General Principles of complaints

Dealing with Complaints – Initial concerns
Staff at school need to be clear about the difference between a concern and a complaint. Taking informal concerns seriously at the earliest stage will reduce the numbers that develop into formal complaints.

In most cases the class teacher or the member of staff with a particular responsibility will receive the first approach. In most cases we would expect staff to resolve issues on the spot, including apologising where necessary and without the need to invoke a formal procedure.

Dealing with Complaints – Formal procedures
The formal procedures will need to be invoked when initial attempts to resolve the issue are unsuccessful and the person raising the concern remains dissatisfied and wishes to take the matter further.

All formal complaints should be made using the School Complaints Form (attached).

The school has a Complaints Co-ordinator who is responsible for the operation and management of the school’s complaints procedure. The Complaints Co-ordinator will not become involved in any investigations but will be responsible for keeping a central record of all formal complaints using the Complaints Procedure and ensuring that all parties are kept informed of the progress of a complaint.

Investigating Complaints At each stage, the member of staff investigating the complaint will make sure that they:

• establish what has happened so far, and who has been involved;
• clarify the nature of the complaint and what remains unresolved;
• if unsure or further information is necessary ;meet with the complainant or contact them;
• clarify what the complainant feels would put things right;
• interview those involved in the matter and/or those complained of, allowing them to be accompanied if they wish;
• conduct the interview with an open mind;
• keep notes of the interview.

Resolving Complaints
At each stage in the procedure the member of staff investigating the complaint will want to keep in mind ways in which the complaint can be resolved. It might be sufficient to acknowledge that the complaint is valid in whole or in part. In addition, it may be appropriate to offer one or more of the following:

• an apology;
• an explanation;
• an admission that the situation could have been handled differently or better. An admission that the school could have handled the situation better is not the same as an admission of negligence.
• an assurance that the event complained of will not recur;
• an explanation of the steps that have been taken to ensure that it will not happen again;
• an undertaking to review school policies in light of the complaint;
• an identification of areas of agreement between the parties;
• a clarification of any misunderstandings that might have occurred as this can create a positive atmosphere in which to discuss any outstanding issues.

Unresolved Complaints
If a complaint remains unresolved i.e. the complainant remains unsatisfied or the complainant tries to reopen the same issue, the chair of the Governing Body will inform them in writing that the procedure has been exhausted and that the matter is now closed.

Time-Limits
Complaints need to be considered, and resolved, as quickly and efficiently as possible. The school’s complaints procedure has realistic time limits for each action within each stage. However, where further investigations are necessary, new time limits can be set and the complainant sent details of the new deadline and an explanation for the delay.

The Stages of Complaints
The school complaints procedure has three stages. These stages are summarised in the flowchart below. At each stage it is clear who is involved, what will happen and how long it will usually take:

• Stage One: complaint heard by staff member (though not the subject of the complaint);
• Stage Two: complaint heard by headteacher;
• Stage Three: complaint heard by the Governing Body’s complaints appeal panel;

If a complaint concerns the conduct of the headteacher or a governor the Chair of the Governing Body should be informed and the issue investigated. If deemed necessary, the Chair of the Governing Body would have recourse to stage three of the Complaints Procedure i.e. complaint heard by the complaints appeal panel. If the complaint concerns the conduct of the Chair of the Governing Body then the complainant should refer their complaint to the DfES.

Stage One: Complaint heard by Member of Staff
Any formal complaint form received by the school should be acknowledged by the school within three school days with an indication of time needed to investigate (if needed) and reply. Normally an investigation and reply to the complainant should not take longer than ten school days.

It is important that any member of staff handling an initial complaint are aware of the school’s Complaints Procedure. The experience of the first contact between the complainant and the school can be crucial in determining whether or not the concern/complaint will escalate.

If a complainant indicates that they do not wish to discuss their complaint with a particular member of staff this should be respected and the Complaints Co-ordinator should refer it to another staff member. Where the complaint concerns the headteacher, the complaints Co-ordinator will refer the complainant to the Chair of Governors.

Similarly, if the member of staff directly involved feels too compromised to deal with a complaint, the Complaints Co-ordinator will consider referring the complaint to another member of staff. The member of staff dealing with the complaint in these circumstances may be more senior but does not have to be. The ability to consider the complaint objectively and impartially is crucial.

When the first approach is made to a governor, the governor should refer the complainant to the appropriate person and advise them of the Complaints Procedure. Governors should not act unilaterally on a complaint outside the formal procedure or be involved at the early stages in case they are needed to sit on a panel at a later stage of the procedure.

Stage Two: Complaint heard by Headteacher
At this point the complainant may be dissatisfied with the way the complaint was handled at stage one as well as pursuing their initial complaint.

The Headteacher should acknowledge receipt of the complaint within three school days and describe what he/she will be doing to investigate the complaint. He/she should also indicate the time needed to conclude any investigation and reply to the complainant. Normally this should not take longer than a further ten school days.

The Headteacher may delegate the task of investigating and collating the information to another member of staff but not the decision on the action to be taken.

Stage Three: Complaint heard by the Governing Body’s Complaints Appeal Panel
The complainant needs to write to the Chair of the Governing Body giving details of the complaint. The Chair or a nominated governor will convene a Governing Body Complaints Panel.

The Governors’ appeal hearing is the last stage of the complaints process. It is not merely a rubber stamp for previous decisions.

The panel will consist of three governors. The panel can:

• Dismiss the complaint in whole or in part;
• Uphold the complaint in whole or in part;
• Decide on the appropriate action to be taken to resolve the complaint;
• Recommend changes to the school’s systems or procedures to ensure that problems of a similar nature do not recur. Notes of guidance for the panel
• It is important that the appeal hearing is independent and impartial and that it is seen to be so.
• No governor may sit on the panel if they have had a prior involvement in the complaint or in the circumstances surrounding it.
• The aim of the hearing, which needs to be held in private, will always be to resolve the complaint and achieve reconciliation between the school and the complainant. However, it has to be recognised the complainant might not be satisfied with the outcome if the hearing does not find in their favour. It may only be possible to establish the facts and make recommendations which will satisfy the complainant that his or her complaint has been taken seriously.
• The panel chair will ensure that the proceedings are as welcoming as possible.
• Careful consideration of the atmosphere and proceedings will ensure that the child does not feel intimidated. The panel needs to be aware of the views of the child and give them equal consideration to those of adults. Where the child’s parent is the complainant, it would be helpful to give the parent the opportunity to say which parts of the hearing, if any, the child needs to attend.
• The governors sitting on the panel need to be aware of the complaints procedure.

Roles and Responsibilities

The Role of the Clerk
The panel or group of governors considering complaints will be clerked. The clerk would be the contact point for the complainant and be required to:

• set the date, time and venue of the hearing, ensuring that the dates are convenient to all parties and that the venue and proceedings are accessible;
• collate any written material and send it to the parties in advance of the hearing;
• meet and welcome the parties as they arrive at the hearing;
• record the proceedings;
• notify all parties of the panel’s decision.

The Role of the Chair of the Governing Body or the Nominated Governor The nominated governor’s role:

• check that the correct procedure has been followed;
• if a hearing is appropriate, notify the clerk to arrange the panel;

The Role of the Chair of the Panel
The Chair of the Panel has a key role, ensuring that:

• the remit of the panel is explained to the parties and each party has the opportunity of putting their case without undue interruption;
• the issues are addressed;
• key findings of fact are made;
• parents and others who may not be used to speaking at such a hearing are put at ease;
• the hearing is conducted in an informal manner with each party treating the other with respect and courtesy;
• the panel is open minded and acting independently;
• no member of the panel has a vested interest in the outcome of the proceedings or any involvement in an earlier stage of the procedure;
• each side is given the opportunity to state their case and ask questions;
• written material is seen by all parties. If a new issue arises it would be useful to give all parties the opportunity to consider and comment on it

Notification of the Panel’s Decision
The chair of the panel needs to ensure that the complainant is notified of the panel’s decision, in writing, with the panel’s response within two school days.

 Complaints Form