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Statutory Instruments made by the National Assembly for Wales


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2001 No. 1424 (W.99)

EDUCATION, WALES

The General Teaching Council for Wales (Disciplinary Functions) Regulations 2001

  Made 5th April 2001 
  Coming into force 1 June 2001 


Arrangement of Regulations


PART I

INTRODUCTION
1. Citation and commencement
2. Interpretation

PART II

DISCIPLINARY FUNCTIONS OF THE COUNCIL
3. Establishment of Investigating Committees
4. Delegation of Investigating Committees' functions
5. Establishment of Professional Conduct Committees
6. Establishment of Professional Competence Committees
7. Use of the Code of Practice in disciplinary matters
8. Membership and procedure of Committees
9. Exclusion or restriction of Committees' powers
10. Proceedings of Investigating Committees
11. Proceedings of Professional Conduct Committees and Professional Competence Committees
12. Entitlement to appear and be represented at hearings
13. Attendance of witnesses
14. Requirement for hearings to be held in public
15. Administration of oaths and affirmations
16. Other provisions about Professional Conduct Committees' and Professional Competence Committees' procedure
17. Referring cases to other Committees
18. Disciplinary orders
19. Publication of disciplinary orders
20. Application to vary or set aside a condition in a conditional registration order
21. Consequences of failure to comply with a conditional registration order
22. Prohibition orders
23. Review of disciplinary orders
24. Appeals
25. Disciplinary orders made by the General Teaching Council for England
26. Service of notices and orders
27. Publication and provision of copies of documents

PART III

PROVISION OF INFORMATION BY EMPLOYERS
28. Provision of information by employers to the Council

  SCHEDULE Information to be supplied by a registered teacher's employer to the Council

In exercise of the powers conferred on the Secretary of State by sections 5(2)(a) and (3), 6, 15 and 42(6) and (7) of, and paragraph 9 of Schedule 1 and Schedule 2 to, the Teaching and Higher Education Act 1998[
1] and now vested in the National Assembly for Wales[2], and after consulting the General Teaching Council for Wales in accordance with section 42(9) of that Act, the National Assembly for Wales makes the following Regulations:



PART I

INTRODUCTION

Citation and commencement
     1. These Regulations may be cited as the General Teaching Council for Wales (Disciplinary Functions) Regulations 2001 and shall come into force on 1 June 2001.

Interpretation
    
2.  - (1) In these Regulations, unless the context otherwise requires - 

    (2) In regulations 18 and 28, "employer" ("cyflogydd") means - 

    (3)

    (4) In regulations 11 to 15 "hearing" ("gwrandawiad") means the hearing by a Professional Conduct Committee or a Professional Competence Committee of disciplinary proceedings against a registered teacher, or a hearing under regulation 20, 21 or 22.

    (5) In regulations 8 and 28 "registered teacher" ("athro neu athrawes gofrestredig") means a person for the time being registered under section 3 of the 1998 Act, and in the remaining provisions of these Regulations it means - 

    (6) Any reference in these Regulations to - 



PART II

DISCIPLINARY FUNCTIONS OF THE COUNCIL

Establishment of Investigating Committees
     3.  - (1) The Council shall establish one or more committees to be known as Investigating Committees for the purposes of carrying out the functions referred to in paragraph (2).

    (2) The functions of an Investigating Committee are - 

Delegation of Investigating Committees' functions
    
4.  - (1) An Investigating Committee may delegate to an employee of the Council the functions of - 

    (2) These Regulations shall apply to the exercise of a function by an employee of the Council as they would apply to the exercise of that function by an Investigating Committee.

Establishment of Professional Conduct Committees
    
5.  - (1) The Council shall establish one or more committees to be known as Professional Conduct Committees for the purposes of carrying out the functions referred to in paragraph (2).

    (2) The functions of a Professional Conduct Committee are - 

Establishment of Professional Competence Committees
    
6.  - (1) The Council shall establish one or more committees to be known as Professional Competence Committees for the purposes of carrying out the functions referred to in paragraph (2).

    (2) The functions of a Professional Competence Committee are - 

Use of the Code of Practice in disciplinary matters
    
7. A Committee may take into account any failure by a registered teacher to comply with the Code of Practice in any disciplinary proceedings against that teacher

Membership and procedure of Committees
    
8.  - (1) The Council must include on a Committee - 

    (2) A person who by virtue of regulation 5(2) of the General Teaching Council for Wales (Constitution) Regulations 1999[9] is not eligible to be a member of the Council or to vote in an election for elected members of the Council shall not be eligible to be a member of a Committee.

    (3) The quorum for a meeting of a Committee shall be three members, including one lay member, one registered teacher member and if no lay member or registered teacher member present is a Council member, one Council member.

    (4) A person who is a member of the Investigating Committee investigating a case shall not be appointed as a member of the Professional Conduct Committee or Professional Competence Committee which determine that case.

    (5) Subject to paragraphs (1) to (4) and regulations 20 and 22, the Council may make such provision as they see fit as to - 

    (6) In this regulation - 

Exclusion or restriction of Committees' powers
     9.

    (1) The functions under these Regulations of an Investigating Committee are excluded in a case where - 

    (2) The functions under these Regulations of an Investigating Committee are excluded in a case where - 

Proceedings of Investigating Committees
     10.  - (1) Where an Investigating Committee decide to carry out an investigation in relation to a registered teacher, they shall at such stage in the investigation as they consider appropriate - 

    (2) An Investigating Committee may decide to discontinue an investigation at any time before a case is referred for determination by a Professional Conduct Committee or a Professional Competence Committee.

    (3) When their investigation is complete the Investigating Committee shall take one of the following steps - 

    (4) Where an Investigating Committee decide to discontinue an investigation or a case they shall inform the registered teacher concerned, and when they do so they shall at the same time inform the teacher if they decided that he or she had no case to answer.

    (5) Where an Investigating Committee decide that a registered teacher has no case to answer, they shall at his or her request publish a statement to that effect.

    (6) The Council may make such other provision as to the procedure to be followed by an Investigating Committee in connection with their investigations and other proceedings as they see fit, and may from time to time revise any rules of procedure made under this paragraph.

Proceedings of Professional Conduct Committees and Professional Competence Committees
    
11.  - (1) A Committee shall determine cases against registered teachers referred to them by an Investigating Committee in accordance with paragraphs (2) to (6), regulations 12 to 15 and rules made by the Council under regulation 16.

    (2) Except as provided in paragraph (3), a Committee shall determine all cases, applications under regulation 20 or 22 or matters arising in relation to disciplinary orders under regulation 21 following a hearing.

    (3) A Committee may determine a case, application under regulation 20 or 22 or matter arising in relation to a disciplinary order under regulation 21 without a hearing at the written request of the registered teacher against whom disciplinary proceedings are being taken or against whom the disciplinary order was made unless it appears to them necessary in the interests of justice or the public interest to hold a public hearing.

    (4) A Committee may decide at any time after a case is referred to them by an Investigating Committee to discontinue that case, and if they decide to discontinue a case they shall inform the teacher concerned and when they do so they shall at the same time inform the teacher if they decided that there was no case against him or her.

    (5) Where they do not find the case against a registered teacher proved, a Committee shall at the teacher's request publish a statement to that effect.

    (6) Where they find a registered teacher - 

a Committee may make a disciplinary order in relation to the teacher in accordance with regulation 18.

Entitlement to appear and be represented at hearings
    
12.

    (1) A registered teacher is entitled to appear and make oral representations and to be represented, by any person or persons whom he or she desires, at any hearing of a Committee at which his or her case is considered.

    (2) Where a registered teacher does not appear at a hearing of a Committee at which his or her case is considered, the teacher is entitled to make written representations.

Attendance of witnesses
    
13. A Committee may require any person to attend and give evidence or to produce documents or other material evidence at any hearing.

Requirement for hearings to be held in public
    
14.  - (1) A Committee shall announce their determination of the outcome of all hearings in public and subject to paragraphs (2) and (3) all hearings of a Committee shall take place in public.

    (2) A Committee may deliberate in private at anytime and for any purpose during or after a hearing.

    (3) A Committee may exclude the public from a hearing or any part of a hearing - 

Administration of oaths and affirmations
    
15. A Committee may require any witness at a hearing to give evidence on oath or affirmation and for that purpose there may be administered an oath or affirmation in due form.

Other provisions about Professional Conduct Committees' and Professional Competence Committees' procedure
    
16. The Council may make such other provision as to the procedure to be followed by a Committee in connection with their determinations and other proceedings as they see fit, and may from time to time revise any rules of procedure made under this paragraph.

Referring cases to other Committees
    
17.  - (1) A Professional Conduct Committee may refer a case for detemination by a Professional Competence Committee, and a Professional Competence Committee may refer a case for determination by a Professional Conduct Committee.

    (2) A Professional Conduct Committee or a Professional Competence Committee may refer a case to an Investigating Committee.

Disciplinary orders
    
18.  - (1) A disciplinary order shall record the decision of the Committee, the date on which the order is made, and the date on which the order takes effect.

    (2) A conditional registration order shall in addition to the items referred to in paragraph (1) specify all the conditions relevant to his or her employment as a teacher with which the registered teacher is required to comply, and in relation to each such condition, either the period for which it has effect, or that it has effect without limit of time (as the case may be).

    (3) A suspension order shall in addition to the items referred to in paragraph (1) specify the period (not exceeding two years) at the end of which the registered teacher again becomes eligible for registration.

    (4) A prohibition order shall in addition to the items referred to in paragraph (1) specify the period (which shall not be less than two years beginning with the date on which the order takes effect) before the end of which no application may be made for a determination that the teacher is eligible for registration.

    (5) Except where a Committee otherwise decide, a disciplinary order shall take effect on the date on which notice of it is served on the person in relation to whom it is made.

    (6) A Committee shall - 

    (7) Where following the determination of a case by a Committee they decide not to make a disciplinary order in relation to a registered teacher, the Committee shall notify the teacher of their decision, including the reasons for it, and when they do so they shall at the same time inform him or her if they decided that the case against him or her was not proved.

    (8) Where they do not find the case against a registered teacher proved, a Committee shall at the teacher's request publish a statement to that effect.

Publication of disciplinary orders
    
19.  - (1) The Council may publish the information set out in paragraph (2) in relation to a disciplinary order - 

    (2) The information to be published is - 

Application to vary or set aside a condition in a conditional registration order
    
20.  - (1) A registered teacher in relation to whom a conditional registration order has been made may apply to the Council for variation or revocation of any condition specified in the order.

    (2) An application under paragraph (1) shall be made in writing and shall specify the grounds on which the registered teacher seeks to have any condition specified in the order varied or revoked, and it shall be accompanied by every document relied upon in support of the application.

    (3) Where a conditional registration order in respect of which an application is made under paragraph (1) was made by a Professional Conduct Committee, the application shall be determined by another Professional Conduct Committee which shall not include as a member any person who was a member of the Committee which made the order complained of.

    (4) Where a conditional registration order in respect of which an application is made under paragraph (1) was made by a Professional Competence Committee, the application shall be determined by another Professional Competence Committee which shall not include as a member any person who was a member of the Committee which made the order complained of.

Consequences of failure to comply with a conditional registration order
    
21. Where a Professional Conduct Committee or a Professional Competence Committee are satisfied that a registered teacher against whom a conditional registration order has been made has failed to comply with any condition of it, they may make a suspension or prohibition order in relation to the teacher.

Prohibition orders
    
22.  - (1) A person in relation to whom a prohibition order has been made may apply to the Council for a determination that he or she is eligible for registration.

    (2) An application under paragraph (1) shall be made in writing and shall specify the grounds on which the person seeks the determination, and it shall be accompanied by every document relied upon in support of the application.

    (3) Where a prohibition order in respect of which an application is made under paragraph (1) was made by a Professional Conduct Committee, the application shall be determined by another Professional Conduct Committee which shall not include as a member any person who was a member of the Committee which made the order complained of.

    (4) Where a prohibition order in respect of which an application is made under paragraph (1) was made by a Professional Competence Committee, the application shall be determined by another Professional Competence Committee which shall not include as a member any person who was a member of the Committee which made the order complained of.

Review of disciplinary orders
    
23. A Committee may of their own motion at any time revoke a disciplinary order made by them where - 

Appeals
    
24. Any person aggrieved by a disciplinary order made in relation to him or her shall have the right to appeal against the order to the High Court within 28 days from the date on which notice of the order is served on him or her.

Disciplinary orders made by the General Teaching Council for England
    
25. A disciplinary order made by the General Teaching Council for England or a committee of that Council shall apply in relation to Wales as it applies in relation to England.

Service of notices and orders
    
26.  - (1) Anything required to be served on a person for the purposes of disciplinary proceedings may be - 

    (2) For the purposes of regulations 18(5) and 24 notice of a disciplinary order shall be taken to have been served on the person in relation to whom it was made - 

Publication and provision of copies of documents
    
27.  - (1) The Council shall publish - 

any rules of procedure made under regulation 10(6) or 16 and any provision made under regulation 8(5), and shall at the request of any registered teacher provide him or her with a copy of such rules or provision free of charge.

    (2) The Council shall publish any statement they are required to publish under regulation 10(5), 11(5) or 18(8) on a website which they maintain on the internet, and if they so wish they may publish the statement in such other manner as they see fit.



PART III

PROVISION OF INFORMATION BY EMPLOYERS

Provision of information by employers to the Council
    
28.  - (1) The employer of a registered teacher shall in the circumstances specified in paragraph (2) provide the Council with copies of all the documents and items listed in the Schedule that are available to the employer in relation to such teacher.

    (2) The circumstances specified in this paragraph are that - 

    (3) The Council shall make all information provided to them under this regulation available to an Investigating Committee.

    (4) In this regulation, "employer" includes a former employer.



Signed on behalf of the National Assembly under section 66(1) of the Government of Wales Act 1998[
11].


D.Elis Thomas
The Presiding Officer of the National Assembly

5th April 2001



SCHEDULE
Regulation 28


Information to be supplied by a registered teacher's employer to the Council


     1. Letter or notice terminating a registered teacher's employment.

     2. Statement of reasons for dismissal.

     3. Employer's records relating to the dismissal or any contemplated dismissal, including notes and minutes of meetings, interview notes, and evidence supplied to or obtained by the employer.

     4. Employer's records relating to conduct which eventually led to a registered teacher's dismissal or would but for the teacher's resignation have led the employer to dismiss or consider dismissing him or her, including notes and minutes of meetings, interview notes, and evidence supplied to or obtained by the employer.

     5. Employer's letters, warnings or notices issued to a registered teacher in relation to the teacher's dismissal or contemplated dismissal, or the conduct which eventually led to the teacher's dismissal or would but for his or her resignation have led the employer to dismiss or consider dismissing the teacher and the teacher's replies or representations in relation thereto.

     6. Any other statements, representations and evidence submitted by a registered teacher to the employer in relation to the teacher's dismissal or contemplated dismissal, or the conduct which eventually led to the teacher's dismissal or would but for his or her resignation have led the employer to dismiss or consider dismissing the teacher.

     7. Letter of resignation.

     8. Any other document or information which the employer considers is relevant to any investigation which may be carried out by an Investigating Committee or any proceedings which may be taken by a Committee against a registered teacher.



EXPLANATORY NOTE

(This note is not part of the Regulations)


These Regulations make provision with respect to the disciplinary functions of the General Teaching Council for Wales, a body corporate established under the Teaching and Higher Education Act 1998 with the aims of contributing to improving the standards of teaching and the quality of learning and maintaining and improving the standards of professional conduct amongst teachers in the public interest.

Part II makes provision for committees of the Council to exercise the disciplinary powers conferred on the Council by the 1998 Act in relation to registered teachers and persons applying to the Council for registration. It provides for the establishment of one or more of each of the following types of committee - 

Part II also makes provision about the constitution of those Committees and for the Council to make further provision about constitutional matters (regulation 8). Regulation 9 excludes Investigating Committees' functions in certain cases. Regulation 10 to 15 make provision about the proceedings of Committees, including hearings, and regulation 16 enables the Council to make further provision about proceedings. Regulations 18 to 23 make provision about disciplinary orders. Regulation 24 provides a person against whom a disciplinary order has been made with a right of appeal to the High Court.

Part III requires certain employers of registered teachers to provide the Council with information listed in the Schedule where they dismiss a registered teacher on the grounds of incompetence or where they would have dismissed the teacher or considered dismissal on such grounds had he or she not resigned first.


Notes:

[1] 1998 c.30. Sections 5 and 6 and Schedules 1 and 2 apply in relation to the General Teaching Council for Wales by virtue of sections 8 and 9 and the General Teaching Teaching Council for Wales Order 1998(S.I 1998/2911) with effect from 30th December 1998 in the case of Schedule 1, and 1st September 2000 in the case of the remaining provisions. Section 15 is amended by section 5(4) of the Protection of Children Act 1999 (c.14). For the meaning of "prescribed" and "regulations" see section 43(1).back

[2] See the National Assembly for Wales (Transfer of Functions) Order 1999 (S.I. 1999/672).back

[3] S.I. 2000/1979 (W. 140).back

[4] 1996 c.36; section 463 is amended by paragraphs 57 and 124 of Schedule 30 and by Schedule 31 to the School Standards and Framework Act 1998.back

[5] 1992 c.13.back

[6] 1998 c.31.back

[7] 1996 c.36; section 337(1) is amended by paragraph 80 of Schedule 30 to the School Standards and Framework Act 1998.back

[8] 1992 c.13; section 65 was amended by the Disability Discrimination Act 1995 (c.50) and the Teaching and Higher Education Act 1998 (c.30).back

[9] S.I. 1999/1619 amended by S.I. 1999/3185 (W.43).back

[10] 1988 c.40. Section 218(6) is amended by section 290(3) of the Education Act 1993 (c.35) and section 5(4) of the Protection of Children Act 1999 (c.14). The regulations in force under at the time of making these regulations were the Education (Restriction of Employment) Regulations 2000, S.I. 2000/2419 which apply to both Wales and England.back

[11] 1998 c. 38.back



Cymraeg (Welsh)



ISBN 0 11090252 1


  Prepared 6 July 2001


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