Managing School Complaints

Managing School Complaints Welcome Rebecca Walker Clive Haines

The aims of this session To outline the statutory requirements on schools and governing boards in terms of how they manage complaints To look at best practice and recommendations regarding school complaints procedure.

Who can make a complaint The DfE's advice for maintained schools says that any person can make a complaint about "any provision of facilities or services that a school provides, unless separate statutory procedures apply (such as exclusions or admissions)". Academies: “… should make clear how those who are not parents or carers at the school can make a complaint.” Academies may use one procedure for both types of complainant, or may have different procedures.

The Law Maintained schools are required to have a procedure in place for managing complaints under section 29 or the Education Act 2002 Academies must have a complaints procedure that meets the standards set out in Schedule 1, Part 7 of the Education (Independent School Standards (England) Regulations 2014. The school’s complaints procedure(s) must be published on the website.

The school’s complaints procedure should be simple to understand and use should be impartial and non-adversarial should enable full and fair investigation where necessary respects confidentiality addresses all the points at issue and provides an effective response and appropriate redress, where necessary provides information to the school’s senior leadership team so that the school’s services and processes can be improved

What’s NOT covered by complaints procedure? Admissions Appeals Pupil Exclusions Complaints re statutory assessment of SEND Child Protection-related concerns/allegations Whistleblowing Staff related (grievance/disciplinary/capability) School re-organisation proposals

DfE / ESFA Guidance The DfE has published guidance for maintained schools and (separately) for academies to help them develop their complaints procedures:

Can we use a model procedure? Yes, but it must be tailored to meet the needs and circumstances of the school. It is important that the school rigorously follows its published complaints procedure when handling a complaint. Note: DfE has published a new model procedure: https://www.gov.uk/government/publications/school-complaints-procedures

How many stages should it have? Maintained schools: The DfE’s guidance says maintained schools are free to choose how many stages their procedure will include but recommends that two formal school-based stages are likely to be sufficient, ie: Initial informal stage(s) where appropriate Formal stage 1: Investigation & written response Formal stage 2: Governor appeal panel & written response

How many stages should it have? Academies: Academies’ complaints procedures must include: An informal stage (usually a meeting with the complainant) A formal stage (the complaint is put in writing and considered) A panel hearing - where the panel must include at least one person independent of the management and running of the academy. The DfE says…

Academy complaints panel “The panel cannot be made up solely of governing body members because they are not independent of the management and running of the academy. It is a matter for the academy to identify suitably independent individuals who can fulfil the role and responsibility of being the independent member.”

Governors’ involvement & knowledge Governors should not be involved in the early stages of a complaint. If a complainant raises a concern with a governor, the governor should refer them to the school’s complaints procedure. Complaints should not be shared with the whole governing board (except in general terms, such as the school reporting to the board on any resulting improved school practice following a complaint) as this would make it difficult to arrange a governor appeal panel, if one is needed.

Informal / formal stages: Informal stage: a concern is put to a member of staff who looks into it (or asks someone else to, as appropriate) and responds. Often called Stage 1. Formal stage: a complaint is put in writing to the Headteacher* who will conduct an investigation and will respond in writing. Often called Stage 2. *unless complaint is about the Headteacher. See later slides. Clear timelines should be specified in the complaints procedure, so everyone understands the expectations.For example…..

Informal stage - suggested timeline: The complaints procedure should state that any incoming concerns will be passed initially to the appropriate person, who will look into it and respond within x days. And, if the complainant is not satisfied with their response…

First stage of formal complaint • … the complainant may make a formal complaint to the Headteacher* *If the complaint is about the Headteacher, or about a governor the formal complaint should be made to the chair of the governing body (or to another nominated governor, if that’s what it says in the procedure.) *If the complaint is about the chair, or about the governing board (in part or as a whole) then the formal complaint should be addressed to the clerk, who will pass it to an appropriate person to investigate.

Formal complaint - considerations • It’s a good idea for schools to have a complaints proforma, to help clarify the complaint and what actions have been taken so far to try to resolve it. • Accessibility: there may be instances where a complainant needs help to explain their complaint – the investigator should consider and arrange this. • It is important for the Headteacher / governor investigating to identify what outcome the complainant is looking for to resolve his/her complaint.

The complaint investigation: The Headteacher / governor investigating Interviews the involved parties (recommend note-taker) Produces an investigation report, including the evidence considered, the findings and any recommendations. Writes an outcome letter to complainant; stating- whether the complaint is upheld (wholly/partially/not) - any recommendations being made to the school* - how to proceed to the next stage, should the complainant be dissatisfied with this outcome *Not including any employment-related processes arising

Complaint investigation - suggested timeline: HT/investigator to keep complainant informed if, due to circumstances, is likely to exceed timeline. Where the Headteacher delegates another member of the SLT to do the investigation, the outcome letter must still come from the Headteacher. And, if the complainant does remain dissatisfied…

Second stage of formal complaint: … the complainant may ask for a panel of governors to review the complaint This is the second formal stage of the complaints procedure (sometimes called Stage 3) It should only happen AFTER the Headteacher / investigating governor has had the opportunity to complete Stage 2. SO WHAT IF…A letter arrives addressed to the chair / clerk… What is the next step?

Purpose of the governor panel The DfE’s Jan 2019 guidance for maintained schools says “ The appeal stage is heard by members of the governing body who’ll consider the complaint afresh. This makes sure that: • Decisions are not taken in isolation • There is always a mechanism by which decisions are considered independently” The DfE does not recommend that the panel only considers the handling of the complaint at earlier stages. The DfE will look at this, if it’s appealed to.

Suggested timeline for governor panel

Things to consider at panel stage Maintained schools: (does NOT apply to academies) Does your complaints procedure allow for the Panel (at the GB’s discretion, and only in certain instances) to consider the complaint via documentation only?Note – If taking this route, neither complainant nor investigator should be invited (equal treatment). Academies must invite the complainant to the panel meeting.

Governor Complaint Review Panel • Panel chair welcomes and makes introductions • The complainant puts his/her case • The Headteacher / investigating governor presents his/her findings • Either party asks questions of the other, when invited to do so by the chair. • The panel asks questions of the complainant and investigator/Head at the appropriate times • Witnesses may be called by either party.

Panel decisions • Once the representations have been heard, all parties withdraw and the panel reaches its decision whether: • the complaint is upheld / partially / not upheld • any appropriate further action is required • it will make any recommendations to review or change school policy or procedure as a result of its findings.

The outcome letter • This sets out the panel’s findings: ie • whether the complaint is upheld / partially / not upheld • what recommendations to review or change school policy or procedure will be made • States that this concludes the school-based stages of the complaints procedure, and that no further related correspondence will be entered into. • States the complainant’s further right to appeal….

Taking the complaint further Maintained schools: Complainants may contact the School Complaints Unit (the address should be given in the letter.) See the DfE guidance on the role of the SCU Academies: Parents who are not satisfied about the handling of their complaint may contact the Education Funding Agency through a web-link to its school complaints form. See Sn 4 of the guidance for the role of the ESFA in looking at complaints.

Serial and Persistent Complaints The DfE’s most recent guidance (Jan 19) has useful recommendations on how schools could address: • Complaints ‘campaigns’ • ‘Serial and persistent’ complaints The guidance recognises there will be occasions when, despite all stages of the school’s complaints procedure having been followed, the complainant remains dissatisfied. It continues…

Serial and Persistent Complaints “It is a poor use of schools’ time and resources to reply to repeated letters, emails or telephone calls making substantially the same points. “If a complainant tries to re-open the same issue, the chair of governors can inform them that the procedure has been completed and the matter is now closed. “If the complainant contacts the school again on the same issue, then the correspondence may be viewed as ‘serial’ or ‘persistent’ and the school may choose not to respond”

‘Frivolous’ or ‘vexatious’ complaints Defined by the Office of the Independent Adjudicator as • complaints which are obsessive, persistent, harassing, prolific, repetitious • insistence upon pursuing unmeritorious complaints and/or unrealistic outcomes beyond all reason • insistence upon pursuing meritorious complaints in an unreasonable manner • complaints which are designed to cause disruption or annoyance • demands for redress that lack any serious purpose or value

Policy for serial and unreasonable complaints The DfE recommends schools have a policy defining how they will manage serial and unreasonable complaints, and that they refer to this in their complaints procedure - so that expectations are clear. There is a DfE model policy available at https://www.gov.uk/government/publications/school-complaints-procedures The guidance also gives the criteria to be considered before making the decision “when to stop responding” and considers the use of communications strategies.

Barring from school premises Schools can bar someone from the premises if they feel that their aggressive, abusive or insulting behaviour or language is a risk to staff or pupils. It’s enough for a member of staff or a pupil to feel threatened. A process must be followed – and the person barred must be allowed to present their side. See handout See also the DfE’s guidance “Controlling Access to School Premises” https://www.gov.uk/government/publications/controlling-access-to-school-premises/controlling-access-to-school-premises

Your next step… • Reviewing your school’s complaints procedure: • Is it clearly laid out - as to the process in place to address complaints, and as to the school’s boundaries in regards to unreasonable/serial? • Does it include time-scales, to set expectations? • Is it easy to find on the school’s website? • And, bearing in mind that you need to rigorously follow your school’s procedure, when a complaint is received…. does it work for your school?

Any questions? ? For further support and advice, contact: Rebecca.Walker@achievingforchildren.org.uk

Managing School Complaints