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Contents

1. Complaints Subject to Separate Statutory Procedures
2. General Principles
3. The First Stage - Dealing with Informal Complaints and Concerns
4. The Second Stage - Formal Consideration by the Head of Centre (or other appropriate person)
5. The Third Stage - Consideration by the Governing Body
6. Further Action

1. Complaints Subject to Separate Statutory Procedures

Nature of Complaint	Appropriate Procedure
Complaint by member of school staff	School grievance procedure
Safeguarding - child protection	LA child protection procedures apply - contact LADO
Special Educational Needs	LEA Statutory assessment procedures apply if parent requests a Statement. Right of appeal to independent SEN tribunal

2. General Principles

• The aim of this procedure is to balance the rights and responsibilities of children, parents and Centre staff.
• The Centre recognises the need to treat all complaints seriously, sensitively and courteously and given the time necessary for the complainant to feel that the matter has been dealt with properly and impartially investigated.
• The procedures will be easily accessible and well publicised.
• A complaint is not part of any staff disciplinary process. Staff who may be questioned, as part of a complaints procedure must be treated fairly and have the opportunity to put forward their case.
• Any member of staff who is complained about will have the opportunity to respond to the complaint during the investigation and will be able to see any response sent as a result of the investigation. If, however, during the course of considering a complaint, the governing body conclude that disciplinary procedures should be initiated, they will consider this as a separate action, as there is a different procedure for schools to follow in terms of dealing with staff disciplinary matters.
• Confidentiality must be maintained at all times. All conversations and correspondence must be treated with discretion. Parents must feel confident that a complaint will not disadvantage their child themselves or the service that they receive. Anonymous complaints should be disregarded unless the complaint can be substantiated.
• Everyone involved in the complaint will need to accept that some sharing of information will be inevitable if the complaint is to be fully investigated.
• All staff and Governors/ management committee should have the opportunity to take part in training to raise awareness of the Centres procedures and to develop their skills in dealing with people who present a complaint.
• All complaints will be recorded and monitored to allow lessons to be learned. Where appropriate any suggested changes to the Centre procedures or systems will be put in place to ensure that problems of a similar nature do not happen again.

3. The First Stage - Dealing with Informal Complaints and Concerns

Guidelines

Most complaints can be resolved informally and often straightaway by a member of staff or the Head of Centre, depending on who the complainant first contacts. Where parents approach a governor at this stage, he/she needs to refer the parent to the member of staff most likely to help.

Parents must feel able to raise concerns with members of staff without any formality, either in person, by telephone or in writing. On occasions it may be appropriate for someone to act on behalf of a parent. At first it may be unclear whether a parent is asking a question or expressing an opinion rather than making a complaint, a preliminary discussion about the issue and whether it needs taking any further may be helpful.

Procedure - Stage 1

Parents need to be given the opportunity to discuss and clarify their concerns with the appropriate member of staff and identify if possible what kind of outcome they are looking for.

This discussion in many cases will lead to immediate resolution.

If the member of staff first contacted cannot deal immediately with the matter, or needs to refer it to someone else, a clear note of the date and name and contact number of the complainant must be made. In either case the member of staff should ensure that the matter is dealt with speedily.

Where the complaint relates to the specific actions of the Head of Centre, the parent should be given the opportunity to meet with her/him to resolve the problem. In some circumstances the complainant may prefer to contact the Chair of governors; this should be respected.

The staff member dealing with the complaint should make sure that the complainant is clear what will happen next (if anything). This should be put in writing only if it seems the best way of making the outcome clear. (Forms to record complaints are in Complaints File in HOC office)

Where no satisfactory solution has been found within 10 Centre working days, the complainant should be asked if they wish their concern to be considered further. If so, they should be advised about how to proceed and about any independent advice available to them.

4. The Second Stage- Formal Consideration by the Head of Centre (or other appropriate person)

Guidelines

If the complaint reaches this stage, it will now be clear that it is definite complaint. In some cases the Head of Centre will already have been involved in the matter, in others, their first involvement.

The Head of Centre has responsibility for the implementation of the complaints procedure, including decisions about their own involvement at various stages. Having different stages in a complaints procedure aims to ensure that more than one person is hearing a person's complaint.

The HOC must make sure that their involvement does not predominate at every stage of a particular complaint; this will be accomplished by the HOC designating responsibility for hearing the complaint or collecting information at either stage 1 or 2. In some cases it may be appropriate for the chair of governors to manage Stage 2 proceedings.

Procedure

Stage 2 complaints should always be in writing unless the complainant is unable to express it in written form (advice and support is available from the Education Authorities Equalities and Special Educational Needs teams as appropriate)

The complainant's letter should be acknowledged in writing within 3 working days of receiving the stage 2 complaint; this should include a brief explanation of the complaints procedure and a target date for providing a response (normally within 10 working days). Where this is not possible, a letter needs to be sent to the complainant explaining the reasons for the delay and giving a revised target date.

It should be possible at this stage to reach an agreed solution and it should be recognised that the aim of the procedure is to progress the matter for the good of the child and family and the Centre. Prolonging a complaint longer than is necessary may be harmful to all parties involved.

The HOC or designated member of staff will at this stage provide an opportunity for the complainant to meet and supplement any of the previous information. The complainant can if they wish be accompanied by a friend, relative or advocate/representative who can speak on their behalf. The HOC may also wish to have another member of staff present to record the proceedings.

Where required, the HOC will interview witnesses and take statements from those involved. (It is the Centre's policy not to disclose the names of the children to parents who may have been involved in incidents with their own children) however, where an incident is considered serious, both the children's parents will be informed and opportunities for discussion will take place.

Once all the relevant facts have been established the HOC will produce a written response to the complainant and he/she may wish to meet the complainant to discuss/resolve the matter directly. The written response should include a full explanation of the decision and the reasons for it. Where appropriate, this will include what action the Centre may have to take for the successful resolution of the problem.

Where the complaint at Stage 2 is against the HOC, arrangements will be made for the proceedings within this stage to be conducted by a single governor (usually the Chair or Vice Chair).

5. The Third Stage - Consideration by the Governing Body

Guidelines

Complaints only rarely reach this stage, but it is important that Governing bodies are prepared to deal with them when necessary. At this stage it would be appropriate to seek advice from the Local Authority.

It is important that this appeal should be, and be seen as independent and impartial. Governors with no prior knowledge or involvement in the case should deal with the appeal. Appeals will not be considered by the full governing body but by a committee established to deal with complaints.

As this may be the last chance for a solution or compromise to be reached, every effort will be made to reach agreement through conciliation or mediation. Help and advice will be sought through the LA. Parents will also be advised to seek advice if they have not already done so.

Complaint appeals should be in written format. In only exceptional cases (see Section 4, The Second Stage - Procedure) will the Centre progress an oral appeal. The appeal should clearly outline why the complainant feels their case has not been dealt with and should be based on evidence and witness statements.

All complaints that reach this stage will have done so because the complainant has not been satisfied by the HOC's response at stage 2 or the original investigation by the governors, where the complaint has been made against the HOC. The Governing body must view the complaint as being against the Centre, rather than an individual staff member whose actions may have led to the original complaint.

Procedures

 Following receipt of a Stage 3 appeal the procedures outlined below will be followed:

1. The clerk to the Complaints Committee will write to the complainant to acknowledge receipt of the written request within 5 working days. The acknowledgement will inform the complainant that the governing body Complaints Committee will consider the complaint, within 20 days of receiving the request.
2. The letter will also explain that the complainant and the HOC have the right to submit any further documents relevant to the complaint. Both parties should send further documentation to the clerk at least eight days before the meeting. All concerned, including the complainant, should receive any relevant documents at least 5 working days prior to the meeting. The notification to the complainant should also inform him/her of their right to be accompanied to the meeting by a friend/advocate/interpreter. The letter should also explain how the meeting would be conducted.
3. The Clerk to the Complaints Committee will convene the meeting of the GCC. In establishing the Committee the governing body will nominate a pool of 5 governors from which 3 can be drawn for the hearing. This will ensure that there will always be sufficient governors with no prior knowledge of the case, or potential conflict of interest, to hear the complaint. The Committee will elect a Chair for the hearing. The HOC or other member of staff will not be a member of the GCC. The Governing body will have regard for the need for an ethnic, gender or other mix of members where appropriate and possible.
4. The Committee may invite members of staff and other witnesses directly involved in matters raised by the complainant to produce a written report, or to attend the meeting. Attendance of other staff or interested parties is at the discretion of the Chair of the Committee.
5. The Corporate Service Director (Schools or Family Support depending on the nature of the complaint) or his/her representative may attend the meeting to advise the Committee.

The aim of the meeting will be to resolve the complaint and achieve reconciliation between the Centre and the complainant, however in some cases it may only be possible to establish the facts and make recommendations as to future actions that will satisfy the complainant that his/her complaint has been taken seriously.

In order not to inhibit people who are unused to formal meetings, the proceedings should be as informal as the situation allows.

At the conclusion of the meeting the Chair should explain that the Committee would consider its decision and write to both parties with the outcome within 15 working days.

All parties to the proceedings should then withdraw to allow the Committee to reach its decision. This should cover:

1. Findings on the substantive complaint
2. Any appropriate action to be taken by the Centre or the complainant
3. Where appropriate, any suggested changes to the school systems or procedures to ensure that problems of a similar nature do not happen again.

A report and any recommendations should be reported to the Centres governing body at the next full meeting.

A written statement outlining the decision of the Committee must be sent to the complainant, HOC and Advice, Conciliation and Mediation Officer at the LA. If any disciplinary action is to be taken against a member of staff, then to protect his/her rights only the phrase "appropriate action has or will be taken" should be used.

The governors will need to ensure that a copy of all correspondence is kept on file in the governor's records.

6. Further Action

1. Except in the circumstances outlined in the Introduction there is no further right of appeal for complainants.
2. Complaints may be made to the Secretary of State for children, schools and families on the grounds that a governing body is acting or proposing to act unreasonably, or that the Governing body or LA has failed to discharge its duties under legislation. The Secretary of State will not consider a complaint unless all local procedures have been exhausted.

End