This form is for employers and agents who are required, by statute, to make a referral to the EWC. Before doing so, please read the following guidance.

Employers of registered persons (schools (Governing Body), local authorities, further education institutions, any other relevant body) and agencies are responsible for referring cases of alleged unacceptable professional conduct, serious professional incompetence and conviction of a relevant offence to the Education Workforce Council (EWC).

An employer or agent must refer a case in line with the Education (Wales)(Act) 2014, as amended, and The Education Workforce Council (Main Functions) (Wales) Regulations 2015, as amended, where:

• it ceased to use the services of a registered person in Wales, or might have ceased to use the services of a registered person in Wales had he or she not stopped providing them (an employer)
• it terminated arrangements with a registered person, or might have terminated arrangements with a registered person had he or she not terminated them or similar (an agent)

Responsibility on employers

An employer must report the facts of a case to the EWC where:

1. an employer has ceased to use the services of a registered person in Wales on the ground of:
   1.  misconduct
   2. professional incompetence
   3. conviction of a relevant offence
2. may have ceased to use a registered person’s services on such a ground had the registered person not ceased to provide those services.

Responsibility on agents

An agent must report the facts of a case to the EWC where it:

1. has terminated arrangements on the ground of:
   1. misconduct
   2. professional incompetence
   3. conviction of a relevant offence
2. may have terminated arrangements on such a ground if the registered person had not terminated them
3. may have refrained from making new arrangements for a registered person on such a ground if the registered person had not ceased to make themselves available for work

The following do not undermine an employer’s or agency’s statutory duty to make a referral:

• dismissals which are ‘downgraded’ to lower disciplinary sanctions (for example, Final Written Warnings) following an offer to resign, or similar
• settlement or mutual agreements where there was any possibility that the person may have been dismissed had the agreement not been entered into
• dismissal for ‘Some Other Substantial Reason’ (SOSR) where the termination of a contract of employment was as a result of a disciplinary issue (conduct and/or competence)
• where the disciplinary process did not reach a conclusion because the registered person resigned

In any event, please note the EWC can investigate any case referred to it if it thinks the allegations are capable of amounting to an allegation of unacceptable professional conduct, serious professional incompetence or a conviction of a relevant offence.

Referral papers – what to provide

Employers and agents should refer to Part 2 of Schedule 5 of The Education Workforce Council (Main Functions)(Wales) Regulations 2015, as amended, for a list of relevant paperwork which should be included with the referral if available.

This will typically mean all evidence from the point the allegation was made, to the point at which the registrant left employment (particularly suspension letter/resignation letter/dismissal letter to registrant, Disciplinary Committee minutes, appeal outcome letter to registrant, Appeal Committee minutes, Investigation Report, witness statements, responses given by the registrant to the allegations). That is, all evidence considered by a Disciplinary Committee and/or Appeals Committee. Section G refers to a more extensive list.

When providing documentation to support your referral, please consider that signed and dated statements and minutes are of greater legal value than unsigned documentation. If your documents were not signed at the time of any internal investigation process, if possible, please ask the parties involved to sign and date a statement that testifies to the truth and accuracy of the documentation.

Additionally, the EWC would welcome a covering letter which confirms:

• name of registrant
• their role
• reason for leaving employment (i.e. dismissal/gross misconduct)
• date of leaving employment
• confirmation of the allegation(s) which led to the registrant leaving employment

Referrals and the Disclosure and Barring Service (DBS)

If the allegation against a registrant is in any way connected to the actual harm, or risk of harm, to a child or vulnerable adult, then you should make the referral to the Disclosure and Barring Service (DBS). If misconduct and harm are both involved, or if you are in any doubt, a referral should be made to both the DBS and the EWC.

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

Further information relating to referrals to the DBS can be found on its website.

This information is for registered persons preparing for a Fitness to Practise Committee hearing of the Education Workforce Council (EWC).

Please note, most of our hearings are now held remotely.

Do I have to attend a hearing?

The EWC strongly advises you talk to your union or other representative for advice and support.

You can decide not to come to the hearing. The EWC cannot force you to attend but strongly encourages it. A Fitness to Practise Committee would always prefer to hear first-hand

the registered person’s response to a conduct or competence allegation. Your attendance will also allow the Committee to ask questions where it is not clear on what you have said in evidence.

If you do not attend, the Committee can continue with the hearing and reach a decision in your absence.

If you do not have a representative, the following information may help you reach a decision about attending.

There are other reasons I don’t want to attend

There may be specific reasons why you do not want to, or feel you cannot attend.

For example, you may have a disability, illness or a condition, such as a depression or anxiety, a learning difficulty, a physical disability, or you experience difficulty in social situations. Or you may feel intimidated because of your age, gender, race, cultural background, or sexuality.

The EWC may be able to suggest adjustments to the way in which you give evidence, for example, by arranging help if you are hearing or visually impaired, or have mobility difficulties.

You can ask for your evidence to be heard in private.

It is important the EWC is aware of your needs so it can ensure help is in place.

I’m not sure if I want to give evidence at the hearing. What should I do?

Again, the EWC strongly suggests you contact your union or other representative which will help in making decisions you are comfortable with.

The EWC cannot force you to give evidence.

Is this a public hearing? Who will be there?

It is a public hearing in keeping with the Human Rights Act – this ensures all people have a fair hearing in that anyone can attend and observe it. However, you can ask the Committee to hear some parts or all of the hearing in private if you have very good reasons. The Committee does not have to agree to this.

There may be members of the public or press observing, but they cannot take part in the hearing. This might include local authority or further education institution staff. It is quite rare that members of the public attend who have no specific interest.

Other people at the hearing are EWC staff, the Committee which is made up of registered persons and lay people in the main, and independent solicitors. The first of these solicitors is the Presenting officer. Presenting Officers act for the EWC, and are employed by an independent law firm. Their role is to evidence to the Committee that the facts, as set out in the Notice of Proceedings, are proved. They can do this with live witnesses and paperwork. The second is a solicitor from another independent law firm who can give legal advice to the Committee.

Can I bring someone with me to the hearing?

Yes. In addition to a union official or other representative, you can bring someone to support you, for example, a friend or relative. Anyone you bring as a support cannot take part in the hearing.

Observers cannot stay in the hearing if any part of it is in private.

You may also bring witnesses who can give evidence on your behalf. These can be witnesses who may have been involved in the issues the Committee will look at (the facts), or who can speak about your personal circumstances, character, and/or professionalism (mitigation).

I do not want to have any contact with the witnesses the EWC has called.

The EWC will arrange a private waiting room for you to use before and after the hearing, and during breaks and lunch. Your union or other representative and other support can also use this.

If the EWC has called witnesses, they will use a separate waiting room. The EWC clerks will do their best to make sure you do not have any contact with witnesses, although in every venue there are communal areas.

During in-person hearings, Clerks will ensure you are seated away from the witness stand.

Will I receive the bundle of papers before the hearing?

Yes. This will be sent to you 10 days before the hearing. A copy will also be sent to your union or other representative.

The same bundle of papers will be available at the witness stand, if you decide to give evidence.

It is possible you will be asked to look at certain documents in the bundle if being questioned. You should take your time to read each document carefully before answering any questions.

What happens at the hearing?

On the day of the hearing, you should aim to arrive by 9:30am. Hearings usually start at 10:00am. The Clerk will make sure you are comfortable by showing you the hearing room (if in-person), and taking you to a waiting room.

Arriving in good time means your union official or representative has time to talk to you about what is to follow. If you are not supported, an EWC officer and the EWC’s legal adviser will come and talk to you before the hearing starts to explain what will happen.

The Presenting Officer will set out the EWC’s case first. This will be followed by your evidence.

The Clerk will ask you to give either the oath or affirmation (whichever is your preference – this will be checked with you beforehand). If in-person, they will seat you at the witness table when it is time for you to give evidence.

If you have sent in a statement to the EWC prior to the hearing, you may decide, with the advice of your representative, to read this out to the Committee. This may well be a nerve-wracking experience. It is important therefore that, when asked, you take your time and read slowly which should help. No one will rush you. Your representative, if you have one, might ask you questions as you read, or after you have finished reading.

The EWC’s Presenting Officer can then ask you questions.

Finally, the Committee will then ask you questions if it has any.

What questions will I be asked?

You should only be asked questions about your evidence.

All parties at the hearing will be aware questions should not be confrontational or inappropriate. The Committee Chair or legal adviser will step in if the tone of questioning changes.

The hearing may well be taking place some time after the events you were involved in. If you find you have forgotten any details or facts, do not feel afraid to say so.

What happens if I need a break?

The Committee will be keen to make sure you are comfortable when giving evidence. If you want a break at any time, for whatever reason, please say so. The Committee might also decide it is time to take a break if you have been giving evidence for a while.

Can I give evidence in Welsh?

Yes. You will need to give the EWC 21 days’ notice.

The EWC will have sent you all the information you need four weeks before the hearing. Within this information is a form called ‘Registered Person Attendance’. You can use this form to let the EWC know you would like to give your evidence in Welsh.

Is there anything else I need to know or consider?

Make sure you have all the information you need before the day of the hearing. In particular, if the hearing is held in-person, check that you know where the hearing venue is and how to get there.

In addition, please note:

• smart work attire is the expected dress code for hearings
• hearings are recorded
• the use of mobile telephones during the hearing is prohibited

I have had to travel to the hearing, and take a day off school. Can I claim expenses?

No. The EWC is unable to reimburse you for any costs.

Who can complain?

Any person or organisation can make a complaint about a person registered with the Education Workforce Council (EWC).

What can I complain about?

A complaint must be about the alleged unacceptable professional conduct or serious professional incompetence of a registered person.

For the EWC’s purposes, unacceptable professional conduct means ‘conduct which falls short of the standard expected of a registered person’. Serious professional incompetence means ‘conduct which demonstrates a level of competence which falls seriously below that expected of a registered person, taking into account all the relevant circumstances’.

What conduct will the EWC find ‘unacceptable’?

You should read the Code of Professional Conduct and Practice. This explains what the education profession might find ‘unacceptable’ in a practitioner’s behaviour, and therefore the kind of behaviour the EWC might have an interest in investigating. The Code does not, of course, cover all examples.

As a guide, you should note the threshold for a finding of unacceptable professional conduct or serious professional incompetence by the EWC is high. For example, if a registered person is dismissed because of their behaviour either inside or outside of an educational establishment, it is more likely the EWC will find this to be unacceptable.

Behaviour which is unlikely to lead to dismissal by an employer is less likely to be found to be unacceptable by the EWC.

Is there anything I need to do first before I complain?

Yes. The EWC will only accept a complaint if exactly the same complaint has already been reported to the registered person’s employer or agent, and a response to that complaint has been received. ‘Employer’ usually means the school (governing body) and/or local authority, further education institution, and any other relevant body which employs a youth worker, youth support worker, or work-based learning practitioner. If you have not done this, you will need to first.

The EWC will then need to see written evidence that you have made the same complaint, as well as the outcome of the employer or agent’s investigation when you send the complaint in.

Complaints the EWC will not accept

The EWC will not accept a complaint which is about:

1. a person who is not registered with the EWC
2. a registered person’s health
3. any issues you have with an employer, agency, local Council, governing body, further education institution, or other relevant employer or organisation which have not been resolved to your satisfaction, unless they are about the behaviour of a registered person

The EWC also cannot accept anonymous complaints.

I still want to make a complaint. How do I do it?

You will need to make sure your complaint is clear and easy to understand, and:

• is exactly the same as the one you made to the employer or agent (if it is not, the EWC will not accept it)
• is specific, clear, and succinct - you will need to confine it to the box on page three of the complaint form
• includes important names, date, and times
• has attached to it:
  • written evidence which shows you made the same complaint to the employer or agent (you must number this and make reference to it at page three of the complaint form)
  • written evidence which shows the employer or agent investigated your complaint, and told you the outcome, in writing, of that investigation (you must number this and make reference to it at page three of the complaint form)

If you do not provide your complaint in the format prescribed above, it will be returned to you.

Other written evidence which shows what you say has a basis

This might include statements written by people who witnessed the events you mention, minutes of meetings, reports, memos, diary entries, and so on. If you decide to use information which needs permission, please get this first.

It is very important you send in as much information as you can to add ‘weight’ to your complaint. Without it, the EWC might not be able to take it any further.

Please remember the threshold for a finding of unacceptable professional conduct or serious professional incompetence by the EWC is high.

Send in your complaint and supporting information together

If you send information in at a later date, or in several different chunks , the EWC might not accept it. This is because for fairness, it is important the registered person involved can see and answer any complaint made about them, and be given enough time to do this.

It is also important the EWC deals with complaints as quickly as possible to minimise stress to all people involved, and to make sure it operates in a fair and transparent fashion as a regulatory body.

How will the EWC deal with my complaint?

Where the EWC accepts a complaint, it will forward it to an Investigating Committee for investigation.

Before this investigation, the EWC will send the complaint and supporting information to the:

• registered person - they will be given time to respond to the complaint
• registered person’s employer - they will be asked whether or not they have received the complaint, investigated it, and for the outcome of that investigation if concluded

All information gathered will be given to the Investigating Committee.

What action can an Investigating Committee take?

An Investigating Committee does not take any ‘action’ as such, but it can make one of the following decisions:

• decide a registered person has a ‘case to answer’, in which case, the complaint will be sent to a public hearing by a Fitness to Practise Committee
• decide the registered person has ‘no case to answer’, in which case the EWC will take no further action

If an Investigating Committee decides the registered person has ‘no case to answer’, the complaint will go no further.

I am not happy that the Investigating Committee decided the registered person has no case to answer. Can I appeal?

No. There is no appeal process, and the EWC is not able to look at the same complaint more than once. The Committee’s decision is final.

For this reason alone, it is important you follow carefully the guidance set out above.

Disciplinary Procedures and Rules 2024

Relevant sections of the Rules are Rule 5(2), Rule 6, Rule 7 and Rule 8.

The EWC will write to you when it has reached a decision about your complaint.

The employer and agent’s responsibility to refer

Employers of registered persons (schools (governing body), local authorities, further education institutions, any other relevant body) and agencies are responsible for referring cases of alleged unacceptable professional conduct, serious professional incompetence, and conviction of a relevant offence to the Education Workforce Council (EWC).
An employer or agent must refer a case in line with the Education (Wales)(Act) 2014, as amended, and The Education Workforce Council (Main Functions) (Wales) Regulations 2015, as amended, where:

• it ceased to use the services of a registered person in Wales, or might have ceased to use the services of a registered person in Wales had they not stopped providing them (an employer)
• it terminated arrangements with a registered person, or might have terminated arrangements with a registered person had they not terminated them or similar (an agent)

The following do not override an employer’s or agency’s statutory duty to make a referral:

• settlement or mutual agreements where dismissal was a possibility
• dismissal for ‘Some Other Substantial Reason’ (SOSR) where the termination of a contract of employment was as a result of a disciplinary issue (conduct and/or competence)

In any event, the EWC can investigate any case referred to it if it thinks the allegations are capable of amounting to an allegation of unacceptable professional conduct, serious professional incompetence, or a conviction of a relevant offence.

Responsibility on employers

An employer must report the facts of a case to the EWC where:

1. an employer has ceased to use the services of a registered person in Wales on the ground of:
   1. misconduct
   2. professional incompetence
   3. conviction of a relevant offence

2. may have ceased to use a registered person’s services on such a ground had the registered person not ceased to provide those services

Responsibility on agents.

An agent must report the facts of a case to the EWC where it:

1. has terminated arrangements on the ground of: 
   1. misconduct
   2. professional incompetence
   3. conviction of a relevant offence

2. may have terminated arrangements on such a ground if the registered person had not terminated them
3. may have refrained from making new arrangements for a registered person on such a ground if the registered person had not ceased to make themselves available for work

Referral papers – what to provide

Employers and agents should refer to Part 2 of Schedule 5 of The Education Workforce Council (Main Functions) (Wales) Regulations 2015, as amended, for a list of relevant paperwork which should be included with the referral if available.

Referrals and the Disclosure and Barring Service (DBS)

Where the EWC receives a referral from an employer or agent, and it appears such a referral may involve the harm, or the risk of harm, to children or vulnerable adults, it will forward the referral to the DBS.

The DBS may either decide to include the registered person in the Children’s Barred List or Adults’ Barred List, or refer the case back to the EWC for separate consideration on professional grounds.

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