| Article Index |
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| Complaints policy and procedures |
| Complaints Procedure |
| Appendix 1 |
| All Pages |
1. Policy and background
Framework of Principles
An effective complaints procedure:
- encourages resolution of problems by informal means wherever possible
- be easily accessible and publicised
- is simple to use and understand
- is impartial
- is non-adversarial
- allows swift handling with established time-limits for action and keeping people informed of the progress7
- ensures a full and fair investigation by an independent person where necessary
- respects people’s desire for confidentiality, wherever possible (some information sharing may be necessary to carry out a thorough investigation)
- addresses all points at issue, providing an effective response and appropriate redress, where necessary
- provides information to the school’s leadership group so that services can be improved
Dealing with Complaints – initial concerns
There is a difference between a concern and a complaint. Taking informal concerns seriously at the earliest stage reduces the number that develop into formal complaints.
The underlying principle is that concerns ought to be handled, if at all possible, without the need for formal procedures.
In most cases, the class teacher, or the individual delivering the service in the case of extended provision, will receive the first approach. It is helpful if staff are able to resolve issues on the spot, including apologising where necessary.
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.
At all stages, confidentiality is important in handling the complaint as it could lead to the implementation of a personnel procedure.
A complaint is distinct from any formal disciplinary procedure. If it becomes apparent that the complaint is a disciplinary or capability issue, then the matter should be dealt with by following the appropriate procedure and not the complaints procedure. The complainant should be notified that their complaint has been referred to the appropriate procedure; they do not have the right to know which procedure or the final outcome, but they can be reassured that it will be dealt with under normal personnel procedures.
The complaints procedure has two formal stages. At each stage, the person or panel investigating the complaint must:
- 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
At each stage, whether informal or formal, it should be clarified exactly who will be involved, what will happen, and how long it will take. There may, on occasion, be the need for some flexibility; for example, the possibility of further meetings between the complainant and the member of staff directly involved and further investigations may be required after the appropriate person has met with the complainant.
Resolving Complaints
At each stage in the procedure the school will keep in mind ways in which a complaint can be resolved. It might be sufficient to acknowledge that the complaint is valid in whole or part.
In addition, one or more of the following may be appropriate:
- an apology
- an explanation
- an admission that the situation could have been handled differently or better
- 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
Complainants should be encouraged to state what actions they feel might resolve the problem at any stage.
An admission that the school could have handled the situation differently is not the same as an admission of negligence.
Equally, an effective procedure will identify areas of agreement between parties.
It is also important to clarify any misunderstandings that might have occurred as this can create a positive atmosphere in which to discuss any outstanding issues.
If the school rejects the complaint, it is important to re-assure the complainant that the matter has been thoroughly investigated.
Written replies to complainants must answer all the points of concern, be factually correct, avoid jargon and tell the person what to do next if they are still not satisfied. It may be appropriate for the Headteacher, Chairman or complaints governor to telephone the complainant but it is good practice to follow this up with a letter to make sure there is no misunderstanding.
Time limits
Time limits are included in the procedure. Where it is not possible to respond to complaints within these timescales, the complainant will be informed in writing of the reason for the delay and given an anticipated response date. The complainant should be allowed a reasonable timescale in which to decide whether to refer a complaint to the next stage.