Whenever allegations of misconduct or unprofessional behaviour are made against a teacher, an investigation must take place. This is a vital step in protecting children from dangerous or unsuitable adults, and in ensuring that teachers are treated fairly and kept safe from false accusations. Through careful consideration of the relevant facts, authorities can make sure that the best possible outcome is reached.

The most common types of investigations are carried out by the Teaching Regulation Agency (TRA), which will follow a dedicated procedure to determine whether or not you have engaged in unacceptable professional conduct, and whether any action needs to be taken. The TRA will decide whether or not to carry out an investigation when it receives a referral, which may come from the police, a member of staff at a school, the Disclosure and Barring Service, or a member of the general public. If you face a police investigation, this might result in a referral to the TRA even if you also face criminal proceedings.

Whether you are concerned about the professional consequences of an investigation or are facing a full criminal investigation, it is vital to learn about the process and prepare to mount a defence. You have a right to a defence and by working with an experienced professional regulation and criminal defence solicitor during this process, you can get a better sense of how the investigation might unfold, how it could affect your life and career, and what you can do to protect yourself.

As we will discuss, an investigation can be a long and complex process that involves collecting evidence, providing statements, attending interviews and, in some cases, appearing before a professional conduct panel hearing. A solicitor can help you to prepare for each step as it arises and give you the best chance of a positive outcome.

What Is the Investigation Procedure?

Each investigation will be different according to the specifics of the allegations and the process through which facts are gathered. The fundamentals of this process are designed to make sure that investigations are carried out fairly and to maintain the integrity of the educational environment, but some aspects will differ on a case by case basis. As such, we will discuss the general stages that are almost always followed to give you some idea of what to expect; but there will always be an element of uncertainty until you are able to speak to an expert solicitor.

• Report: The process begins when an allegation is made or a concern is raised about a teacher's conduct. This could be related to professional misconduct, safeguarding issues, or other serious concerns.
• Assessment and referral: If allegations are reported to school staff, the school's senior management or designated safeguarding lead will make an initial assessment to decide what to do. This will usually involve an action plan of the immediate steps that they need to take. If the issue involves potential harm to students, staff may take immediate safeguarding action. If allegations are reported to the police, they may work with school authorities to take action. In both cases, alleged misconduct or concerns may be reported to the TRA for further investigation.
• Informing the teacher: The teacher in question is usually informed of the allegations against them at around this point. The timing of this varies depending on the nature of the investigation and may be contingent on decisions made by local authorities or the police. As soon as you find out that you may be subject to an investigation into alleged conduct, you should seek legal advice.
• Suspension: In serious cases, you may be suspended from your duties while the investigation is carried out. Suspension is not a disciplinary action in itself but is meant to ensure a fair investigation process and to safeguard all parties involved. A solicitor can advise you of the implications of a suspension and what it could mean for your case.
• Investigation: A thorough investigation should be conducted at this stage. This may involve interviews with teachers, complainants, and other potential witnesses. Alongside witness evidence in the form of statements, investigators might review relevant documents, CCTV footage or other evidence. The investigation may be conducted internally by the school or by external authorities, especially if there are safeguarding issues involved. No matter the case, there are legal restrictions on how evidence can be collected and used. Your solicitor can help you to prepare for any interviews and help you to comply with your legal obligations, while also preventing you from needing to answer irrelevant questions. We can also make sure that all evidence is gathered in accordance with the law and that you are treated fairly during this time.
• Outcome: Once the investigation is complete, a decision is made regarding the allegations. In cases of internal investigations carried out by schools, administrators may take disciplinary action if allegations are substantiated. This can range from a warning to a dismissal, and in cases of serious misconduct, the matter may be referred to the TRA or the police. There are several potential outcomes to a TRA investigation, which we will explain in more detail below. At all stages of the process, a solicitor can help you to understand what the next stages are likely to be.
• Appeals: Depending on the outcome and the nature of the allegations, the teacher may have the right to appeal against any disciplinary action taken. Procedures to do so may be established by their employer (in accordance with employment law) or the regulatory body responsible for the investigation.

For more specific guidance on how an investigation might unfold, what you should expect from the process or the outcomes you can reasonably expect in your circumstances, speak to a professional regulation and criminal defence solicitor. Thanks to our experience and knowledge of the legal intricacies that apply to these situations, the experts at JMW can discuss your options, keep you up-to-date on the progress of any investigation, and guide you towards the best possible outcome you can expect to achieve.

What Are the Potential Outcomes of a Teaching Regulation Agency Investigation?

There are several potential outcomes following investigations or alleged misconduct hearings by the TRA. Its powers are regulatory and aimed at maintaining the standards of the teaching profession rather than handling employment disputes or issues that fall within the responsibility of schools or local authorities. As such, it will only focus on the most severe cases, with a focus on criminal convictions relevant to teaching, serious professional misconduct, and actions that bring the profession into disrepute. 

At the conclusion of an investigation, the TRA may decide to take any of the following steps:

• No further action: If the investigation finds insufficient evidence of misconduct, or if the conduct does not meet the threshold for regulatory action, the case may be closed with no further action taken against the teacher.
• Advice: The teacher may receive formal advice on their future conduct. This is a relatively light outcome and does not restrict the teacher's ability to teach.
• Warning: The TRA may issue a warning that remains on the teacher's record for a set period. While this does not prohibit the teacher from teaching, it is a formal notice that their conduct was found to be unsatisfactory, and future misconduct could lead to more severe consequences.
• Conditional suspension: The teacher may be allowed to continue teaching, but under certain conditions. If these conditions are not met, the teacher could face further action and more serious penalties.
• Fixed-term suspension from the teaching register: In these cases, the teacher is suspended from the teaching register for a fixed period. During this time, they are prohibited from teaching in any school, sixth-form college, relevant youth accommodation, or children's home in England. 
• Prohibition order: This is one of the most severe outcomes. The teacher is prohibited from teaching indefinitely and cannot teach in any school, sixth-form college, relevant youth accommodation, or children's home in England. They are removed from the teaching register and placed on the prohibited list. Sometimes, a prohibition order may include a provision that allows the teacher to apply for the order to be set aside after a minimum period, typically no less than two years.

Some of these measures may be introduced on a temporary basis while an investigation is ongoing. For example, in cases where there is a risk of harm to children or it is in the public interest, an interim prohibition order can be issued. This temporarily prohibits the teacher from teaching while the investigation is ongoing and will usually last until a final decision is made.

While these outcomes can have serious professional consequences for any teacher, there is often the opportunity to appeal against a prohibition order or other serious sanctions. This may involve appearing before the High Court, and the support of a professional regulation solicitor is vital during this process. They can advise you on the likelihood of success in such cases and help you to plead your case or identify mitigating circumstances that may change the outcome.