DISCIPLINARY SYSTEM OVERVIEW
Both the Commission and the Department of Education
(Department) play an important role in the educator discipline
system. As the body charged with the oversight and enforcement of
the educator discipline system, the primary goal of the Commission is to ensure
the health, safety and welfare of students and other
individuals in our schools while facilitating the
fair, efficient and transparent adjudication of complaints against
educators. The Department specifically has responsibility for the intake
of educator misconduct complaints as well as the investigation and
prosecution of disciplinary cases before the Commission.
Filing a Complaint
Any interested party may file a written educator
misconduct complaint with the Department, which will initiate the
Department's review and investigation of the misconduct. Educator
Misconduct Complaint Form
Legal Sufficiency Review
After initial review to determine if the educator holds a
Pennsylvania certification, a Department attorney is responsible for
determining whether the allegations contained in the complaint are legally
sufficient. A complaint is legally sufficient if the facts alleged in the
complaint, if accepted as true, would be sufficient to warrant discipline under
the Act.
If it is determined that legal sufficiency is lacking, the
complaint is dismissed and the educator and complainant are so notified by the
Department. Similarly, if legal sufficiency is found, the Department notifies
the affected educator of the complaint and the current and/or prior employing
school entity. The complaint then progresses to the next level of review.
Probable Cause Review
If legal sufficiency is found, the attorney will conduct a
preliminary investigation to determine whether probable cause exists to
proceed. The preliminary investigation may be limited to a review of
documents submitted by the affected educator, the complainant and/or
the pertinent employing school entity. If probable cause is not found,
the Department notifies the affected educator, the complainant and the
employer, where appropriate, that the complaint has been dismissed.
Conversely, if probable cause is found, the legal office initiates a full
investigation.
After its investigation, the Department may elect to:
dismiss the complaint because discipline is not warranted or because there is
insufficient evidence to establish professional misconduct; determine that
any action taken by the local school entity is sufficient; enter into a
negotiated settlement of the complaint; or initiate formal hearing procedures
before the Commission with the filing of Notice of Charges.
Notice of Charges
The formal adjudicatory hearing process is initiated
with the filing of a Notice of Charges with the Commission. A Notice
of Charges must set out with specificity the grounds for discipline and the
factual allegations in support thereof. The Charges are served on the affected
educator and the current and/or prior employing school entity.
The educator has 30 days in which to file a responsive pleading and to request
a hearing. In cases where the Department seeks an Immediate Suspension of
an educator's certification or requests an expedited hearing, the time period
for response by the educator is abbreviated. Failure to respond to the
Notice of Charges may result in the imposition of discipline based on the
allegations contained in the Notice of Charges.
Intervention
Under section 13(4) of the Act, the local school entity in
which the affected educator is or was last employed may intervene in the case.
If a school entity elects not to intervene, it is not entitled to receive
information about the progress of the case until or if discipline is imposed.
School entities that intervene may participate fully in the case, including the
hearing, but do not have authority to appeal any decision of the hearing
officer or the Commission.
Hearings
When factual matters are in dispute, the case will be
assigned to one of the Commission’s hearing officers. The hearing officers are
independent attorneys who are under contract to act as presiding officers in
hearings pursuant to the General Rules of Administrative Practice and
Procedure (Rules).
Under the Rules, the hearing officers are granted authority
to hold pre-hearing conferences, to conduct fair and impartial hearings, to
rule on evidentiary questions, and to dispose of procedural matters. A hearing
officer is prohibited, however, from making a final determination of the case
except through a proposed report to the Commission. The Commission is charged
with making all final determinations.
Upon completion of the hearing, the hearing officer prepares
a proposed report containing findings of fact, conclusions of law and
recommending discipline where appropriate. Parties to the case, excluding the
intervening school entity, may file an appeal of the proposed report to the
Commission within 30 days after the proposed report is mailed. If an
appeal is filed, the Commission may accept, modify or reject the hearing
officer’s decision as the Commission is the ultimate fact finder.
Appeal
Decisions
of the Commission are considered to be “adjudications.” Administrative
law defines an adjudication as any final order, decree, decision, determination
or ruling by an agency affecting personal or property rights, privileges,
immunities, duties, liabilities or obligations. As an adjudication, decisions
of the Commission are eligible of appeal to the Commonwealth Court by either the
Department or the educator. While typically an appeal of the Commission’s
decision acts as a stay of the discipline, there is no stay in those cases in
which the Commission has made a determination that the educator poses a threat
to the health, safety or welfare of students or other persons in the schools or
Commonwealth or where the grounds for discipline are sexual misconduct, sexual
abuse or exploitation, a criminal offense set forth in section 111(e) of the
Public School Code, a criminal offense involving moral turpitude or where the
discipline is the result of an approved negotiated settlement.