HANDLING

							    Complaints about Schools in Warwickshire – Information for Schools

Introduction

Schools in Warwickshire are proud of the relationship they have with parents and
other members of the community. Unfortunately, from time to time, concerns or
disagreements can arise between parents and schools.

In most cases, these are concerns, rather than complaints. A simple discussion will
often resolve the problem. Good communications between schools and parents will
usually prevent minor concerns from escalating into more formal complaints.

No single process suits all circumstances. Schools have different characters and
statutory obligations vary. This guidance is designed to help all schools find the
fairest, most reasonable, and most productive processes to deal with complaints.

Schools are required by law to have a process for handling complaints, with the
majority of Warwickshire Schools adopting the process outlined below. This booklet
also contains general advice on best practice when dealing with parental concerns.

Also available is a booklet for parents, which offers general advice on the practical
steps they can take to raise concerns with their child’s school.

The School Complaints Officer is always happy to offer advice on the complaints
process. Please call 01926 742070 with any questions you might have.

Guiding Principles

 Complaints are few and far between in those schools where parents are
  welcomed and are treated as equal partners in the education of their child.

 Complaints dealt with immediately rarely develop into big issues.

 Informal resolution is virtually always preferable.

 We live in an age where people are encouraged to question. Schools need to be
  prepared to account for their actions.

 The version of events conveyed to the parent by the child may be very “real” to
  them.

 Know the parents of your students. This will ensure you are aware of the most
  appropriate setting in which to meet with them to hear their complaint.

 Ask yourself the question - “What is the parent looking for in all of this?”

 Where you can, try to find some compromise, or at least an agreement to have
  different views rather than a narrower decision to uphold or reject a complaint.
  However it is important to be consistent and recognise the circumstances where
  school policies and staff actions must be supported.

Good Practice

    Have a system in place to handle complaints and ensure that staff and
     governors are aware how it operates.
   Parents should be made aware of the Complaints Procedure via the School
    Prospectus and have easy access to policy documents if required.

   Individuals within the school should document as soon as possible any situations
    that may give rise to a complaint. Retain any evidence and detail the names of
    any witnesses.

   Staff should make a written record of any complaint made by a parent and read
    it back to them to ensure its accuracy. Give a date for a response.

   Ensure parents are aware of the steps that will be taken to investigate their
    complaint and give a clear time scale for getting back to them.

   When meeting with a potentially volatile parent, ensure a nearby member of staff
    knows the meeting is taking place, and ensure that the parent is not seated
    between you and the door. Consider asking another member of staff or
    Governor to attend the meeting.

   Don’t hear complaints in public areas such as corridors or playgrounds. If a
    parent raises concerns without prior arrangement, take them to a private area. If
    a meeting is arranged, ensure a suitable room is available.

   When meeting with parents, always try and set an amicable atmosphere. Offer
    refreshments, don’t be defensive, and try and empathise with the parent.

   If a complaint reaches Stage 2 of the procedure, contact the Local Authority’s
    School Complaints Officer for advice.

The Role of the Governing Body / Individual Governors

   The Governing Body of the school should review the School’s Complaints
    Procedure and any associated documents on a regular basis.

   While many schools adopt the process outlined in this booklet, Governing
    Bodies may wish to develop their own complaints policy. If so, consider including
    detailed information on likely response times. Parents like to know when they
    can expect a response.

   Identify at the start of each year a number of Governors who will consider
    complaints at Stage 2 of the process. Ensure they are familiar with how Panel
    Hearings should operate, and try to ensure the different categories of governor
    are represented.

   If a parent raises a concern with a governor, they should be directed to the
    appropriate stage of the procedure. Governors should try to not become
    personally involved in complaints, as they may be needed to take part in a Panel
    Hearing.

   Governors with children at the school are required to follow the same complaints
    process as all other children. Any attempt to bypass the process should be
    quickly dealt with, usually by the Chair of Governors.

   The whole Governing Body should not normally consider complaints, with
    governors only involved at the appropriate stage of the complaints process.
   The Governing Body should monitor the level and nature of complaints received,
    and review the outcomes on a regular basis to ensure the effectiveness of the
    procedure and make changes where necessary. It is preferable that complaints
    information shared with the whole Governing Body will not name individuals.

 What is not covered by a school’s complaints procedure?

 Exclusions. Separate arrangements exist in schools for considering
  representations from the parent of an excluded child.

 Special Educational Needs. Separate arrangements exist that are external to the
  school.

 Admissions. These are handled by the Local Authority or the Diocesan
  Authorities.

 Religious Education or Collective Worship. These should be referred to SACRE -
  Standing Advisory Committee for Religious Education. This is external to the
  school.

 Delivery of the National Curriculum. These should be directed to the Local
  Authority.

 Child Protection issues and allegations of child abuse. These should be directed
  to the Education Social Work Service (01926 431268)

 Misconduct of staff. (Definition needed). This is dealt with at school level, but
  under the school’s Personnel Procedures. While by their very nature,
  investigations into allegations of teacher misconduct must remain confidential,
  careful consideration should be given to the best way of reassuring parents that
  their concerns have been investigated, and dealt with appropriately.

The Complaints Process

The information below describes in more detail the Local Authority’s suggested
complaints procedure for Warwickshire Schools. However, due to the nature of
complaints, a flexible approach is often needed.

Informal Stage (Stage 1)

Parents with a concern about their child’s school are encouraged to talk to an
appropriate member of staff. Initial contact can therefore be with a class teacher,
Head of Year, or the school’s Headteacher.

It is important that complaints are quickly passed to the relevant person to deal with.
A swift response and good communication with parents can often prevent complaints
from escalating.

Face to face discussions are often more productive than telephone conversations or
written communications. The person(s) making the complaint should be given the
chance to visit the school to discuss their concerns.

During the meeting, it’s important to identify what it is the person making the
complaint hopes to achieve. If their goals are unrealistic, explain why, offer
alternatives, and try to find a compromise. Friendly, positive discussions from which
the complainant can take something away are unlikely to reach Stage 2.

If further investigation is needed, give the parent a date by which they can expect a
response, and the name of the person who will get back to them.

While initial discussions may take place with any member of staff at the school,
parents should always be given the opportunity to discuss their concerns with the
Headteacher. This represents Stage 1 of the Complaints Procedure. The majority of
parental concerns are dealt with at this stage.

Headteachers may wish to involve a Governor at this stage of the complaint as an
independent party. However, this governor would not then be able to participate in a
Panel Hearing as outlined in Stage 2 of the process.

Formal Stage (Stage 2)

If a parent has discussed their concerns with the school’s Headteacher, and remains
dissatisfied, they should write to the Chair of the school’s Governing Body outlining
their concerns.

When an official complaint is received, the Chair of Governors should ensure that it
has already been dealt with at Stage 1 as described above.

If the complaint relates to staff misconduct, the complaint should be dealt with under
the school’s personnel procedures. If this is the case, the complainant should be
informed of this, but they should also be made aware that any subsequent action will
remain confidential. A draft letter to the parent explaining this can be found in
Appendix 1.

While Stage 2 of the Complaints Procedure usually involves a Panel Hearing,
informal resolution is virtually always preferable. The Chair of Governors may
therefore wish to consider alternative ways of dealing with the complaint. This could
involve meeting the complainant, along with the Headteacher of the school.
Whatever option is decided on, keep parents informed so that matters do not
escalate.

If a Panel Hearing is decided upon, the school will need to decide on the three
governors who will make up the panel for the hearing. None of those chosen should
have had any previous involvement with the complaint.

When considering the make up of a panel, ensure the different categories of
governor are represented, and that issues of race, gender or religious affiliation are
considered.

While it can be difficult to find a time when all involved are able to attend a panel
hearing, schools should try to arrange a hearing within 20 school days. If it looks like
this will prove difficult, ensure that all involved are kept informed.

The suggested process and timescales for arranging a Panel Hearing is as follows,
although schools may wish to amend this if developing their own procedure:

      The Clerk to the Governors should identify some possible dates for the
       hearing convenient for the Headteacher, clerk and governors. The suggested
       timescale is at least ten school days in advance. Write to the complainant
       suggesting the possible dates for the hearing, and ask that they confirm
       which date is convenient.

      Once a date for the hearing has been set, write to the complainant,
       Headteacher and panel members, confirming the time, date and venue.
       Remind the complainant that they can bring a friend, relative, or interpreter
       with them if they wish. Ask that they let the clerk know at least two days
       before the hearing if they will be accompanied, and if so, who by. The format
       the hearing will take should also be outlined.

      The person(s) making the complaint, and the Headteacher, should both be
       given the opportunity to supply any evidence relevant to the complaint. This
       should be sent o the clerk at least five school days before the hearing.

      Four days before the hearing, the Clerk to the Governors should circulate to
       the Head, the Panel, and the complainant, any evidence that has been
       submitted.

Governors should consider the following when sitting on a Panel:


Don’t meet with the Headteacher in private prior to the meeting.

Do ensure that both the complainant and the Headteacher are made to feel at
ease during the hearing. Ensure comfortable chairs and drinking water are
available.

Don’t take sides during the hearing and attempt to defend the school’s actions.

Do keep an open mind throughout the hearing.

Don’t allow the hearing to wander. The Chair should ensure that it stays
focussed on the original complaint.

Do have detailed notes taken throughout the hearing.

Don’t allow the procedure to turn into an argument. There should be no threats,
raised voices, or outrageous allegations. If things start to go wrong, don’t be
afraid to end the hearing early.

Do ensure that the hearing isn’t rushed, and that the complainant and the
Headteacher both have sufficient time to outline their case.


Although in some circumstances the exact format of the Panel Hearing may vary, the
following is the suggested format:

      The Panel and the Clerk should meet 15 minutes prior to the Hearing to elect
       a Chair, ensure that they are familiar with procedure to be followed, and that
       the layout of the room is appropriate.

      Invite the complainant to enter the room. The panel should be introduced to
       the complainant, and the format the hearing will take explained.
      The complainant should outline their concerns based upon the evidence
       submitted.

      The governors should have an opportunity to ask questions.

      The complainant should then make a final statement, after which they should
       leave the school.

      The Head Teacher should then be invited to present their information.

      The governors should have an opportunity to ask questions.

      The Head Teacher should the make a final statement, after which they
       should leave the meeting.

The Panel should then discuss what they have heard, reach a decision, and inform
the relevant parties in writing of their findings within three days.

Even when complaints are dismissed, it is important to see if there are any lessons
that can be learned as a result of the complaint. If so, ensure that parents are made
aware, and that any positive outcomes are highlighted.

When writing to the complainant with the Panels findings, they should be informed
that if they are still not happy, they have the right to take the matter to the Local
Authority as a Stage 3 complaint.

The Governing Body of the school should be informed at the next full meeting that a
hearing has taken place.

Local Authority Stage (Stage 3)

Parents should be aware that the Local Authority has limited powers to investigate
internal school matters, but it does retain a responsibility to ensure that governors
have acted properly in the exercise of their functions. The Local Authority is not able
to re-investigate the original complaint, nor can it seek to substitute its own
judgement for that of the governing body, if the governors have followed a proper
procedure and considered the complaint reasonably. Any investigation carried out by
the Local Authority will therefore concentrate on the process used to originally deal
with the complaint.

If, having been given the governing body’s decision, a parent believes that the school
have not followed their published complaints procedure, they should write to the
School Complaints Officer, Warwickshire County Council, Children, Young People
and Families Directorate, Saltisford Office Park, Ansell Way, Warwick, CV34 4UL.
For the Local Authority to become involved, parents will need to provide evidence
that shows that the school did not follow its published complaints procedure. If the
evidence provided supports the allegation, the Complaints Officer will investigate
whether the school has dealt with the complaint correctly.

If the results of the investigation show that there has been a breach of procedure,
the matter will be referred back to the governing body, with a copy of the Local
Authority’s findings supplied to the Headteacher. The complainant will be informed of
the outcome of the investigation, and the governing body may be required to re-
investigate the original complaint.
This represents Stage 3 of the complaints process.

The Secretary of State and Ofsted

If the outcome at Stage 3 is still not as the complainant had hoped, they should write
to the Secretary of State, Department for Children Schools and Families, Sanctuary
Buildings, Great Smith Street, London, SW1P 3BT. Parents should enclose copies of
their original complaint and any documentation or other evidence they feel is
relevant.

The Secretary of State will not consider a complaint until the school’s own complaints
procedure has been completed.

In certain limited circumstances, Ofsted (Office for Standards in Education) can
investigate a complaint from a parent, although it will normally need to have been
considered by the school’s own complaints process.

Ofsted are only able to consider whole school matters, and are unable to investigate
complaints that relate to an individual child.

Further information for parents is available from Ofsted’s helpdesk, which is open
from 8am to 8pm Monday to Friday. They can contact the helpdesk by telephone on
08456 40 40 45, or by email (enquiries@ofsted.gov.uk).

Further information is also available on the Ofsted website www.ofsted.gov.uk.




Craig Pratt, Complaints Officer Tel: 01926 742070
Email: craigpratt@warwickshire.gov.uk