Complaints Assessment Committee Process

Can concerned people make a complaint about a teacher?

If a person or organisation has a concern about a teacher, that concern can and should be voiced to the professional leader of the teacher's learning centre, or to the employer or the Board of Trustees concerned, so that it can be addressed. The amendments to the Education Act require persons with a concern, and the learning centre, to work together to try to resolve issues other than serious misconduct. Some written complaints in limited circumstances can be referred straight to the Teachers Council, or considered by the Teachers Council.

What happens when a complaint is made about a teacher?

The Council can act only on written complaints. If the Council receives a written complaint about a teacher it will, in most instances, refer that complaint to the teacher's employer. The teacher's employer is then expected to deal with the complaint in accordance with the learning centre's procedures. The Complaints Assessment Committee (CAC) may require the employer to report when the complaint has been resolved, or to report on how or whether the complaint was investigated.

What are the limited circumstances where a complaint about conduct could be dealt with by the Council?

It is important to note that the complaint must be in writing: oral complaints are not sufficient. A complaint about a teacher's conduct could be made directly to the NZ Teachers Council where:

• The complaint is about a teacher not currently employed by an employer;
  
• If the complainant has reasonable grounds to believe that the employer can not deal with the complaint effectively because of an actual or perceived conflict of interest;
  
• If the complainant is dissatisfied with the way in which the employer has dealt with, or is dealing with the complaint;
  
• In any other exceptional circumstance.

What happens on the receipt of a complaint by the NZ Teachers Council?

1. All complaints and reports about teachers are received by the Teachers Council.
   
2. A decision is then made as to whether the report or complaint is about conduct or competence.
   
3. All reports about conduct are referred to the CAC. Reports about competence are dealt with by the Teachers Council - click here for more information.
   
4. The CAC is then required to refer the complaint to the teacher's employer unless limited circumstances apply. The CAC may require the employer to report back to it.
   
5. When referring a complaint to the teacher's employer, the CAC will notify the teacher and the complainant that it has done so.

What will the CAC do with complaints that are not referred to the teacher's employer?

Upon receipt of the complaint the CAC will:

1. notify the teacher that a complaint has been received;
   
2. provide the teacher with information about the nature of the complaint;
   
3. inform the teacher about matters such as the process and the right to make submissions;
   
4. notify the teacher's employer of the complaint;
   
5. consider whether or not to investigate the complaint.

Is the teacher's employer informed about mandatory reports?

When the CAC receives a mandatory report, it has a discretion to notify the teacher's current employer that the report has been received. The CAC is more likely to notify the employer where the information received suggests students may be at risk.

What input does the teacher have into the membership of the CAC?

The teacher is advised which CAC members will be considering the report or complaint. Each report or complaint is considered by a minimum of three CAC members, of whom the majority are also NZ Teachers Council members. The teacher has five working days to object to any of the CAC members. This would most commonly be on the grounds of conflict of interest. The Convener of the CAC will replace the member objected to, unless the Convener considers the objection is groundless.

What does an investigation involve?

The CAC will try to resolve all appropriate cases by agreement. Wherever possible matters will be resolved at the lowest level reasonable, taking into account the nature of the conduct complained of, the views of the complainant and the circumstances of the conduct. To this end, the CAC may decide in the first instance to request an officer of the CAC to carry out a preliminary investigation. This may include:

• seeking more information from the complainant or person who made the report (the initiator);
  
• seeking a response from the teacher;
  
• collating information from other sources.

When does the CAC consider the case?

After the preliminary investigation the CAC officer prepares a summary of the case. The summary includes all relevant documentation, and may include a recommendation on how the complaint should be dealt with. The summary is considered by the CAC members that are dealing with the case, either at a meeting in Wellington or by teleconference. This first consideration of the case is done on the papers.

What options are available to the CAC at its first consideration of the case?

The CAC can decide to do any of the following things:

• dismiss the report or complaint, or resolve to take it no further;
  
• investigate further;
  
• seek resolution by agreement (see below);
  
• refer the matter back to the Teachers Council to be dealt with as a competence matter;
  
• refer the teacher to an impairment process;
  
• apply to the Disciplinary Tribunal for interim suspension of the teacher's practising certificate (usually done on an urgent basis);
  
• lay a charge with the Disciplinary Tribunal.

What is involved in a further investigation by the CAC?

When undertaking a further investigation the CAC may:

• request information from any person;
  
• engage any suitably qualified person to carry out specific tasks relating to the investigation;
  
• meet with the teacher, the initiator, the employer or any other person.

What happens when the CAC seeks resolution by agreement?

The CAC has no power to impose penalties on teachers. The thrust of the legislation is to try to resolve most cases by agreement, unless they involve serious misconduct. If the CAC does not think the teacher's misconduct is serious enough to be dealt with by the Disciplinary Tribunal, but is sufficiently serious not to be dismissed, the CAC will discuss one of the following courses of action with the teacher:

• censuring the teacher;
  
• imposing conditions on the teacher's practising certificate;
  
• suspending the teacher's practising certificate for a specified period, or until specified conditions are met;
  
• noting on the register that the teacher's practising certificate has been suspended or has conditions on it.

Is a mediation or conciliation process available?

Yes, in certain cases the CAC may decide to engage a person with resolution skills to assist with the reaching of an agreement.

What input does the initiator have into the resolution by agreement?

Unless the decision is to dismiss the complaint, refer it to the Disciplinary Tribunal or refer the teacher to a competence or impairment process, the initiator's agreement is required.

What type of conditions could be placed on a teacher's practising certificate?

Conditions placed on a teacher's practising certificate may include a restriction on areas of practice, a condition that the teacher must undertake counselling, or report to a mentor at the school or centre, that the teacher must undertake professional development in a certain area of his or her practice, or that the teacher's employer must provide regular reports to the CAC. The teacher's practising certificate may be suspended while conditions are met, for instance the teacher may agree to attend a course of counselling before returning to the learning centre.

When does the CAC refer a case to the Disciplinary Tribunal for a hearing?

Most of the cases referred to the Disciplinary Tribunal will involve alleged serious misconduct by the teacher. If the CAC, the teacher and the initiator cannot reach agreement after reasonable efforts have been made, the CAC may refer the matter to the Disciplinary Tribunal for a hearing.

What happens when the CAC refers a case to the Disciplinary Tribunal

The CAC prepares a charge for cases of serious misconduct, or a notice of referral for cases where the parties are unable to reach agreement on a proposed outcome. The charge or notice of referral contains brief details of the allegations against the teacher. The charge or notice of referral is sent to the Disciplinary Tribunal, and at the same time a copy is sent to the teacher, the initiator, and the teacher's current employer (if any). Once the matter is being referred to the Disciplinary Tribunal, the CAC must notify the teacher's employer.

Further information

For information on the Disciplinary Tribunal process, click here.

For more detailed information on the CAC's processes and powers, see Part 10A of the Education Act 1989, and Part 2 of the New Zealand Teachers Council (Conduct) Rules 2004.

For a flow chart of the processes outlined above, click here. (pdf 66k)

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