated arrangements with a registered teacher had he or she not terminated them or similar, on the grounds of their conduct or incompetence;
- the police. Teaching is a ‘notifiable occupation’. This means if a registered teacher is convicted or cautioned for a criminal offence whilst they are registered, it will be reported to the Council;
- any other person who wishes to make a complaint about a registered teacher’s conduct.
The introduction of the Independent Safeguarding Authority (ISA) will see the referral process change, but the Council’s disciplinary role will not.
What happens once a referral is received by the Council?
Where a referral is received under 1 to 4 above, the Council will consider it in line with its Disciplinary Procedures and Rules.
This information is general information. In all circumstances, the General Teaching Council for Wales (Disciplinary Functions) Regulations 2001, as amended, and the Council's Disciplinary Procedures and Rules take precedence.
Investigating stage
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 a case or complaint takes within this stage will vary depending on the nature of it.
If, for example, the case referred 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. If he or she does not, the case will be referred to an Investigating Committee, as stage 2.
Stage 1 is a paperwork exercise.
An Investigating Committee convened under stage 2 will consider whether or not the case or complaint should be investigated.
A decision at this stage is made on the basis of paperwork and in private.
An Investigating Committee convened under stage 3 will investigate whether or not the registered teacher has a case to answer. The Council will send the registered teacher a ‘Notice of Investigation’ and ask him or her to respond to it. A decision at this stage is made on the basis of paperwork and in private.
If the Investigating Committee is satisfied the registered teacher does not have a case to answer, the matter will end there. If the Investigating Committee is satisfied the registered teacher has a case to answer, it will send the case or complaint 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 the case or complaint suggests the harm, or the risk of harm to children or vulnerable adults, 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 the 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.
Hearing stage
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 the 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:
A Professional Conduct or Competence Committee decides 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 then decides whether or not it is appropriate to impose a disciplinary order upon the registration of the teacher. Before doing so, the Committee will ask the registered teacher if they have any mitigation for it to consider.
The Council will send the registered teacher a ‘Notice of Proceedings’ and ask him or her to respond to it prior to the hearing.
The Orders available to the Committee are:
a Reprimand. This Order is held on the Register of Qualified Teachers 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 the teacher asks for a private hearing and the Committee agrees, all evidence is heard in public. The teacher is encouraged to attend, and attend with representation. A solicitor or union official may fulfill this role on behalf of the teacher. Witnesses may be called by both the teacher and the Council. If the teacher does not attend, the Council reserves the right to continue in their absence.
A teacher against whom an Order has been imposed has the right of appeal to the High Court within 28 days of the date the decision notice is sent to them.
The Professional Standards Team will post any disciplinary order imposed by a Committee on the Council’s website for three months.
Principles governing the Council’s disciplinary work
There are a number of key principles which govern the Council’s disciplinary work. These are:
Fairness. Committees will treat each case or complaint fairly and on its own merits based on the available evidence.
Efficiency. The Council will seek to deal with cases and complaints efficiently so as to cause the minimum of delay and discomfort to the parties involved.
Openness. The Council recognises that the interest of the public lies in the openness of its procedures and the accountability of the Council as displayed through its disciplinary responsibilities. However, the Council also recognises the concern it must have for the private lives of teachers whose cases are being investigated and heard, and for potential witnesses, not least as these might include children.
The Human Rights Act entitles individuals to a public hearing, but this is subject to a number of qualifications. A Committee may decide that it is not in the interests of justice, of children or the protection of the private lives of individuals to hold a hearing in public. In such cases, a Committee will hear a case in private. A registered teacher may choose to waive their right to a public hearing, but it will still be for the appropriate Committee to decide whether the hearing should be in public or in private.
Impartiality. The composition of Committees will be developed to ensure a fair balance and Committee members involved will be impartial. The Council will ensure that there is a clear separation and division of roles in respect of those members and officers who are involved in an Investigating Committee and a Professional Conduct or Professional Competence Committee.
Confidentiality. Subject to the need to ensure justice and fairness, members and Council officers are committed to respecting the confidential nature of all information involved in disciplinary cases and complaints, in so far as is possible where hearings are in public.
All evidence, case papers and records will be stored confidentially and securely.
Natural Justice. The teacher against whom allegations have been made will be informed of any case or complaint referred. Where a Notice of Investigation or Notice of Proceedings is issued, the teacher will have an opportunity to challenge the allegations by providing written and other representations to the Council. In addition, the registered teacher is given the right of appeal to the High Court where a disciplinary order is imposed upon him or her.
The Public Interest. All cases and complaints will be investigated and heard in the public interest. This includes the protection of members of the public, the maintenance of public confidence in the profession and the declaration and upholding of proper standard of conduct and competence.
Equal Opportunities. The Council is fully committed to equal opportunities and non-discrimination.
Language. Committees will be conducted (all or in part) in English or Welsh at the request of the registered teacher.
Glossary
| The Act | The Teaching and Higher Education Act 1998, as amended; |
| Case | A referral sent to the Council by an employer, agent or the police which the Council will consider on the grounds of alleged unacceptable professional conduct, serious professional incompetence, or a conviction of a relevant offence; |
| Complaint | A complaint made to the Council by any other person which alleges the unacceptable professional conduct of a registered teacher. |
| The Council | The General Teaching Council for Wales; |
| Disciplinary Order | A Reprimand, a Conditional Registration Order, a Suspension Order (with or without conditions) or a Prohibition Order, within the meaning of Schedule 2 to the Act; |
| ISA |
The Independent Safeguarding Authority. The ISA was created to help prevent unsuitable people from working with children and vulnerable adults following the Soham murders and subsequentcommissioning of the Bichard Inquiry. The Inquiry looked at the way employers recruit people to work with children and vulnerable adults, and asked whether the way employers check the background of job applicants is reliable enough. It also asked whether employers should be responsible for deciding whether a job applicant can be safely employed. The Safeguarding Vulnerable Groups Act 2006 (SVGA) requires the ISA to establish and maintain the Children’s Barred Lists and the Adults’ Barred List. These lists hold the details of those individuals barred from working with children and vulnerable adults; |
| ‘Notifiable occupation’ | An occupation in which the public interest in the disclosure of conviction and other information by the police or other officials generally outweighs the normal duty of confidentiality owed to an individual; |
| Register | Register of Qualified Teachers which the Council is required to establish and maintain in accordance with the Act; |
| Registered teacher | A person for the time being registered under Section 3 of the Act, or a person who was registered under Section 3 of the Act at the time of any alleged conduct or offence on his or her part, or a person who has made an application to be registered under Section 3 of the Act; |
| Relevant offence | A conviction in the United Kingdom for a criminal offence, other than one having no material relevance to a teacher’s fitness to be a registered teacher, committed in England or Wales, or if committed elsewhere would have constituted a conviction in England and Wales, within the meaning of Schedule 2 to the Act; |
| Serious professional incompetence | Demonstrating a level of competence which falls seriously short of that expected of a registered teacher, taking into account the relevant circumstances; |
| Unacceptable professional conduct | Conduct which falls short of the standard expected of a registered teacher within the meaning of paragraph 8(1) of Schedule 2 to the Act. |