Emmanuel College Complaints Procedure
Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 1 of 6
Introduction The following document outlines the College’s provision for parents and members of the local community to make complaints about matters other than those which are covered under statutory procedures and shown below*. It is our aim as a Board of Directors to ensure that such complaints are dealt with effectively and as swiftly as possible in order to resolve difficulties and/or identify opportunities for the College to make further improvements to our service. The procedure is not intended to replace the normal discussions which take place in schools on a day‐to‐ day basis on problems and concerns as they arise. Not does it seek to immediately formalise such discussions. However, it is important that all matters of concern to parents or the public are properly noted and outcomes properly recorded, especially where the Complainant may be dissatisfied with the outcome of any stage of the process. This document does not, however, cover those matters already provided for by existing statutory procedures such as those listed*. Details regarding complaints with regard to those matters can be found under statutory provision elsewhere and/or through the College Office: • • • • •
Admissions and Exclusions Collective Worship Provision for those with Special Educational Need Curriculum Child Protection
Principles The Emmanuel College Complaints Procedure seeks to ensure that: • • • • •
we listen to, and act upon, every complaint from parents and from the general public; all complaints are investigated thoroughly, fairly, and promptly, and Complainants are, at all points, kept fully informed in writing as to how their complaint is progressing; we begin all investigations with the priority aim of persevering until we believe a truthful, honourable and equitable resolution has been achieved; all complaints are dealt with in conjunction with any and all other College policies regarding, for example, student behaviour and discipline, sanctions and parental communication, and that complaints are treated impartially and with no preference or disadvantage given on the basis of who has made the complaint
Definition of ‘Complaint’ In many cases, parents’ initial disquiet with any matter concerning the College will result in contact made with an individual member of staff. Usually it is the parent or member of the public who will decide how seriously they view that disquiet by deciding who to contact. At the most basic level, this disquiet is most likely to be described as a “concern” and it is hoped that raising this concern will result in an adequate response from staff without it becoming formalised within a procedure. In this regard, the College seeks to handle such expressions of concern according to the same principles outlined above. Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 2 of 6
Should the person concerned deem the matter to be serious, or should they be unhappy with the manner in which their initial concern has been handled, it is likely that they will wish to formalise their concern as a “complaint”. From this point onwards, it is important to follow a clear formal process and for detailed records of actions to be kept throughout. The first step in such a process will be for the College to identify what, if any, informal steps have already been taken to seek to resolve matters when first expressed as a “concern”.
Role of Directors The Board of Directors seeks to work in partnership with staff to ensure the proper implementation of this procedure and so will maintain a monitoring and evaluation role in this context. Should matters develop beyond the remit of the Principal, Board Members will become involved on two levels (see 10‐21 below) but the Board as a whole will retain an overview of how the Policy is being followed. If an individual Director is approached about a complaint then s/he should direct the Complainant to this procedure and to the appropriate way in which they should formalise any complaint. The Director shall not become involved any further in relation to any resulting complaint, outside of any formal role which they may take up in the matter at any stage. Directors asked to serve in any formal part of any complaint shall declare any potential conflict of interest in any matter in advance of their involvement or at any stage during any process.
Investigating the Complaint In terms of the investigation of complaints, the procedure makes provision for three stages, as follows: Stage 1(Informal) – School Level The College will carry out the investigation of the complaint. It will be the Principal’s responsibility to decide who should conduct the investigation as and when a ‘concern’ becomes a written complaint. If the issue is not resolved to the Complainant’s satisfaction, he or she shall be advised of their right to proceed to the formal stage of the procedure. Stage 2 –Nominated Complaints Director The Complainant writes to the Nominated Complaints Director outlining why they are not satisfied with the College’s actions on the matter. At this stage, all existing records on the matter will also be forwarded to this Director but no detail will be forwarded or discussed with other Directors. Confidentiality is also important in handling all complaints, especially as it could lead to the implementation of a personnel procedure. The Nominated Complaints Director is not expected to re‐conduct an investigation but does need to be sure that issues have been dealt with properly and fairly and that written records bear this out. If the Nominated Complaints Director has any concerns about the way the process was conducted, it may be necessary to ask the Principal to re‐open the investigation. Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 3 of 6
The Nominated Director should conclude his/her investigation into the matter and write to the Complainant and to the Principal with their judgement within 15 school days of the written complaint being made to them. Should there be any delay in this projected timescale (for example under 12. above), he/she will notify the Complainant of this in writing. At all points, written correspondence should aim to answer all the points of concern succinctly, avoid jargon and tell the person what to do next if they are still not satisfied. It may be appropriate for the Nominated Complaints Director to speak with the Complainant but all decisions must be followed up in writing in order to ensure that there is no misunderstanding. Stage 3 – Board of Directors’ Complaints Panel If the Complainant is still not satisfied, he or she must write for a final time to the Complaints Panel which shall consist of three Directors, excluding any Director with prior involvement in the case or with a conflict of interest. This Panel shall hear the complaint and make a final decision about it on behalf of the Board of Directors. The Panel shall normally be chaired by the Chairman of Directors. The primary function of the Complaints Panel is to conduct a Hearing to decide on the merits or otherwise of the complaint and the appropriateness or otherwise of the resolution offered by the College and Nominated Complaints Director thus far. However, the Panel will also seek to continue to achieve resolution if at all possible. By the end of the Hearing, the Panel shall reach a decision on whether the complaint is upheld or rejected and may call for certain further action to be taken by the College and/or the Complainant if felt to be appropriate. The Panel shall receive all written records held by the College regarding the complaint and the action taken to date to resolve it. All such written evidence shall have been circulated to all parties before the Hearing. The Hearing shall be arranged within 15 College days of the Panel receiving the Complainant’s rejection of the Nominated Director’s decision, and having provided all parties with written detail of the following process, giving at least 10 days’ notice • • • • • • • •
Introduction of attendees and the matter in hand by the Chair of the Panel The Complainant makes statement of complaint, including the calling of any relevant witnesses, and outcome sought Questions/clarifications requested from the Complainant and witnesses by the Principal and by the Panel The Principal makes statement, including the calling of any relevant witnesses Questions/clarifications requested from the Principal and witnesses by the Complainant and by the Panel The Complainant makes final statement The Principal makes final statement The Panel withdraws and reaches decision
The Hearing will be minuted by a clerk nominated by the Panel who shall also be committed to retaining the confidential nature of proceedings. It would not be appropriate for a Director to act as the clerk. Both the Complainant and the Principal are entitled to be accompanied by a friend as support or as someone who can speak on their behalf if necessary. Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 4 of 6
The decision reached by the Panel shall be notified to the Complainant and to the Principal in writing within 3 College days and to the next Full Meeting of the Board of Directors although this latter record shall only be in general form. The Board shall also maintain records of complaints which reach beyond Stage 1 and shall monitor the effectiveness of its procedures in these regards.
Independent Review If the Complainant remains dissatisfied with the response by the Board of Directors’ Panel, he or she has the right to refer the matter to the Secretary of State for Education and Skills on the grounds that the Board was failing to discharge a statutory duty or had acted, or was proposing to act, unreasonably.
Communicating the Procedure A copy of the procedure shall be made readily available to parents in hard copy and also on the College website.
Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 5 of 6
Flowchart Summary of Model Procedure 1.1 Stage 1 – Informal A Complainant is welcome to raise any concern with the College by contacting the Principal who will nominate an appropriate person to seek a resolution to the matter.
Is the matter resolved? Yes. No further action is taken but a log is entered on the Student’s and/or Staff’s Record File(s) as appropriate.
No. The Complainant is invited to submit a written complaint responsible for complaints.
to the Director handling such
1.1 Stage 2 - Formal A written complaint is made to the Nominated Complaints Director who investigates the complaint and writes to the Principal and to the Complainant within 15 College days with the proposed resolution.
Is the matter resolved? Yes. No further action is taken but a log is
No. The Complainant is invited to submit a
entered on the Student’s and/or Staff’s Record File(s) as appropriate.
second written complaint, this time to the Chairman of Directors, stating why they remain unhappy with the proposed resolution.
1.1 Stage 3 - Formal The Chairman of Directors calls together the Directors’ Complaints Panel who convene and consider the position, giving final decision on the matter in writing to the Principal and to the Complainant within 3 College days. This Panel’s decision is final.
Is the matter resolved? Yes. No further action is taken but a log is
No. The Complainant may decide to
entered on the Student’s and/or Staff’s Record File(s) as appropriate.
write to the Secretary of State for Education and Skills because they remain dissatisfied with the Board of Directors’ resolution.
Human Resources Author: Lou Hassen Version: 1 Review Date: Dec 2012 Page 6 of 6