Archdiocese of Westminster
No-one likes
criticism but an open organisation will always be willing to listen to concerns
and anxieties and be ready to learn from them if appropriate. In a school, most
concerns are likely to be expressed by parents of its pupils, though some may
come from pupils themselves, parishioners, or from other interested parties
such as neighbours or users of the premises.
In a Catholic
school, parental concerns are of particular importance. As the first educators
of their children, parents have a duty to take an active interest in their
school. “Since parents have given children their life, they are bound by the
most serious obligation to educate their offspring.” (Gravissimum
Educationis). To this end, “there must be the closest co-operation between
parents and the teachers to whom they entrust their children to be educated. In
fulfilling their task, teachers are to collaborate closely with the parents and
willingly listen to them.” (Can.796) In a Catholic School, therefore, dealing
with parental concerns will be an intrinsic part of the school’s ethos and
mission. In addition, terms of reference for governing bodies now include the
legal obligation to “be open about the decisions they make and the actions they
take and in particular ........ to explain their decisions and actions to
interested parties”. (The Education (School Government) (Terms of Reference)
(England) Regulations 2000). Thus a climate of openness and partnership is
essential.
Nearly all concerns or questions can be resolved
very quickly and informally if parents feel able to voice them as soon as they
arise. Obviously, the more information the school gives to the parents the less
scope there is for misunderstanding. As part of this information, parents could
be told that feedback is always welcome and that, therefore, they are warmly
encouraged to voice any concerns straightaway, preferably to the person
concerned. In most cases, discussion, explanation, further information – or an
apology if appropriate – will resolve the issue. Every effort should be made
to allay concerns at this level and with the least possible formality. The
ideal is that no concern should ever become a formal complaint.
Occasionally, however, a concern will be too
serious to be handled in this way, perhaps needing greater investigation; or
the person concerned may not feel that the answers given so far have been
acceptable or adequate. In such circumstances, the concern will become a complaint
and the formal procedure should be followed. Even in these cases, every effort
should be made to resolve the issue at the lowest possible level of the
procedure. It should be very rare indeed that a complaint needs to be decided
at the Appeal Stage by a Governors’ Committee.
At every stage of the
formal procedure, the handling of the complaint will be:
q
non-adversarial
q
swift (using agreed
time limits)
q
fair (using
independent investigation where necessary)
q
confidential
Throughout the process,
the school will be willing:
q
to listen
q
to learn
q to admit mistakes
q to apologise if appropriate
q to address any issues raised
q to change school practice if appropriate
In
using this procedure:
q
staff are asked to be aware that complainants may feel intimidated by
the school as an institution and unsure whether they will be treated fairly
q
complainants are asked to be aware that those complained about,
especially individual members of staff, may feel very vulnerable during this
process
Throughout the procedure, therefore, the aim of all
parties should be not only to resolve the complaint but also to develop and
sustain good relationships between all members of the school community. However
formal or serious the complaint, or however dissatisfied the complainant, the
aim will always be reconciliation between all parties and a renewed commitment
to work together amicably. The gospel values of justice and forgiveness should
always underpin the entire process.
This Complaints Procedure does not apply to:
q
members of staff (who should use their own Grievance Procedure)
q
procedures with their own appeal structure e.g. admissions and
exclusions
q
concerns about the delivery of the National Curriculum.
It is also totally
separate from any Disciplinary or Capability Procedures. If the investigation
of any complaint were to lead to concerns on the part of the headteacher or
governors about the capability or conduct of a member of staff, these would not
be discussed or dealt with within this procedure.
There
are three stages to the formal procedure:
Complaint heard by a member of staff (not the subject of the complaint).
Schools are recommended to designate a member of
staff as the Complaints Co-ordinator, to whom all complaints will be addressed
in the first instance. The name should be publicised to parents with the
Procedure.
The member of staff designated as complaints
co-ordinator will, obviously, need to be held in high professional esteem by
staff, governors and parents. Status in the school hierarchy will be less
important than personal qualities and interpersonal skills. Sensitivity,
assertiveness, efficiency and articulateness are likely to be particularly
required.
The complaints co-ordinator will either hear a
complaint personally or, where appropriate, refer the matter to another member
of staff. The co-ordinator will also keep records of each complaint and of
action taken in regard to it (preferably using an agreed proforma e.g. as in Appendix
A) so that the senior managers and governors of the school can be kept informed
of all issues that arise and as a result can change or develop school practices
where necessary or appropriate. Thus complaints about the school can be used
positively as a self-evaluation tool.
Complaint heard by the headteacher.
Complaint heard by Governing Body’s Complaints Appeal Panel.
If unsatisfied at Stage 1 or 2, the complainant can
take the complaint to the next stage.
NB
The aim is to resolve the complaint at this level.
1.1
The complaint
should be addressed in the first instance to the designated member of staff
(the complaints co-ordinator) . This may be done in person, by telephone or in
writing. In very small schools, the designated member of staff may have to be
the headteacher, in which case the procedure will start at Stage 2.
1.2
The complaints
co-ordinator will log the complaint (See Appendix A for a sample record form)
and either investigate the complaint personally or refer it to an appropriate
member of staff. In making this decision, the co-ordinator will be sensitive to
any indication that the complainant would have difficulty discussing the complaint
with a particular member of staff.
1.3
If the complaint
concerns the headteacher, the co-ordinator should refer it to the chair of
governors and, in courtesy, inform the headteacher that this has been done. If
the complaint concerns the chair of governors, the co-ordinator should refer it
to the vice-chair.
1.4
Whoever
investigates the complaint will:
q establish what has happened so far, and who has
been involved;
q clarify the nature of the complaint and what
remains unresolved;
q meet with the complainant or contact them (if
unsure or further information is necessary);
q clarify what the complainant feels would put
things right, clearing up any areas of misunderstanding, identifying areas of
agreement and discussing what might be possible;
q interview those involved in the matter and/or
those complained of, allowing them to be accompanied if they wish ( - this
should include adults and pupils as appropriate, whether main players or
witnesses- );
q conduct each interview with an open mind and be
prepared to persist in the questioning;
q
keep notes of each
interview.
1.5
Timescales. Within ten school days of receiving the
complaint, the investigator will complete the investigation and contact the
complainant to arrange a meeting. (See 1.6). At any point in the
process, the complaints co-ordinator may decide or agree to commission a
further investigation, whether by a member of staff or an independent person.
If this occurs, the timescale may be extended and the complainant must be
informed of the extension and the reason for it.
1.6
When the
investigation is complete, the member of staff investigating will meet the
complainant to try to resolve the complaint. Every effort should be made to
try to resolve the complaint at this meeting. Any of the following may be
appropriate at this point:
q an acknowledgement that the complaint is valid in
whole or in part;
q an apology;
q an explanation;
q a clarification of misunderstandings;
q an admission that the situation could have been
handled differently or better;
q an assurance that the event complained of will not
recur;
q an explanation of the steps that have been taken
to ensure that it will not happen again;
q an undertaking to review school policies in light
of the complaint.
Some of the above may require that the investigator seek authority from the head teacher. Naturally, nothing should be offered or promised that cannot be justified or fulfilled.
1.7 If the complaint cannot be resolved, the complainant may refer it to Stage 2.
(*In very small
schools, this stage may be the start of the procedure – see 1.1)
2.1
Where a
complaint has not been resolved at Stage 1, it will be referred to the
headteacher unless the original complaint concerned either the
headteacher or the chair of governors in which case the complainant may refer
it straight to Stage 3.
2.2
The headteacher
will either investigate the complaint personally or refer it to another senior
member of staff (who has not so far been involved) or arrange for an
independent investigation if appropriate. At this point it is possible that the
complaint will have escalated to include a complaint concerning the manner in
which the original complaint has been handled. Both parts of the complaint
would in this case need to be investigated.
2.3
In conducting
the investigation, the investigator will operate in accordance with section 1.4.
2.4
Timescales: Within ten school days of receiving the complaint,
the investigator will report back to the headteacher. Within a further three
school days, the headteacher will contact the complainant and arrange a
meeting. (See 2.5) At any point in the process, the headteacher may
decide or agree to commission a further investigation, whether by another
senior member of staff or a governor or an independent person (eg from the
diocese or the LEA or another appropriate agency depending on the nature of the
complaint). If this occurs, the timescale may be extended and the complainant
must be informed of the extension and the reason for it.
2.5
When the
investigation is complete, the
headteacher will consider the evidence and, whether or not he or she
investigated the matter personally, will meet the complainant (with or without
the person who conducted the investigation if different) to try to resolve the
complaint. Every effort should be made to resolve the complaint at this
meeting. Any of the suggestions in section 1.6 may be appropriate at
this point.
2.6
If the complaint
cannot be resolved, the complainant may refer it to Stage 3.
Stage 3
Complaint Heard by Governing Body’s Complaints Appeal Panel
3.1
A Complaints
Appeal Panel, consisting of three governors, should be appointed annually by
the governing body. This panel will have delegated power to hear and finally
determine complaints. Ideally, the make-up of the panel should reflect the
make-up of the governing body and/or the profile of the pupils in the school.
Any governor who has prior involvement in or detailed knowledge of a particular
complaint or its investigation may not sit on the panel hearing that complaint.
It would be advisable, therefore, for the governing body to agree alternative
panel members in case of such a circumstance.
3.2
To trigger Stage
3, the complainant will have been dissatisfied with the school’s approach to
the complaint in the first two stages and must now put the complaint in writing
to the chair of governors. The chair will check what has happened so far and,
if the procedure has been properly followed and it is appropriate to move to
Stage 3, he or she, or a nominated other governor, will - via the clerk -
convene a Governing Body’s Complaints Appeal Panel. If the original complaint
concerned the chair of governors and was referred to the vice-chair at Stage 1,
the vice-chair will tell the complainant the name of the nominated governor for
a referral to Stage 3. (see section 3.1)
3.3
This is the
final stage of the procedure. There is no further redress or appeal. It is,
therefore, vital that, in the spirit of the procedure, the Appeal Panel should:
q be prepared to hear complaints without
preconceptions;
q examine and discuss the matter fully so that they
ensure that they have every piece of information or evidence that they require;
q be prepared to commission, organise or conduct
further investigations if necessary;
q give the complainant the opportunity to express
their dissatisfaction and worries and to suggest what might put things right;
q be prepared to take whatever action is required.
3.4
Timescales. The date of the Appeal Panel Meeting should
be agreed by all parties within five school days of the receipt of the written
referral of the complaint. The meeting itself should be held within fifteen
school days of the receipt of the referral. If the complainant or the
headteacher wishes to submit information in writing to the panel, they should
send it to the clerk to the governors at least five school days before the
meeting. As far as possible, the meeting should not be delayed if the referral
comes at the end of a term, especially at the end of the summer term. Since the
aim of the procedure is to resolve the issue and effect reconciliation if
necessary, it will be best if the matter can come to the panel as quickly as
possible, especially as the complainant will already have been engaged over a
protracted period in attempts to put things right.
3.5
Before the
meeting: Members of the panel
should consider carefully any documentation from the headteacher or the
complainant but should not discuss the matter with any one, including the other
members of the panel, before the meeting. This is in the interest of fairness
and natural justice. The appeal panel must operate scrupulously as an
independent arbiter of the complaint.
3.6
Conduct of
the meeting – to be borne in mind:
q One of the panel must act as chair and there
should be a clerk for the meeting.
q A member of the diocesan Department of Schools may
be invited to advise and support the panel.
q The meeting room should be private and as
informally laid out as possible in order to encourage a spirit of partnership.
It is very important that there should be nothing adversarial about the
proceedings. The tone of the whole meeting will be set by the atmosphere of the
room in which it is set and by the way people are greeted. Panel members should
be sensitive to the vulnerabilities and sensitivities of all concerned. Parents
may be emotional when talking about their child; the headteacher and others
involved in the earlier investigations may fear that their professionalism
could be under attack. Everyone needs to remember that the aim and purpose of the
meeting is to resolve the complaint and find ways of going forward together. It
is possible that the complainant may not be satisfied with the outcome if the
panel does not find in their favour, but the conduct of the meeting can go a
long way towards smoothing such dissatisfaction. At the very least, every
complainant should feel at the end that their complaint has been taken
seriously and examined impartially.
q Very special care should be taken if the
complainant is a child or if there are child witnesses. Children’s views should
be given equal consideration to those of adults. If a parent has complained on
behalf of a child, the parent should be given the opportunity to say which
parts of the meeting the child needs to attend.
3.7
Role of the
Clerk The clerk will:
q confirm to all parties in writing the date, time
and venue of the hearing;
q receive and distribute any documentation to be
read before the hearing;
q meet and welcome all parties as they arrive at the
hearing;
q record the proceedings;
q notify all parties of the panel’s decision. (The
wording of any letters will be agreed with the chair of the panel.)
3.8
Role of the
Chair of the Panel The chair will
ensure :
q that the procedure is properly followed (with the
support of the diocesan Department of Schools if requested);
q that the procedure for the hearing of the
complaint is explained to all parties and that all parties have the opportunity
to put their case without undue interruption;
q that the issues are addressed;
q that all parties are put at their ease, especially
any who may not be accustomed to speaking at such a hearing;
q that the proceedings are kept as informal as
possible and that everyone treats each other with respect and courtesy;
q that the panel operates in an open-minded and
independent way;
q that time is given for all parties to consider any
‘new’ evidence.
3.9
Order of
Proceedings for the Hearing of the Complaint
q Welcome, introductions and explanations of the
proceedings by the chair.
q The complainant is invited to explain the
complaint.
q The headteacher may question the complainant.
q The panel may question the complainant.
q If there are any witnesses for the complainant,
each one is invited into the hearing in turn and in each case the witness is
invited to speak, then the headteacher may question them, and then the panel
may question them. In each case, the witness may leave after their ‘evidence’.
q The headteacher is invited to explain the school’s
actions.
q If there are any witnesses for the school, they
are treated in exactly the same way as the witnesses for the complainant.
q When the chair is sure that all parties have asked
all that they need to, the complainant is invited to sum up their complaint.
q The headteacher is then invited to sum up the
school’s actions and response to the complaint.
q The chair explains that both parties will hear
from the panel within three school days following the day of the hearing.
q Both parties leave together while the panel
decides on the issues (advised by the diocesan Department of Schools member if
there).
3.10
Options Open
to the Panel The panel may:
q dismiss the complaint in whole or in part;
q uphold the complaint in whole or in part;
q decide on the appropriate action to be taken to
resolve the complaint;
q recommend changes to the school’s systems or
procedures to ensure that problems of a similar nature do not recur.
3.11
After the
Hearing The following actions
need to be taken.
q The chair of the panel agrees with the clerk the
wording of the letter to be sent to both parties. The clerk then ensures that
the letter is sent out in accordance with the agreed timescale.
q The clerk writes up the notes of the meeting and
gives a copy to the chair of the panel.
q The clerk ensures that any recommendation to
change school procedures is put on the agenda for the next governing body
meeting.
3.12
Vexatious
Complaints: If the complainant,
still dissatisfied, tries to reopen the same issue, the chair of governors is
able to inform them in writing that the procedure has been exhausted and that
the matter is now closed.
The governing body needs
to adopt the procedure formally and then to review and re-adopt it annually.
They also need to ensure that staff are confident in its use and that it is
appropriately publicised to all interested parties, especially parents. It
could be included in the school prospectus, sent out with a newsletter or
placed on the school’s website. It will also be available on the diocesan
website.
In
order to turn complaints to positive effect, it is important that records are
kept so that at regular intervals (perhaps termly) both the senior managers of
the school and the governing body can reflect on issues that have arisen and on
the way in which they have been handled. The complaints co-ordinator is the
most obvious person to hold these records and to collate them into a report for
the headteacher (if he or she is not the co-ordinator) and the governing body.
Such a report could be a valuable self-evaluation tool. The governing body may
also wish to consider reporting to parents any changes which have been made to
the school’s procedures as a result of parental feedback. (It need not be
specified that the feedback was in the form of a complaint!)
Sometimes
a complainant may be unfamiliar with, or unaware of, the complaints procedure;
sometimes they may choose to take their complaint straight to governors or to
other parties, such as the diocese or the LEA. In every such case, the procedure
must be strictly adhered to, and the complaint redirected to its proper stage
in the procedure. It is, therefore, important that all members of staff and all
governors are fully aware of the procedure and that it is publicly available.
It is particularly important that governors know that they must not attempt to
deal with complaints themselves, but should tell complainants to take their
complaint to the school’s complaints co-ordinator.
In unusual cases
the Secretary of State may have the power to intervene if the governing body of
the school has acted as no reasonable governing body would act. This is very
unlikely to be the case unless the whole of the school’s own complaints
procedure has been exhausted.
SEPTEMBER
2003
APPENDIX A
EXAMPLE OF A COMPLAINT RECORD FORM
(could be used for Stage
1 and Stage 2)
PART A RECORD OF COMPLAINT
Complainant’s
Name:
Address:
Telephone:
Details of
the Complaint:
Date
Complaint Made:
Action
Already Taken to Resolve the Matter:
Complainant’s
View of what might resolve the issue:
PART B ACTION TAKEN IN ACCORDANCE WITH THE
COMPLAINTS PROCEDURE
Complaint
Investigated By:
Action (with
dates):
Date of
formal meeting with complainant:
Outcome of
the Meeting: