What happens when a teacher is investigated by the Teaching Regulation Agency?

At Olliers we deal with clients from all walks of life and we understand that having a complaint or an allegation made against you can have far-reaching consequences for not only your personal life but also your professional life. This is particularly so for those who work in a regulated sector such as law, financial services, health and social care and those in the teaching profession.

The whole process from that initial letter notifying you of the complaint through to the conclusion, whatever that may be, can be stressful, overwhelming and very confusing so it is important to seek advice and assistance from a defence team who will help you navigate the complexities of the situation in order to achieve the best possible outcome. The regulatory department at Olliers are always on hand to provide that assistance and we have set out below some key information to bear in mind if you find yourself facing a TRA investigation.

What is the Teaching Regulation Agency and what does it do?

The Teaching Regulation Agency (TRA) is an executive agency of the Department for Education. The TRA maintains a record of all teachers and trainee teachers in England and provides support to employers, schools and head teachers in relation to their safeguarding responsibilities. Perhaps most importantly, however, for the purposes of this article, the TRA is also the body tasked with acting on allegations of serious teacher misconduct.

This means that the TRA has the responsibility for:

• investigating all cases of misconduct and deciding which cases are serious enough to result in prohibition and therefore ought to be referred to a hearing
• deciding whether an interim prohibition order should be imposed during the course of an investigation, to prevent a teacher from working whilst the investigation is carried out
• administering the hearing process and procedures
• considering the recommendations of the professional conduct panel and deciding, on behalf of the Secretary of State, whether a prohibition notice is appropriate and if so whether or not a teacher may apply for a review of the order after a prescribed period of not less than two years

Who can make a referral to the TRA?

The TRA receives a large number of referrals each year; these come from employers, the public, the police, the Disclosure and Barring Service (DBS) and other regulatory bodies or organisations who feel it appropriate to make such a referral.

Will a complaint automatically proceed to a hearing?

The fact that a complaint or referral is made does not mean that every case will result in a hearing before the professional conduct panel, indeed some will not even result in an investigation.

The first thing that the TRA will do when they receive a complaint is conduct an initial assessment to determine whether it should be investigated. This will involve checking that the referral relates to a person who is or was employed or engaged to undertake teaching work in England and that the alleged conduct is capable of amounting to unacceptable professional conduct, conduct that may bring the profession into disrepute or relates to a relevant conviction and a prohibition order may therefore be appropriate.

How long will it take for TRA to decide whether or not to open an investigation?

The decision on whether or not to conduct an investigation should usually be taken within 3 days of receipt of a referral. If the answer to any of the questions above is negative, then there will be no investigation.

What happens if the TRA decide to investigate?

If the TRA decided to conduct an investigation, you will receive a letter notifying you of the allegation(s) and inviting you to respond, usually within 28 days. You are not obliged to provide any submissions or evidence at this stage but it is wise to seek legal advice as well-crafted submissions may result in matters being concluded without any onward referral.

Will the TRA inform anyone else?

If the allegations involve safeguarding concerns, the TRA will also forward all relevant information to the DBS who will carry out their own investigation.

Olliers have a dedicated DBS department who can assist you with such issues.

What is an Interim Prohibition Order?

In cases involving particularly serious misconduct, for example sexual offences or sexually motivated conduct, the TRA will consider whether to make an Interim Prohibition Order (IPO), the effect of which is to prevent a teacher working pending the outcome of the investigation.

This can be done at any time once a referral has been made and they are made without the need for a formal hearing. Although you may be entitled to ask for a review within six months and at six monthly intervals, there is no right of appeal once an order has been made.

What happens during the TRA Investigation?

For those cases which do result in an investigation, TRA will very often instruct an external law firm to carry out the investigation on its behalf. As part of the investigation stage, the TRA may make enquiries and/or request information or documentation from other relevant parties.

As soon as reasonably practicable, the TRA will send you a letter in which it will set out the allegation(s) and provide copies of any documents considered relevant to the allegation(s).

You will be invited to provide any evidence or written submissions that you want the TRA to consider. This should normally be provided within 28 days and we strongly recommend that you seek legal advice and assistance from an experienced regulatory solicitor before sending any information to the TRA.

What happens when the investigation is complete?

Once they have all relevant material, including the teacher’s evidence and submissions, the TRA will review the information and decide if there is a case to answer.

If there is a case to answer, the matter will be referred to a professional conduct panel. You will be notified of the decision by way of a “case to answer” letter, usually within five days of the decision being made.

The case to answer letter will set out the particulars of the allegations. You will be asked to provide a written response within 14 days, confirming whether the facts are admitted and, if so, whether you accept that they amount to unacceptable professional conduct, a conviction for a relevant offence or conduct which may bring the profession into disrepute.

If you agree the facts and accept that they amount to unacceptable professional conduct or any of the other headings, you can ask for the case to be considered without the need for a hearing. A case will proceed to a professional conduct panel hearing if you do not respond to the case to answer letter or if you respond but do not admit all matters or do not agree a statement of facts with the TRA.

What is a Professional Conduct Panel?

The Professional Conduct Panel (PCP) will hear the most serious cases of alleged teacher misconduct and it is they who can ultimately recommend whether a teacher should be made subject to a prohibition order.

The PCP will be made up of three members including at least one teacher or individual who was a teacher in the five years immediately prior to their appointment. Lay members will generally be people who have experience in dealing with complex and sensitive investigations although not necessarily in the education sector.

What is the procedure before a PCP?

The final hearing will include the allegations being put to you and you will be asked whether or not any of the facts are admitted and, if so, whether it is also accepted that they amount to unacceptable professional conduct, a conviction for a relevant offence or conduct that may bring the teaching profession into disrepute, as relevant.

Where material facts remain in dispute, the Chair will invite the TRA presenting officer to make an opening statement which the teacher/ their representative will be allowed to respond to. Both parties will then be permitted to present evidence on the alleged facts and whether or not they amount to unacceptable professional conduct, conduct which may call the profession into disrepute or a conviction for a relevant offence.

Parties will be allowed to make closing submissions before the panel retire to deliberate and reach their decision.

How will the PCP make its decision?

The PCP will consider all of the evidence before them and reach their decision based on the civil standard of proof that being that it was more likely than not that the alleged behaviour took place.

Put simply, the panel must decide whether any of the alleged facts have been proved and, if so, whether those that have, amount to unacceptable professional conduct, a conviction for a relevant offence or conduct capable of bringing the profession into disrepute.

Will a Prohibition Order be imposed?

If the PCP finds a teacher guilty of unacceptable professional conduct or any of the other two headings, they will ask the TRA presenting officer to produce any evidence relevant to their consideration as to whether or not a prohibition order may be appropriate. They will also hear any mitigation that may be presented on behalf of the teacher.

The PCP will decide whether or not to recommend the imposition of a prohibition order to the Secretary of State. Their decision will take account of the need to protect children, parents and other staff, as well as, wider public interest considerations and the need to maintain the highest standards of professional conduct in the education sector.

If the panel do decide to recommend a prohibition order, they must also consider whether to recommend that the teacher be allowed to apply to have the order set aside, and if so, the minimum time that must pass before they do so.

On receipt of the PCP recommendations, the Secretary of State will usually decide within three working days whether or not to impose the order. A teacher may appeal a prohibition order to the High Court, within 28 days.

How can Olliers assist with a TRA case?

The regulatory team at Olliers are committed to helping professionals defend their careers and reputation. Our experienced lawyers are on hand to provide legal advice and assistance to teachers and trainees facing investigation and/or proceedings brought by the TRA.

We are also able to assist with any associated criminal investigations or proceedings and our holistic approach ensures that those we represent have a seamless experience throughout the process.

Should you require assistance with any matter brought by the TRA or indeed any associated criminal investigations, please contact our specialist professional disciplinary team to discuss how Olliers can assist.