Governor & Advisory Support Team

Warrington Guidance on Complaints Procedures in

Schools

Governor & Advisory Support Team

Contact: (01925) 442955 Email: governors@warrington.gov.uk

Model School Complaints Procedure Index

Section Title Page Number Paragraph Numbers

Background 3

Overview 4 1-3

Part 1: General Principles of Complaints 5 - 7 4-14

Dealing with Complaints – Initial Concerns 4-5

Dealing with Complaints – Formal Procedures 6-7

Framework of Principles 8

Investigating Complaints 9

Resolving Complaints 10-12

Vexatious Complaints 13

Time Limits 14

Part 2: The Complaints Procedure 8-11 15-19

Stages of Complaints 15-19

Part 3: Managing and Recording Complaints 12-13 20-24

Recording Complaints 20-21

Governing Body Review 22-23

Publicising the Procedure 24

The Act 14 Annex A

An Example of a Complaints Procedure 15-19 Annex B

Timetable - Flowchart 20 Annex C

Example of a Complaint Form 21-22 Annex D

How to listen to complaints 23 Annex E

Legislation that may have a bearing on complaints 24-26 Annex F

LA Complaints Pro-forma 27 Annex G

Background

Since consumerism became a fashionable concept, many organisations – private as well as public – have embraced the idea of welcoming complaints as vital feedback to inform and improve the way they run their organisations and businesses.

Sometimes schools see complaints as a distraction and sometimes react defensively. Indeed, the Government’s attempts to introduce complaints procedures as a legal requirement was initially abandoned after hostility from professionals.

While local authorities have often drawn from the good practice of the Ombudsman and advice from the National Consumer Council to set up complaints procedures, in the main schools have taken an “open door” approach. In practice this can discourage parents from coming into school unless there is something which is troubling them. Schools may then feel critical of parents who only come in to complain. This in turn deters parents from raising concerns – nobody wants to be thought of as a troublesome parent.

The impression the Advisory Centre for Education (ACE) gets from their advice lines is that the way parental concerns are dealt with depends on the attitude of the headteacher, both towards the parent and towards the concern. Face to face work often reveals that communication problems between professionals and parents can arise when parents, often unfamiliar with how to raise a concern or routes of complaint, frame their complaint badly or to the wrong person and as a consequence fail to get a satisfactory response.

Decisions made in schools have to balance the needs of the whole school community and the needs of individual pupils. In addition, many schools are facing the challenge of providing community facilities and services. As a result the general complaints procedure must allow complaints from a range of different users.

This Model Policy does not claim to have all the answers, rather it encourages schools to develop a complaints procedure within their own ethos. Those that aim for a listening ethos may use this Model to help them develop a complaints procedure that demonstrates that ethos. Those schools that have a more formal relationship with parents still fi nd the Model a useful guide to dealing with complaints professionally. The LA hopes that increasingly schools will see complaints less as a nuisance or something to be feared, and more as a tool for school improvement.

Overview

1. From 1 September 2003 Governing Bodies (GBs) of all maintained schools and maintained nursery schools in England were required, under Section 29 of the Education Act 2002, summarised in Annex A, to have in place a procedure to deal with complaints relating to the school and to any community facilities or services that the school provides. The law also requires the procedure to be publicised.

2. The majority of schools already have a complaints procedure in place, generally based on Local Education Authority (LA) or Diocesan Board models. This document is intended to help schools draw up a complaints procedure if they have not already done so, or to review their existing procedure if they wish. A framework of principles can be found at paragraph 8. LAs are already required to set up a procedure for dealing with certain types of complaints, for example, complaints about the curriculum or collective worship in a school. The GB’s complaints procedure does not replace the arrangements made for those types of complaint. In addition, there are certain complaints which fall outside the remit of the GB’s complaints procedure, for example, staff grievances, staff disciplinary procedures, child protection investigations admission appeals, exclusion appeals and appeals against the LA’s decisions about a child’s special education needs

and provision. It is recommended that the governing body ensures that any third party providers offering community facilities or services through the school premises, or using school facilities [even if it’s hiring it out for a wedding reception!], have their own complaints procedure in place.

3. When schools draw up their procedure it is recommended that local teacher associations, LAs and Diocesan Boards are involved. An example of a procedure, which schools might fi nd helpful, is at Annex B.

These notes do not represent Statutory Guidance issued by the Secretary of State.

Further information can be obtained from :Sheila BowlbySchool Government Team 2Vincent House c/o Mowden HallStaindrop RoadDarlingtonDL3 9BGTel: 01325 391102E-mail: gov.recruit@dfes.gsi.gov.uk

Web link to Act – http://www.legislation.hmso.gov.uk/acts/acts2002/20032--f.htm#29

DfES Ref: - LEA/0180/2003. Further copies can be obtained via:- www.governornet.co.uk.

*The Department wishes to acknowledge the contribution of The Advisory Centre for Education (ACE) and also Hampshire, Surrey and West Sussex Local Education Authorities in the production of this document. Some of the material is reproduced, by kind permission, from their Complaints Procedures.

Part 1: General Principles of complaints

Dealing with Complaints – Initial concerns

4. Schools 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.

5. These key messages deal with complaints but the underlying principle is that concerns ought to be handled, if at all possible, without the need for formal procedures. The requirement to have a complaints procedure need not in any way undermine efforts to resolve the concern informally. In most cases the class teacher or the individual delivering the service in the case of extended school provision, will receive the fi rst approach. It would be helpful if staff were able to resolve issues on the spot, including apologising where necessary.

Dealing with Complaints – Formal procedures

6. The formal procedures will need to be invoked when initial attempts to resolve the issue are unsuccessful and the person raising the concern remains dissatisfi ed and wishes to take the matter further.

7. Schools might wish to nominate a member of staff to have responsibility for the operation and management of the school complaints procedure. They could be termed the school’s ‘complaints co-ordinator’. In smaller schools this may often be the headteacher.

Framework of Principles

8. An effective Complaints Procedure will:• encourage resolution of problems by informal means wherever possible;• be easily accessible and publicised;• be simple to understand and use;• be impartial;• be non-adversarial;• allow swift handling with established time-limits for action and keeping people informed

of the progress;• ensure a full and fair investigation by an independent person where necessary;• respect people’s desire for confi dentiality;• address all the points at issue and provide an effective response and appropriate

redress, where necessary;• provide information to the school’s senior management team so that services can be

improved.

Investigating Complaints

9. It is suggested that at each stage, the person investigating the complaint (the complaints co-ordinator), makes sure that they:

• establish what has happened so far, and who has been involved;• clarify the nature of the complaint and what remains unresolved;• meet with the complainant or contact them (if unsure or further information is necessary);• 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 and be prepared to persist in the questioning;• keep notes of the interview.

Resolving Complaints

10. At each stage in the procedure schools will want to keep in mind ways in which a complaint can be resolved. It might be suffi cient 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 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.

11. It would be useful if complainants were encouraged to state what actions they feel might resolve the problem at any stage. An admission that the school could have handled the situation better is not the same as an admission of negligence.

12. An effective procedure will identify areas of agreement between the parties. It is also of equal importance to clarify any misunderstandings that might have occurred as this can create a positive atmosphere in which to discuss any outstanding issues.

Vexatious Complaints

13. If properly followed, a good complaints procedure will limit the number of complaints that become protracted. However, there will be occasions when, despite all stages of the procedures having been followed, the complainant remains dissatisfi ed. If the complainant tries to reopen the same issue, the chair of the GB is able to inform them in writing that the procedure has been exhausted and that the matter is now closed.

Time-Limits

14. Complaints need to be considered, and resolved, as quickly and effi ciently as possible. An effective complaints procedure will have 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.

Working Days Note:-

A working day is defi ned as one of the 195 days of the published school year (i.e. when the school is open to pupils and teachers are required to be available for work).

Part 2: The Formal Complaints Procedure

The Stages of Complaints

15. An effi cient school complaints procedures will have well-defi ned stages. A fl ow chart of suggested stages can be found in Annex C. At each stage it would be helpful to clarify exactly who will be involved, what will happen, and how long it will take. There may, on occasion, be the need for some fl exibility; for example, the possibility of further meetings between the complainant and the member of staff directly involved and further investigations may be required by the headteacher after a meeting with the complainant. Both of these examples could be included.

16. Three school-based stages are likely to be suffi cient for most schools:

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 GB’s complaints appeal panel;

It is for the governors to choose how many stages they have. In Warrington it has been the practice to include the review stage by the Director of Children’s Services. It is considered appropriate and in line with Human Rights Legislation that the stage “Beyond the LA” is included.

Stage Four: Review by the Strategic Director, Children’s Services;Stage Five: Beyond the LA.

In very small schools it may be necessary to go straight to stage 2.

Stage One: Complaint heard by staff member (though not the subject of the complaint);

NB: There may be occasions when a complaint considered at Stage 2 of these procedures without reference to Stage 1. The complainant may feel that informal discussion will not help or the nature of the complaint may lead the complainant and the Headteacher/Complaints Co-ordinator to agree that immediate reference to the more formal second stage is indicated. Where this happens the complainant is asked to complete a complaint form (Annex D) and is provided with a copy of the School’s complaint procedure.

Most complaints, however, can be resolved by giving the complainant the opportunity to discuss his/her concerns with an appropriate member of staff.

The Complaints Co-ordinator may be the fi rst point of contact and may decide to direct the complainant to another member of staff who is directly involved in the area of concern.

The vast majority of complaints can be resolved on an informal basis at this stage. They may be resolved straightaway through the class teacher, an administrative staff member or the Headteacher depending upon whom the complainant fi rst approached.

Where no satisfactory solution has been found within 10 working days the complainant is asked if he/she wishes the matter to be considered further.

If the complainant wishes to proceed to the next stage a copy of the complaints procedure is provided (if it has not been provided earlier) and he/she is asked to complete a

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complaint form (Annex D).

The complainant will have a further 10 working days to complete the pro-forma and send it to the Headteacher.

The Complaints Co-ordinator is advised of the outcome of this stage.

Stage Two: Complaint heard by the headteacher;

NB: The Headteacher receives the complaint form and any accompanying papers which must be acknowledge in writing within 5 working days. The letter will also provide an opportunity for the complainant to meet the Headteacher to discuss the complaint.

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

A written response to the complainant is made within 15 working days of receipt of the complaint at this stage. If this is not possible a letter is sent to the complainant explaining the reason for the delay and providing a revised deadline date.

The written response will include details of the action, if any, the School proposes to take to resolve the complaint and, if the complaint is not accepted, a full explanation as to why. The complainant is also advised that if he/she is still not satisfi ed the next stage is an appeal to the Governing Body’s Appeals Panel which should be made in writing to the Chair of Governors.

The complainant will have a further 10 working days from the receipt of Headteacher’s letter to the Chair of Governors. (The form previously completed by the complainant will be part of the record).

The Complaints Co-ordinator is advised of the outcome of this stage.

Stage Three: Complaint heard by GB’s complaints appeal panel;

NB: The Chair of Governors receives the complainant’s letter and any accompanying information. A written acknowledgement is sent within 5 working days.

The letter informs the complainant that the complaint will be heard by the Complaints Appeals Panel within 20 working days of receipt of the complainant’s letter. It will also inform the complainant of his/her right to submit any further relevant documents and confi rm he/she will be invited to be present.

A Complaints Appeals Panel is convened (3 governors to be quorate) and appoints a Clerk. Please note that the Service Level Agreement (SLA) does not provide for a Clerk from the Governor and Advisory Support Team.

The Chair of the Panel invites the Headteacher to prepare a written report for the Panel in response to the complaint.

The Clerk to the Panel having consulted all parties sets the time, date and venue of the hearing. The Clerk also collates any written materials and sends this to all parties at least 5 working days before the hearing. The letter to the complainant confi rming the arrangements for the hearing should include the written materials and inform him/her of the right to be accompanied by a friend/advocate.

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The hearing will be conducted in accordance with the procedures outlined in Annex B. Witnesses may be called by either party subject to the approval of the Panel Chair.

As stated earlier three school based stages are likely to be suffi cient for most schools there can however be fi ve stages to the Model School Complaints Procedure the other two being:-

Stage Four: Review by the Strategic Director, Children’s Services

NB: The Director will acknowledge the letter within 5 working days.

The Director will obtain full documentation from the School including:

The completed complaints form.All the reports, letters sent to or received from the complainant and any other

papers considered by the Governing Body’s Complaints Appeals Panel.Minutes of the Appeals PanelThe School’s Complaints Procedure.

The Director will review the information provided and the procedures followed and if he considers it appropriate he will convene a meeting with the Headteacher, the Complaints Panel Chair and the complainant.

On matters involving the internal management of the School the Director does not have the power to overrule the decisions of governors.

The complainant will receive a written response from the Director within 28 working days (copy to the Headteacher, Chair of the Appeals Panel, Chair of Governors and the Complaints Co-ordinator).

The Director may delegate these responsibilities to a senior member of staff in the Children’s Services Department.

Stage Five: Beyond the LA

• The DfES• The Ombudsman

NB: The Secretary of State:

Complaints can be taken to the Secretary of State for Education and Skills under section 496 of the Education Act 1996, on grounds that a Governing Body or LA is acting or proposing to act unreasonably, or under section 497 of the same Act, on the grounds that either the Governing Body or the LA has failed to discharge his duties under the Act. The Secretary of State may contact the Governing Body or the LA for more information in order to consider the complaint. These powers relate to community schools and voluntary schools.

Secretary of State for Education and Skills Sanctuary Buildings Great Smith Street Westminster SW1P 3BT

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The Local Government Ombudsman:Mrs P A ThomasLocal Government OmbudsmanBeverley House17 Shipton RoadYorkY03 6FZ

Complaints about the administration of Local Authority services including the way it operates any general school complaints procedure could be made to the Ombudsman. However, the Ombudsman does not look at internal school management matters and usually expects that thorough attention has been given to a complaint locally before investigation by the Ombudsman.

17. Regardless of how many stages the school chooses, an unsatisfi ed complainant can always take a complaint to the next stage. Some procedures may allow for an additional stage if the LA, Diocesan Body (DB) or other external agency provides an independent appeal or review.

18. An effective procedure will specify how a complaint will be dealt with if it concerns the conduct of the headteacher or a governor or where a headteacher or governor has been involved in the issue previously.

COMPLAINTS ABOUT THE CONDUCT OF THE HEADTEACHER

Where the complaint is about the conduct of the Headteacher the complainant is referred to the Chair of Governors.

The Chair of Governors then undertakes the role which would otherwise have been the Headteacher’s under Stage 2 of these procedures. If the complainant decides to proceed beyond Stage 2 the Chair of Governors cannot serve on the Governing Body’s Complaints Appeals Panel.

There may be occasions when the Headteacher has been so involved at Stage 1 of these procedures when it is appropriate for Stage 2 to be carried out by the Chair of Governors.

COMPLAINTS ABOUT THE CONDUCT OF A GOVERNOR

Where a complaint is about the conduct of a governor who is not the Chair this is directed to the Chair of Governors.

The Chair of Governors then undertakes the role which would otherwise have been the Headteacher’s under Stage 2 of these procedures.

Where the complaint is about the conduct of the Chair of Governors the complainant is referred to the Clerk of the Governing Body at the School address.

The Clerk will:

Acknowledge the complaint in writing within 5 working days.Inform the Chair of Governors that the complaint has been received.Seek advice from the LA or the Diocesan Authority on the extent to which it is

appropriate to follow these procedures.

19. An example of a complaints procedure can be found in Annex B.

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Part 3 – Managing and Recording Complaints – Key Messages

Recording Complaints

20. It would be useful for schools to record the progress of the complaint and the fi nal outcome. A complaint may be made in person, by telephone, or in writing. An example of a complaint form can be found in Annex D. At the end of a meeting or telephone call, it would be helpful if the member of staff ensured that the complainant and the school have the same understanding of what was discussed and agreed. A brief note of meetings and telephone calls can be kept and a copy of any written response added to the record.

21. The complaints co-ordinator could be responsible for the records and hold them centrally.

Governing Body Review

22. The GB can monitor the level and nature of complaints and review the outcomes on a regular basis to ensure the effectiveness of the procedure and make changes where necessary. Preferably, complaints information shared with the whole GB will not name individuals.

23. As well as addressing an individual’s complaints, the process of listening to, and resolving complaints will contribute to school improvement. When individual complaints are heard, schools may identify underlying issues that need to be addressed. The monitoring and review of complaints by the school and the GB can be a useful tool in evaluating a school’s performance.

Publicising the Procedure

24. There is a legal requirement for the Complaints Procedures to be publicised. It is up to the GB to decide how to fulfi l this requirement but details of the Complaints Procedures could be included in:

• the information given to new parents when their children join the school; • the information given to the children themselves;• the home-school agreement; • home school bulletins or newsletters;• documents supplied to community users including course information or letting

agreements;• a specifi c complaints leafl et • posters displayed in areas of the school that will be used by the public, such as reception

or the main entrance; and• the school website.

The LA will refer to the Model School Complaints Procedures in the composite prospectuses (Parent’s Guide).

Annex A

Section 29 of the Education Act 2002 requires that:

(1) The governing body of a maintained school (including a maintained nursery school) shall –

(a) establish procedures for dealing with all complaints relating to the school or to the provision of facilities or services under section 27, other than complaints falling to be dealt with in accordance with any procedures required to be established in relation to the school by virtue of a statutory provision other than this section, and

(b) publicise the procedures so established.

(2) In establishing or publicising procedures under subsection (1), the governing body shall have regard to any guidance given from time to time (in relation to England) by the Secretary of State.

Section 39 of the Education Act 2002 provides the following:

“maintained school” means a community, foundation or voluntary school, a community or foundation special school or a maintained nursery school;

“maintained nursery school” means a nursery school which is maintained by a local education authority and is not a special school;

Annex B

An example of a Model Complaints Procedure

Stage One: Complaint Heard by Staff Member

It is in everyone’s interest that complaints are resolved at the earliest possible stage. The experi-ence of the fi rst contact between the complainant and the school can be crucial in determining whether the complaint will escalate. To that end, if staff are made aware of the procedures, they know what to do when they receive a complaint.

* See Annexe E for guidance on how to listen to complaints.

It would assist the procedure if the school respected the views of a complainant who indicates that he/she would have diffi culty discussing a complaint with a particular member of staff. In these cases, the complaints co-ordinator can refer the complainant to another staff member. Where the complaint concerns the headteacher, the complaints co-ordinator can 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 may consider referring the complainant to another staff member. The member of staff may be more senior but does not have to be. The ability to consider the complaint objectively and impartially is crucial.

Where the fi rst approach is made to a governor, the next step would be to refer the complainant to the appropriate person and advise them about the procedure. It would be useful if governors did not act unilaterally on an individual 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

The headteacher’s infl uence will already have shaped the way complaints are handled in the school. At this point, the complainant may be dissatisfi ed with the way the complaint was handled at stage one as well as pursuing their initial complaint. The head may delegate the task of collating the infor-mation to another staff member but not the decision on the action to be taken.

Stage Three: Complaint Heard by Governing Bodies Complaints Appeal Panel

The complainant needs to write to the Chair of Governors giving details of the complaint. The Chair, of the Complaints Appeals Panel will convene a GB Complaints Panel meeting.

The membership of the Panel is a full Governing Body (50% quorum) decision.

The governors’ appeal hearing is the last school-based stage of the complaints process, and is not convened to merely rubber-stamp previous decisions.

Individual complaints would not be heard by the whole GB at any stage, as this could compromise the impartiality of any panel set up for a disciplinary hearing against a member of staff following a serious complaint.

The Complaints Appeal Panel

The full governing body (50% quorum) may nominate a number of members with delegated powers to hear complaints at that stage, and set out its terms of reference. These can include:

drawing up its procedures;hearing individual appeals;making recommendations on policy as a result of complaints.

The procedure adopted by the panel for hearing appeals would normally be part of the school’s complaints procedure. The panel can be drawn from the nominated members and should consist of a minimum of three governors to be quorate. The panel may themselves choose their own chair or the full Governing Body may choose the Chair when they consider Committees and Panels each Autumn Term.

The Remit of The Complaints Appeal Panel

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.

There are several points which any governor sitting on a complaints panel needs to remember:

a. 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. In deciding the make-up of the panel, governors need to try and ensure that it is a cross-section of the categories of governor and sensitive to the issues of race, gender and religious affi liation.

b. 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 satisfi ed with the outcome if the hearing does not fi nd 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.

c. An effective panel will acknowledge that many complainants feel nervous and inhibited in a formal setting. Parents often feel emotional when discussing an issue that affects their child. The panel chair will ensure that the proceedings are as welcoming as possible. The layout of the room will set the tone and care is needed to ensure the setting is informal and not adversarial.

d. Extra care needs to be taken when the complainant is a child. 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.

e. The governors sitting on the panel need to be aware of the complaints procedure.

Roles and Responsibilities

The Role of the Clerk

Please note that the Service Level Agreement (SLA) does not provide for a Clerk from the Governor and Advisory Support Team.

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The Department strongly recommends that any panel or group of governors considering complaints is 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 all 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 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 fi ndings 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.

Notifi cation of the Panel’s Decision

The Chair of the Panel needs to ensure that the complainant is notifi ed of the panel’s decision, in writing, with the panel’s response; this is usually within a set deadline which is publicised in the procedure. The letter needs to explain if there are any further rights of appeal and, if so, to whom they need to be addressed.

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Checklist for a Panel Hearing

The Panel needs to take the following points into account:

The hearing is as informal as possible.

Witnesses are only required to attend for the part of the hearing in which they give their evidence.

After introductions, the complainant is invited to explain their complaint, and be followed by their witnesses.

The headteacher may question both the complainant and the witnesses after each has spoken.

The headteacher is then invited to explain the school’s actions and be followed by the school’s witnesses.

The complainant may question both the headteacher and the witnesses after each has spoken.

The panel may ask questions at any point.

The complainant is then invited to sum up their complaint.

The headteacher is then invited to sum up the school’s actions and response to the complaint.

Both parties leave together while the panel decides on the issues.

The chair explains that both parties will hear from the panel within a set time scale.

NB: In certain circumstances the Chairperson will be undertaking the role undertaken above by the Headteacher.

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TIMETABLE FOR A COMPLAINTS PROCEDURE Annex C

Annex DEXAMPLE OF A COMPLAINT FORM

Please complete and return to …………………………..(complaints co-ordinator) who will acknowledge receipt and explain what action will be taken.

Your name:

Pupil’s name:

Your relationship to the pupil:

Address:

Postcode:Day time telephone number:Evening telephone number:E-Mail address:

Please give details of your complaint.

What action, if any, have you already taken to try and resolve your complaint. (Who did you speak to and what was the response)?

What actions do you feel might resolve the problem at this stage?

Are you attaching any paperwork? If so, please give details.

Signature:

Date:

Offi cial use

Date acknowledgement sent:

By who:

Complaint referred to:

Date:

Annex EHOW TO LISTEN TO COMPLAINTS

As soon as you realise that you are listening to a complaint, remember these points:

Don’t pass the buck

Try not to keep transferring an angry person from one place to another. Make sure you know the contact person for anything you cannot deal with yourself.

Don’t be fl ippant

First impressions count. You and the school may be judged on your immediate reaction.

Treat all complaints seriously

However small or trivial it may seem to you, the complaint will be an important problem for anyone who takes the trouble to complain.

Be open-minded

Set aside any prejudices about the complainant or the issue raised and listen in a open-minded way.

Be courteous and patient

Be sympathetic and helpful, but do not blame other colleagues.

Say who you are

If you are unknown to the person, introduce yourself.

Ask for their name and use it

Anonymous complaints are diffi cult to resolve.

Take time to fi nd out exactly what the problem is

It is easy for someone to forget to tell you an important detail, particularly if they are upset or annoyed.

Don’t take the complaint personally

To an angry or upset person, YOU are the school and the only one they can put their feelings to right now.

Stay calm and cool

Do not argue with the person – be polite and try to fi nd out exactly what the person thinks is going wrong or has gone wrong.

Check you are being understood

Make sure that the person understands what you are saying. Don’t use jargon; it can confuse and annoy someone ‘not in the know’.

Don’t rush

Take your time. Let people have their say and let off steam if they need to. Listen carefully and sympathetically to their problems before replying and attempting to fi nd a solution or offer a next step.

Complaints, appeals and claims made under equal opportunities legislationAlthough complaints made under anti-discrimination and human rights legislation may eventually be heard by the courts, tribunals or appeals panels, many will start as complaints to the governing body. Governors hearing complaints should be aware that the legislation may have a bearing on any decisions they make.

The following is only a brief summary of the various Acts of Parliament which could have an impact on complaints.

Human Rights Act 1998

The Act came fully into force from October 2, 2000, when the rights and freedoms guaranteed under the European Convention for the Protection of Human Rights and Fundamental Freedoms were incorporated into domestic UK law. In the past a case had to be taken to the Strasbourg court to rely on Convention rights; now cases are dealt with directly by our courts. Both pupils and staff will be protected by the Convention.

Governing bodies, when acting as public bodies carrying out a public function, are subject to the requirements of the Act and it is unlawful for them to act in any way which infringes a person’s rights and freedoms under the Convention.

Articles of the Convention which have particular relevance to schools are:

Article 2 – of Protocol 1 which states that no person shall be denied the right to education. This does not mean that a pupil has the right to attend a particular school or to a particular type or level of education; it is more a right of access to pre-existing facilities and to gain benefi t from the education received. The article also states that parents’ right to ensure their child’s education confi rms with their own “religious and philosophical aims” must be respected. The UK has entered a reservation to this stating that it is provided it is compatible with the provision of effi cient education and use of resources.

Article 3 – Prohibition of torture and inhuman or degrading treatment – governing bodies need to ensure that discipline policies and sanctions used by the school do not infringe this in any way. The issues of bullying and sexual and racial harassment and how schools deal with them could be affected by this article. The use of reasonable force to control or restrain a disruptive or violent pupil would probably be safe unless the force was used to punish or humiliate the pupil.

Article 5 – right to liberty – after-school detentions could be affected by this unless adequate notice is given.

Article 6 – right to a fair trial – although this does not apply directly to education appeals, the rules of natural justice and the underlying principle that someone has the right to a fair hearing do apply.

Article 8 – right to respect for private and family life – governing bodies need to bear this in mind in relation to policies involving the appointment or dismissal of staff; random searches of students could result in challenges.

Article 9 – freedom of thought, conscience and religion – might be raised in challenges involving time off for staff or students who wish to observe religious festivals or in connection with school uniforms (see Article 10 below)

Article 10 – freedom of expression – this could apply to uniform disputes. Schools can have a dress code but they must make sure it is clearly known and understood by all staff and pupils and does not discriminate against pupils of different sexes, religion, race etc (see also Article 14).

Article 13 – right to effective remedy – governing bodies’ complaints procedures and any subsequent remedies need to be adequate.

Article 14 – prohibits any person being denied their Convention rights because of discrimination. It applies to any situation where

Annex FThe Law on Equal Opportunities

another article is breached. It cannot be used by itself as an anti-discrimination article. It could have implications for admission and exclusion policies.

Race Relations Act 1976(amended 2000)

Under the Race Relations Act 1976 racial discrimination in educational provision has been unlawful for many years. The Act draws particular attention to possible discrimination in school admissions, exclusions and access to any other services and facilities provided by the school (eg provision of the National Curriculum, special education, extra curricular activities etc). The governing body or LA (depending on the function in question) continues to be the body which would be cited in any claim of unlawful discrimination.

The Commission for Race Equality (CRE) has powers to consider individual complaints of discrimination and offer advice and assistance, including legal representation. Where a formal investigation by the CRE fi nds that discrimination has occurred, it may issue non-discrimination notices.

In the case of the schools’ general duties under the amended Race Relations Act (to promote race equality, for example) the CRE or another party, such as a parent, could make an application to the High Court for judicial review.

A school that failed in regard to its specifi c duties to have a race equality policy and monitor the impact of that and other policies on different racial groups could be subject to enforcement procedures by the CRE. The Commission can issue a ‘compliance notice’ on a school giving the governing body 28 days to explain what steps it is taking to comply with the specifi c duty. If, three months later, the Commission is still not satisfi ed that the school is meeting its specifi c duties, the CRE may apply to a County Court for an order that the school comply with the notice.

Sex Discrimination Act 1975

The Sex Discrimination Act 1975 prohibits discrimination on the basis of marital status or gender and applies to both men and women, boys and girls. The Act states that it is unlawful for schools to discriminate in admissions,

exclusions, access to benefi ts, facilities or services. An exception is made for admissions to single-sex schools. Governing bodies also need to ensure there is no discrimination in their policies and practice on recruitment, selection, promotion and dismissal of school staff.

Complaints alleging sex discrimination can be reported to the Equal Opportunities Commission which can advise individuals of their rights and, in certain circumstances, assist in the preparation and conduct of a case before a court. While the Commission may conduct formal investigations and investigate suspected unlawful acts, the power to impose sanctions to secure compliance with the Act in the public sector of education rests with the Secretary of State for Education.

Disability Discrimination Act 1995

Part two of the Special Educational Needs and Disability Act 2001 (SENDA) amends the Disability Discrimination Act 1995 and extends the legislation to education.

Schools and LAs must not treat disabled pupils less favourably than pupils without a disability and they must take reasonable steps to ensure disabled pupils are not substantially disadvantaged in relation to admissions, exclusions and education and associated services. An exception is made for admissions to wholly selective schools.

Parents may claim discrimination against a responsible body, either the governing body or LA depending on the function, and this will be heard by the Special Educational Needs and Disability Tribunal (SENDIST) except for cases about admissions to and permanent exclusions from maintained schools. These will be dealt with by the admissions or exclusions appeals panels.

If the SENDIST decides that unlawful discrimination has been found, it may make reasonable order to avoid or reduce the adverse effect of the discrimination. But fi nancial compensation is not allowed.

The Secretary of State can give a direction if satisfi ed (whether on a complaint or otherwise) that a governing body or LA has acted unreasonably in relation to their planning duties

under the Disability Discrimination Act, or has acted or is proposing to act unreasonably in complying with SENDIST orders following disability discrimination hearings.

Resolution of disputes about SEN

Disputes between parents and LAs and/or schools on issues of special education have a new avenue. Under the SENDA, LAs must set up a disagreement resolution services and publicise this to parents, headteachers and governing bodies.

These arrangements can run alongside an appeal to SENDIST and do not affect parents’ entitlement to appeal where they disagree with LA decisions about their child’s special education needs.

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