Section One - Complaints Policy
Wickham Court School Policy for consultation Complaints Policy
SECTION ONE - COMPLAINTS POLICY
INDEX
1. Introduction
2. Complaints about staff employed to work at a school
3. Complaints about the Head Teacher
4. Complaints about the Proprietor
5. General principles of this complaints policy
6. Summary of the procedures to be followed for concerns or
7. complaints falling under this policy
8. Resolving a complaint
9. Stage 1 – informal, directly to the staff member concerned
10. Stage 2 – more formal, direct to the staff member concerned
11 Stage 3 – investigation by the Head Teacher
12. Meeting (hearing) procedure
13. After the meeting
APPENDICES
Appendix 1 Form to be completed for complaints to the head teacher (stage 3), or to the Proprietor (stage 4)
Appendix 2 Matters that are not covered by this policy
Appendix 3 Legal framework
1 Introduction
1.1 All schools must adopt a Complaints Policy to enable complaints received from parents and others who do not work at the school to be dealt with effectively. The law requires the complaints procedure to be publicised. DfES guidance is available on www.governornet.co.uk.
1.2 Schools may adopt a policy different from this model, if they wish.
1.3 The Management Team should satisfy themselves that third party providers of community facilities or services and those using the school’s premises in any way have their own complaints procedure.
1.4 Complaints from members of staff will not be dealt with under this policy. Staff must use the Grievance policy instead.
1.5 Interpretation:
a) all references to parents includes prime carers and legal guardians
b) all reference to “days” in this policy means ordinary working school days and excludes training days, bank holidays and days on which the school is closed for whatever reason.
1.6 If assistance with translation or writing is required, the school is responsible for making appropriate arrangements.
1.7 All complaints will be dealt with in confidence and matters put to the Proprietor will remain confidential.
1.8 The form in appendix 1 must be completed if a complainant wishes to move to stages 3 (headteacher) or 4 (Proprietor). The matter cannot progress without a completed form.
1.9 The team will not consider a matter that has not already been investigated at stage 3.
2 Complaints about staff employed to work at a school
2.1 The headteacher of a school is responsible for the day to day management of the school and is the line manager of the staff employed in the school. Because of this, all complaints must be put to the headteacher first so that s/he can investigate them.
2.2 The headteacher may decide that a complaint should be dealt with under the separate Staff Capability or Disciplinary policies. In this case, it is the head’s responsibility to start those procedures. Personnel matters are confidential.
2.3 If the headteacher decides that this complaints policy applies, but there is a possibility that it could in the future lead to capability or disciplinary proceedings, the head must advise the staff member of that possibility.
2.4 A member of staff against whom a complaint has been made should be given a copy of the complaint and informed that the headteacher will investigate it. They should be informed that they may be accompanied by a colleague or trades union representative to the interview.
3 Complaints about the headteacher
3.1 If a complaint is about the headteacher, the same procedure applies but, the complainant should go straight to stage 3 of this policy. Part 1 of the form in appendix 1 must be completed and sent to the Proprietor.
4 Complaints about a Proprietor
4.1 If a complaint is about the Proprietor, the complainant should go straight to stage 3 of this policy. Part 1 of the form in appendix 1 must be completed and sent to the parent company.
5 General principles of this complaints policy
5.1 The aim of the policy is to bring about a resolution and/or reconciliation, as informally and quickly as may be reasonably possible.
5.2 It is intended to be investigatory, not adversarial, and to allow for an impartial and fair investigation to be undertaken.
5.3 Complaints about a former member of staff will not normally be considered if it is more than three months since they stopped working at the school, unless there are exceptional circumstances.
5.4 If an additional or separate complaint is introduced by the complainant or a witness during any stage of the investigation, that complaint must be referred for initial investigation by the head as a separate matter.
5.5 A concern or complaint should be considered as soon as practicable.
5.6 Those investigating a concern or complaint should endeavour to address all of the points, provide an effective response and, where necessary, appropriate redress. This many include providing information to the school’s management team so that improvements can be made.
5.7 Information about children is confidential. Parents wishing to see a child’s file must make an appointment with the headteacher in the proper way, at a mutually convenient time, at the school.
5.8 Confidential personal documents relating to members of staff will not be disclosed.
6 Summary of the procedures to be followed for concerns or complaints falling under this policy.
Stage 1 The person who has a concern should arrange to talk directly with the staff member concerned informally about their concern. It is anticipated that the majority of concerns will be resolved at this point.
Stage 2 If the concern is not resolved, the complainant should ask for a more formal meeting with the staff member to discuss it in more detail. This will normally be arranged within three working days. If, unfortunately, the complainant is not satisfied with the outcome, s/he must put the complaint in writing to the headteacher, using part 1 of the form in Appendix 1, within three calendar months of the incident. The headteacher will provide a copy of this form.
Stage 3 The head will investigate and write to the complainant with his/her decision. If the complainant is not satisfied with the outcome of the headteacher’s investigation or with the way in which the headteacher investigated it, they may ask the Proprietor to consider those matters, in the nature of an appeal. The reasons for dissatisfaction must be put in writing on the form in Appendix 1 and will provide a focus for the Proprietor. The headteacher will provide a copy of this form.
Stage 4 The Proprietor, and a senior member of the administration of the parent company provides a school based appeal and will consider the reasons for the complainant’s dissatisfaction. They will not reconsider the whole investigation at stages 1, 2 or 3. They will focus on the reasons for the complainants’ dissatisfaction that have been given in writing on the form in Appendix 1. They have no power to consider matters falling under other policies. The decision of the complaints committee is final.
7 Resolving a concern or complaint
7.1 Options for resolving the concern or complaint include:
a) an acknowledgement that the complaint is valid in whole or in part
b) an explanation
c) an admission that something could have been handled differently or better
d) an explanation of the steps taken as a result, to ensure that the situation does not recur
e) confirmation that the policy will be reviewed in the light of the concern or complaint
f) an apology.
7.2 Options for the Complaints committee at stage 4 include the above, and/or to:
i) dismiss the complaint in whole or in part
ii) uphold the complaint in whole or in part
iii) refer a complaint back to the headteacher in whole or in part to deal with under the capability, disciplinary or other policies
iv) recommend changes to the school’s systems or procedures to ensure that problems of a similar nature do not recur, including the introduction of a complaint recording and monitoring system.
8 Stage 1 – Informal, directly to the staff member concerned
1. It is clear that the majority of concerns or complaints are resolved informally. Most can be resolved easily through simple clarification or exchanging information.
2. If at stages 1 or 2 the complainant feels s/he would have difficulty discussing the matter with a particular staff member, they should be referred to headteacher, who can ask another member of staff, possibly a Deputy Head, to consider the complaint objectively and impartially, with a view to resolving it.
3. If the concern or complaint is serious or outside the staff member’s responsibility, the complainant should be asked to make an appointment to speak directly to the headteacher. The staff member should alert the head on the matter without delay.
4. If a concern or complaint relates to an extended school provision, the person with the concern must be referred to that provider. Members of staff must not become involved in such matters.
Stage 1 1 A concern can be expressed in person, by telephone or in writing. The concerned person should tell the member of staff that they want to talk about a concern.
2 In most cases the matter will be resolved satisfactorily on the spot.
3 The concern becomes a complaint if the person concerned remains unhappy and wishes to take matters further. They should ask the member of staff for a more formal meeting when their complaint can be discussed fully.
9 Stage 2 - more formal, direct to the staff member concerned
Stage 2 1 The staff member will normally arrange to meet the complainant within three working days, at a mutually convenient time, in the school, in private and relaxed surroundings, to listen to the complaint with the aim of trying to resolve it.
2 If the complaint cannot be resolved and the complainant remains unhappy, the staff member must notify the headteacher of the matter within two working days.
To move to the next stage of the procedure, the complainant must complete part 1 of the form in Appendix 1 and, within three months of the original incident, either
a) give it to the headteacher, or
b) if the complaint relates to the headteacher, send it to the Proprietor
c) if it relates to the Proprietor, send it to the parent company.
11 Stage 3 – Investigation by the headteacher
Notes:
1. The head will decide whether a complaint should be dealt with under this policy or another.
2. If the complaint needs to be dealt with under another policy, the head will write to tell the
complainant giving this decision within 7 school days and saying that s/he will deal with it as the manager.
For complaints that fall partly or wholly within this complaints policy, the procedure is given below.
Within (school working days):
5 days acknowledge receipt of the written complaint in writing or orally. Ask the complainant if they have any questions about the procedure and deal with them
a further 10 days write to either
(a) give the result of the investigation, or
(b) explain why this cannot be achieved within the 10 working days and give a revised target date
The head’s letter will include;
(i) a summary of the findings
(ii) the decision reached and the reasons for it
(iii) the action being taken in consequence (excluding confidential action)
(iv) the way in which the complainant should proceed within 15 days, if the complainant remains dissatisfied
within the 15 days If the complainant is dissatisfied with the headteacher’s decision and/or the way in which s/he investigated the complaint and wishes the Proprietor to consider the reason for their dissatisfaction, the complainant must complete part 2 of the form in Appendix 1 and send it to the Proprietor
after those 15 days if part 2 of the form in Appendix 1 has not be received by the Proprietor within 15 days of the date on the headteacher’s decision letter, it will be assumed that the complaint has been resolved and laid to rest.
On receipt of a request to proceed to Stage 4 on the form in Appendix 1, the Proprietor should acknowledge receipt, preferably in writing. The proprietor will arrange a “Stage 4” meeting
12 Stage 4 – Proprietor’s complaints committee hearing
within 5 days of receipt Will write to the complainant to acknowledge receipt of their complaint. The letter will;
(a) confirm that a meeting of the Proprietor’s complaints committee will be arranged within 20 working days of the date of receipt, and
(b) request copies of any supporting information, the names of any witness(es) they wish to call and their written, signed and dated statement(s) by noon on a specific cut off time and date (usually 7 working days), and
(c) advise of their right to be accompanied to the meeting by a friend/adviser/interpreter and that it is the complainant’s responsibility to give copies of any documents to their friend/adviser/interpreter. Any delay in the complainant doing so, will not affect the proceedings.
(d) enclose a copy of the complaints policy adopted by the Proprietor and, if part 2 of the form in Appendix 1 has not been completed, ask for it to be completed and returned. State that the matter will not proceed until it has been received.
within 5 days of receipt Similarly, ask the head teacher for their information, the names of any witness(es) they wish to call and their written, signed and dated statement(s) by the same specific cut off time and date (usually 7 working days). Advise of their right to be accompanied to the meeting by an adviser/representative. It is their responsibility to give copies of any documents to any adviser/representative. Any delay in doing so, will not affect the proceedings.
It is the head’s decision whether or not to ask members of school staff to attend the meeting, subject to the discretion of the committee chair
within 20 days of initial receipt Arrange for the meeting of the complaints committee to be held within 20 working days, liaising with all parties for a mutually convenient date, time and location. The head teacher cannot be a member of the committee.
within 3 days after the first cut off date Prepare a covering schedule of each sides documents, clearly numbering the pages, copy and distribute them to the committee members, head teacher and complainant.
The letter distributing the papers to the complainant and head should specify a further 7 working day cut off for responses (as before), and state that it is very unlikely that any documents received later will be accepted by the committee.
within 3 days after the second cut off date Prepare a covering schedule of each side’s documents, clearly numbering the pages, copy and distribute them to the committee members, head teacher and complainant, as before.
As soon as possible and at least 5 working days before the meeting date Write to confirm the meeting date, time and location to the complainant, head teacher and committee members. This letter must state that the meeting will go ahead in the absence of the complainant, unless a reason for absence acceptable to the committee is presented at the beginning of the meeting.
Minutes will be taken.
13 Meeting (hearing) procedure
Notes:
1. Three of those who are members of the committee should not have any prior knowledge and one member must be independent. In exceptional circumstances, where that cannot be achieved, those forming the committee should not have more prior knowledge than the members of the management team.
2. It is the responsibility of the committee chair to take control of the meeting, ensure that it is conducted fairly under the policy and procedure adopted, and that notes are taken.
3. The aim of the meeting is to resolve the complaint and achieve reconciliation between the school and the complainant.
4. While this is a formal process, the meeting will be as informal as possible.
5. It is important that this appeal hearing is seen to be impartial and independent.
6. The chair may adjourn the meeting at any time.
7. The chair may instruct those present to disregard items that are outside the focus of the meeting, including any personal information about members of staff and should instruct that such information be struck from the minutes.
8. At the start of the meeting the only people present will be the committee members, head teacher, complainant and their friend/adviser/interpreter/ representative if attending. Witnesses are called later.
9. Minors, whether involved or not, should not normally attend any part of a complaint committee meeting.
10. Exceptionally, in situations of undue aggression or where relationships have deteriorated to the point that a hearing is unlikely to be able to make reasonable progress, the committee may hear the parties’ statements separately, ie with only one party present, in turn, before calling them together for questions to be put. In this situation, it is important that no additional information is introduced that is not made available to the other party.
13.1 In conducting the meeting, the chair will:
a) welcome everyone and invite those present to introduce themselves
b)
check that the complainant received the papers and a copy of the meeting procedure in advance
c) state that all papers distributed in advance will be taken as read. Ask the parties not to quote at length from the papers, but to assist by referring to page numbers and extracts when necessary
d) tell the parties how much time will be allowed for the meeting overall, how long will be allowed for each side to present their information, including question time and summing up, and for the committee members to reach their decision.
e) take any procedural points and clarify if necessary
f) ask the parties if they have any questions about the procedure and deal with them
g) invite the complainant to confirm that the complaint is as summarised on part 2 of the form in Appendix 1. If not, obtain clarification. What is stated at this point will be the focus for subsequent decisions.
h) invite the complainant to give their information and draw key points to the committee’s attention. This should exclude any new information that has not been submitted already
i) should the complainant have failed to clarify and establish a complaint against the headteacher by this point, the head may wish to make a statement that there is no case for them to answer. The committee will consider such statement at this point, adjourning to consult and take advice as necessary. If the committee members agree that no complaint against the headteacher has been formulated, they must inform the parties of this decision and may close the meeting.
j) Witnesses
i) should the complainant wish to call witnesses, the chair will consider each request as it is made, consulting committee members/advisers as appropriate and rule on the matter. Each witness, having contributed their information, may be questioned by the other party and the committee members in turn, and the witness will then leave the meeting
ii) discretion should be exercised when children are witnesses and they should only be interviewed when the nature of the complaint is sufficiently serious to warrant it, and adult witnesses are not available. Minors must have a parent in attendance during the whole of their interview
k) invite the headteacher to question the complainant on what has been presented
l) invite committee members to put questions on the information presented
m) invite the head to respond to the complaint, similarly considering each request to call witnesses, including members of staff, as above
n) invite the complainant to put questions to the head on what has been presented
o) invite committee members to put questions on the information presented
p) invite the head to sum up and make a final statement. New information is not to be introduced
q) invite the complainant to sum up and make a final statement. New information is not to be introduced
r) inform the complainant and headteacher that the committee will now consider its decision and write with that decision within 15 working days.
13.2 The committee members will then consider the complaint and evidence presented and reach a
decision.
14 After the meeting
within 15 days of the meeting The committee’s agreed written decision will be sent to both the
complainant and headteacher. The decision is final.
The minutes will be prepared, recording the procedure.
The school will ensure that a copy of the papers are kept confidentially for 10 years.
15 Adjournments under stage 4
15.1 Once called, meetings cannot be adjourned without the agreement of the committee.
15.2 During a meeting, the chair may adjourn at any time to consult advisers, or in response to a request, or allow time for composure etc. The duration of the adjournment and the time at which the parties should present themselves again for the meeting to continue will be agreed.
15.3 If a meeting is adjourned to a future date, the time and location of the reconvened meeting will be confirmed before the parties leave. All the necessary arrangements will be made and confirmed in writing to all parties.
Appendix 1
COMPLAINT FORM
This form is to be used for stages 3 and 4 of the complaints procedure, after stages 1 and 2 have been explored. Part 1 must be completed and given to the head within three months of the date of the incident arising. PLEASE WRITE CLEARLY.
Name:
Address
Post code:
Signature:
Daytime tel. no:
Date of the incident complained of:
School’s name:
Date of receipt of this form under stage 3, and by whom:
Part 1 - please continue on a separate sheet if necessary. Any supporting documents should be submitted with this form.
Please summarise your complaint:
Please summarise what outcome(s) you seek:
When you have completed the above, please send it to the headteacher with copies of any supporting documents. If your complaint is against the head teacher, send it to the Proprietor via the school. If your complaint is against the Proprietor, send it to the Parent Company at the address below.
Schiller International University, Schloss Ingersheim, 74379 Ingersheim, Germany.
COMPLAINT FORM - Part 2
Please complete part 2 of the form if you want the Proprietor’s Complaints committee to review the decision and/or the way in which the Head investigated your complaint, under stage 3. The Proprietor will not consider the matter until it has been investigated at stage 3.
Please continue on a separate sheet if necessary. Send parts 1 and 2 of this form to either the school’s chair of governors, or the clerk at the address below. Any supporting documents should be submitted with this form, including any witness statements.
Please summarise the reason(s) for your dissatisfaction:
Please state what outcome(s) you seek:
The names of your witnesses must be given here:
The procedure and strict deadlines are given in sections 13 and 14 of the complaints procedure. If part 2 (above) is not completed and received by the Proprietor within 15 days of the date of the headteacher’s decision letter, it will be assumed that the complaint has been resolved and laid to rest. The matter will not proceed to the proprietor under stage 4.
Appendix 2
MATTERS THAT ARE NOT COVERED BY THIS POLICY
The following concerns and complaints cannot be considered under this policy. There are separate policies and procedures that deal with them.
1 staff capability and/or disciplinary issues
2 admissions to schools
3 anonymous complaints, unless there are exceptional circumstances, for example serious concerns about child protection issues
4 spurious or vexatious complaints
5 special education provision
6 curriculum and religious worship (section 409 of the Education Act 1996)
7 pupil exclusion from school
8 school reorganisation proposals
9 the allocation of resources to service users according to agreed criteria
10 those covered by the Children act 1989
11 those that are the subject of legal proceedings, or have been so
12 those being considered by the Secretary of State under statutory power
13 those relating to a third party service provider, which must be referred to that person or organisation
14 when it is more than three months since the incident complained of is raised for the first time, unless it forms part of an existing concern or complaint under investigation
15 when it is more than three months since a staff member complained of left the employment of the school, except under the most exceptional circumstances
Appendix 3
LEGAL FRAMEWORK
1 Section 29(1) (a) of the Education Act 2002, effective 1 September 2003. Web link to the Act – http://www.legislation.hmso.gov.uk/acts/acts2002/20032--f.htm#29
2 The decision of the Proprietor’s complaints committee is final. If a complainant believes that a Proprietor’s Committee has acted unreasonably or failed to carry out its statutory duties properly, they may complain to the Secretary of State.
Updated June 08
Review on or before June 09
Reviewed - June 09
Updated – November 09
Reviewed – November 2010
Updated - August 2011
To be reviewed - August 2012