TSC Disciplinary Process For Teachers’ Cases (COMPLETE GUIDE)

PROCEDURES AND PROCESSES OF TEACHER DISCIPLINE

In implementing its disciplinary mandate, the Commission has an obligation under Article 47 and 236 of the Constitution to incorporate a process that is expeditious, efficient, lawful, reasonable and procedurally fair. In compliance with this obligation, the following procedure has been established to guide officers of the Commission while undertaking the discipline function:

• Receiving allegations on alleged breach of Regulations;
• Investigation of the allegations;
• Interdiction;
• Case preparation for Hearing;
• Invitation for Hearing;
• Hearing of the Discipline Case
• Determination of the Decision;
• Ratification;
• Communication of the Decision
• Review

 

                    Receipt of Allegations

• Allegation refers to complaints, concerns regarding breach of Regulations or professional misconduct made against a teacher to the Commission, its agents, Government or non state agencies.
• Upon receipt of allegations, the recipient shall ensure:
• That the allegation is put in writing;
• That the allegation is dated and signed by the complainant;
• That the Complainant has left his/her contacts;
• That the allegation is supported by evidence if any;
• In the event the allegation warrants investigation, the recipient shall either investigate or handover the Complaint to the relevant office for
• The Commission may act on any complaint made against a teacher which may come to its attention through any means whether formally or informally.

                           Investigation Processes

• Upon receiving a complaint about a teacher’s conduct, the Commission and/or its agent may proceed to investigate the matter as follows:

                                Where an allegation ls made against a teacher

 

• The Secretary to the Board of Management (BOM) shall, on behalf of the BOM conduct preliminary investigations into the allegations.
• The Secretary to the BOM shall cause any relevant witness and the accused teacher to record statements.
• The Secretary to the BOM shall compile an investigation report and present to the BOM.
• The BOM shall interview the accused teacher and the witnesses to enable it make an informed decision as to whether the teacher has a case to answer or not.
• The Sub-County Director shall be in attendance at the BOM meeting to offer technical advice.
• Where the accused teacher is found to have a case to answer, the BOM shall, proceed as follows:
• Take appropriate disciplinary action against the teacher in the case of post primary institution within their legal
• Where the BOM has resolved to interdict a teacher, the Secretary shall serve the teacher with a letter of interdiction within three (3) days after the BOM’s
• Where the BOM is not functional the investigation panel shall consist of :
  • The Sub-County Director – Chairing 3.3.6.1.2.2 The County Quality Assurance Officer 6.3.3.6.1.2.3 The County Human Resource Officer
• The investigation panel shall present its report to the Deputy County Director for appropriate disciplinary action within three (3) days from the date of completion of

• Submit its report to the TSC County Director in case of a primary institution.
• In the absence of a BOM the                                   Sub-County                                   Director                                   shall constitute an investigation panel of the following members:
  • The Curriculum Support Officer – Chairing 3.3.6.3.2 The Head teacher – Secretary

6.3.3.6.3.3          The Sub-County Human Resource Officer

 

                              Where an allegation ls made against a head teacher in a Primary Institution:

• The investigation panel shall comprise:
  • The Sub County Director – Chairing
  • The Sub County Human Resource Officer
  • The Curriculum Support Officer
• The investigation panel shall cause any relevant witness and the accused head of institution to record

 

 

 

 

• Where the head of institution is accused of financial impropriety following audited accounts, the County Director of Education or his/her authorized representative shall be a member of the investigation panel.
• The investigation panel shall compile an investigation report and present to the TSC Deputy County Director.
• The TSC Deputy County Director shall in consultations with the discipline officer consider the findings and recommendations of the report and take appropriate disciplinary action against the head teacher within three (3) days of receipt of thereof.

 

                           Where an allegation is made against a Principal in a Post Primary Institution:

• The investigation panel shall comprise:
  • The Deputy County Director- Chairing
  • The TSC County Quality Assurance Officer – Secretary
  • The Sub-County Director
  • Any technical Officer where necessary (in attendance)

 

• The investigation panel shall cause any relevant witness and the accused head of institution to record
• Where the head of institution is accused of financial impropriety following audited accounts, the County Director of Education or his/her authorized representative shall be a member of the investigation panel.
• The investigation panel shall compile an investigation report and present to the TSC Deputy County Director.
• The investigation panel      shall            submit              its   findings                       and recommendations     to            the            County                Director who       shall            take

 

 

 

 

appropriate disciplinary action against the Principal within three

(3) days of upon receipt of the report.

 

                           Where allegations relate to an institution other than the one in which the teacher/head of institution is stationed

 

• The TSC Deputy County Director shall constitute an investigation panel to conduct investigations into the allegations
• The investigation panel shall comprise of:
  • The Sub County Director where the teacher is stationed who shall be the chair.
  • The Sub County Director where the offence was
  • The Curriculum Support Officer where the offence was committed
• The investigation panel shall cause any relevant witness and the accused teacher or head of institution to record
• The investigation panel shall compile an investigation report and present to the TSC Deputy County Director.
• The TSC Deputy County Director shall consider the findings and recommendations of the report and take appropriate disciplinary action against the head of institution/teacher.

 

                    Recording Statements from Witnesses

 

• The investigation panel shall ensure that all recorded statements are detailed enough to answer such questions as WHO? WHAT? WHERE? WHEN? HOW? and WHY? in respect of the allegations leveled against the teacher.
• The investigation panel shall ensure that witnesses and the accused teacher record statements containing the following details:

 

 

 

 

• For student/pupil witnesses: Full names, class, admission number, signature and date of statement.
• For other witnesses: Full names, National Identification Card (ID) Number, Telephone contact, residential address, relationship (if any) with the victim student/pupil, signature/thumb print and date of
• The accused teacher: Official name; TSC Number, National Identification Card (ID) Number, phone number, e-mail address, signature/thumb print and date of

• Where the complainant/witness can               neither                                                   read               nor write,                                             the investigation panel shall proceed as follows:
  • The Chair of    the     investigating           panel      shall         require           the complainant/witness to give oral evidence before the
  • The Chair of the investigation panel shall record verbatim the

oral evidence so procured.

• Where translation to English is necessary, the Chair of the investigation panel shall     appoint     a                            credible person who understands the language to facilitate the
• The Chair of the investigation panel shall read out aloud to the complainant/witness the recorded statement to confirm accuracy of the
• The complainant/witness shall append his/her thumb print to the recorded statement.

 

• Where a statement is written in vernacular, the Chair of the investigation panel shall appoint an officer who understands the language to translate it to English.

 

 

 

 

            Proceedings and interviews before investigation panels

 

• The Investigation Panels at all levels shall:
  • Inform the accused teacher of the allegation(s) leveled against
  • Invite the accused teacher before the panel giving him/her at least seven (7) days to prepare a defence.
  • Where possible, invite and      interview               all witnesses                      in the presence of the accused teacher.
  • Allow the accused      teacher      to              adduce                 and              challenge             the
• In the cases where minors are involved, the investigation panel shall take caution to protect their
• The Chair of the investigation panel shall caution the accused teacher that any incriminating evidence may be used against him/her during the Commission’s disciplinary proceedings.
• The BOM in a case of a post primary institution may resolve to either:

 

• Issue an administrative warning to the teacher in writing; or
• Interdict the

 

• Where a teacher’s misconduct is as result of a medical condition he/she shall not be interdicted but the interdicting authority shall investigate, assemble evidence and submit a report to the Commission for administrative action.
• The Commission shall reserve its residual powers to undertake direct investigation into any allegations as it may deem necessary.
• An investigation whether by the TSC Panel or BOM shall take a maximum of twenty (21) days from the date the allegation is received.

 

 

 

 

            Interdiction

 

• A teacher found guilty of professional misconduct at the investigation stage shall be interdicted by:
  • The Board of Management in case of a teacher in a post-primary
  • The TSC County Director in case of a Principal in a Post Primary Institution
  • The TSC Deputy County Director:
    • In case of a head teacher in a primary
    • In case of a teacher in a post primary institution where a BOM is not functional
  • The TSC Sub-County Director in case of a teacher in primary
  • The Commission Secretary or an authorized officer where investigations are instituted by the Headquarters.
• The interdicting authority shall serve the teacher with the letter of interdiction specifying the actual allegations made against him/her.
• Where a teacher is interdicted by the TSC County Director, his Deputy, the Sub-County Director or BOM, a copy of the letter of interdiction shall be forwarded to the TSC Headquarters.

 

                    Case preparation for hearing

 

• The letter of interdiction will be recorded in an interdiction
• The Officer designated to handle discipline matters (discipline officer) at the County shall:

 

• Cross-check the interdiction to ensure no double
• Maintain a record of all registered cases
• Open a Case File for the

 

 

 

 

• Assign a Case Number to the interdiction as g. for a case in

Kisumu: KSM/001/07 /2016/2017 which stands for:

• KSM – Abbreviation of the County Name
• 001 – Serial Number of the case
• 07 – The month the case is registered
• 2016/2017 – Contract year when the case is registered e. 1st July to 30th June

• File an interdiction
• Adjust salary of the interdicted teachers as per the
• Prepare the case for hearing as per the interdiction check-
• Program the cases for hearing
• Invite the teacher and witnesses (where applicable) for hearing of the case, at least one (1) month before the date of
• Where a teacher can be reached faster via e-mail or mobile phone, discretion on the invitation timeline may be applied and evidence of invitation documented.
• Prepare budget for reimbursement of
• Prepare a charge sheet and agenda notes for hearing

 

• The officer shall be guided by the schedule on “offences and evidence required” to determine the readiness of the case for hearing as in Appendix 1

 

                  Hearing of Discipline Cases

 

• The County Panels shall hear and determine all discipline
• The composition of the Discipline Panels at the County level shall be as follows:

 

 

 

 

• A member of the Commission, the respective TSC County Director or an officer appointed by the Commission shall be the chair;
• An officer appointed by the TSC County Director who shall be:
  • The Deputy County Director in case of a teacher in post primary institution
  • The Sub-County Director of a neighbouring Sub-County in cases of a teacher in a primary institution, a head teacher in a primary institution and a teacher in a post primary institution where the BOM is not
• The County Director of Education or a
• The quorum of the County panel shall be two (2)

 

• In attendance:
  • The Officer designated to handle discipline matters (discipline officer) shall be the presenting officer; and
  • Any other technical officer or person whose attendance shall be

 

                     Conduct of Discipline Panel

 

• The presenting officer shall read to the panel the facts of the
• Where necessary, the presenting officer shall highlight any special aspects or circumstances of the
• The teacher shall then be invited before the
• The Chair of the panel shall request the teacher to identify himself/herself and to hand over his/her personal documents as per the letter of invitation.
• Before the proceedings commence, the Chair shall:
  • Require the teacher to swear or

 

 

 

 

• Ask the teacher to confirm whether he/she received his/her letter of interdiction.
• Read the allegations as outlined in the letter of
• Require the teacher to plead to the
• The teacher may only plead guilty or not

• In the event the teacher fails to plead either way the Chair shall enter the plea of “Not Guilty.”
• As the proceedings commence, the procedure will be as follows:
  • Where the teacher pleads guilty he shall be required to offer an explanation to enable the panel take appropriate action.
  • The chair shall require the presenting officer to lead the teacher as he/she gives the
• Where the teacher pleads not guilty the following procedure shall be followed:
  • The Chair shall require the presenting officer to prosecute the
  • The presenting officer will present the witnesses to
  • The Chair shall require the teacher to cross-examine                               the
  • Where the teacher has a witness the Chair shall allow the teacher’s witnesses to testify after the Commission’s
  • The teacher’s witnesses     shall     be           cross-examined               by         the presenting officer.
  • The Chair shall accord the teacher an opportunity to make his/her final statement.
  • In the final statement, the teacher shall:
    • Tell the panel issues he/she wants the panel to consider in

arriving at the decision.

• Give a short and precise

 

 

 

 

• Not be allowed to testify
• Not be allowed to re-open the

• At the end of the proceedings the Chair shall return to the teacher all his/her personal documents and ask him/her to leave.
• In the event that the teacher has not received the letter of interdiction the case shall be deferred.
• The teacher will be served with a copy of the Interdiction

 

                    Discipline Proceedings

• The discipline proceedings shall be recorded by an officer designated by the TSC County Director.
• The proceedings shall be recorded concisely in the                                    first person singular in continuous prose.
• The proceedings must not be written in a question/answer
• The proceedings must be typed after the close of the hearing
• The proceedings must be signed and dated by the Chair of the
• The proceedings of the panel should be summed up in findings which will lead to the verdict i.e. is the teacher guilty or not

 

                    Determination of the Decision

• The decision in respect of the appropriate punishment lies with the Discipline Panel based on the evidence adduced during the hearing, documents on record and the regulations governing the teaching
• The panel must only arrive at decisions which are authorized by the Code of Regulations for Teachers as follows:
  • A teacher is not guilty of the offence and shall revoke the interdiction in the manner prescribed under the Thirty Eighth

 

 

 

 

• A teacher has committed an offence that does not warrant removal from the register and may:
  • Warn the teacher in writing
  • Surcharge the teacher
  • Suspend the teacher for such period not exceeding six months without payment of salary and allowances
  • Retire the teacher in the public interest
  • Dismiss the teacher from the teaching service
  • Refer the teacher for medical evaluation by the Director of Medical Services with a view to determine his suitability to be retained in the teaching service; or
  • Undertake any other action it may consider appropriate in the circumstances
• A teacher is guilty of the offence and his name be removed from the register

 

                        Factors to consider while determining appropriate verdict/decision

• In determining an appropriate verdict/decision, the Discipline Panel may consider the following factors: –
  • Gravity of the
  • History/past record of the teacher as may be necessary g. whether the teacher is a first offender.
  • The conduct of the teacher during the hearing- whether he/she has been cooperative, apologetic or disrespectful.
  • The period the teacher has suffered without salary or on half

(½) salary before or after interdiction.

 

TSCrrM/DISC/DG/001

 

 

• GENERAL NOTES
• The Panel Chair is wholly in charge of the proceedings and may allow any member of the panel to ask any relevant question at any stage during the hearing.
• In regard to cases involving witnesses, only a brief initial examination of the teacher is necessary since the bulk of the evidence will be given by the
• The accused is allowed to cross-examine each of the witnesses
• In the event the teacher volunteers to change his plea after the Commission’s case the same should be recorded and be considered in arriving at the decision.
• The panel must only hear allegations which are contained in the interdiction letter duly served on the teacher and nothing else.
• A summary on the composition interdicting, the investigation and the discipline panels at the County is attached as Appendix 2
• A summary of the specific roles of the discipline panel members at the County is attached as Appendix 3

 

• RATIFICATION

 

• Upon determination of the discipline cases, the TSC County Director shall prepare a summary of decisions and forward the same to the headquarters for ratification by the Commission before communicating the same to the affected teachers.
• The summary of decisions schedule shall be as indicated in Appendix 4
• The ratification process should take fourteen (14) days from the date of

 

 

 

 

 

 

• COMMUNICATION OF THE DECISION
• After ratification of the decisions by the Commission, the Commission shall use the decision schedules provided in the CORT to communicate the panels’ decision to the
• The Commission’s decision shall be communicated to the teacher within twenty eight (28) days from the date of hearing.

 

10.0  REVIEW OF DISCIPLINE CASES

 

10.1 Where a teacher is aggrieved by the decision of the Commission in a disciplinary process the teacher may apply for review to the Teachers Service Review Committee.

 

• Procedure

 

• A teacher may apply to the Commission in writing for the review of a decision made by the Commission in his/her discipline
• The teacher must meet the following conditions while applying for review for discipline case:
  • The application must be made within ninety (90) days from the date of the letter communicating the decision.
  • The application for review shall be accompanied by the prescribed fee set out in the fifth schedule of the Code of Regulations for Teachers 2015.
  • Submission of new material evidence that was not before the panel at the time the decision was made.
  • Demonstration that the decision was made in breach of law and
  • Demonstration that there was breach of

 

 

 

 

• Demonstration that there was a  mistake or omission  of  fact

attributable to the Commission.

 

• The application shall be sent to the TSC
• Upon receipt of a teacher’s Application for review, the Commission shall:
  • Register the Application and assign it a Review Case
  • Acknowledge the
  • Programme the Application of the review for
  • Invite the teacher for the hearing of his/her review
  • Hear of the teacher’s application for
  • Present the decision of the review committee to the Commission for ratification.
  • Communicated lhe decision of the Commission to the
  • An officer or member of the Commission, who has participated in the hearing of the discipline case, shall not sit in the Review Committee over the same case.
  • The Head of Discipline Division shall provide secretariat services and be responsible for effecting administrative decisions of the