Complaints Procedure 2004

Newtown C.E. (Voluntary Controlled) Primary School


General Complaints Procedure


The following is the policy adopted for use by Newtown Primary School and is intended as a good practice guide. It does not however cover those aspects of school life for which there are specific statutory requirements: in particular: -

- Arrangements under section 409 of the Education Act 1996 for complaints about the delivery of the National Curriculum
- The provision of collective worship and religious education

In addition, different appeals/complaints procedures are required for the following: -

- Concerns about schools admissions and exclusions (which have specific appeal rights);
- Allegations about child abuse, financial improprieties or other criminal activities;
- Any complaints about contracted staff;
- Complaints about general matters of school policy, such as the overall resourcing of the school.

General Principles

As part of Newtown School's general home/school policy, parents and pupils are encouraged to express their views on what goes on within school, so that staff receive an early warning of any potential difficulties, and many problems can be prevented from arising.

Certain general underlying principles will be observed whenever concerns or complaints are raised: -

1. Publicity: Parents are assured that they may raise concerns or lodge a formal complaint at any time. A summary of how the school deals with complaints is available to parents when their child joins the school and may be obtained from the school office. If parents contact the Local Education Authority with their concerns when the school's internal procedures have not been exhausted, they will be referred back to the school.

2. Procedures should be as speedy as possible: Each stage of the procedure which follows in this document has specific time limits. Where it is not possible to meet these limits, consistent with fairness to all concerned, information about the progress of the procedure will be given to the complainant.

3. Support for the complainant: Parents are assured that they may go to the school office or the Chairman of Governors for information, advice or advocacy, if they require it. Support may also be offered from individuals or organisations that are clearly separate from those complained against, such as Citizen's Advice Bureaux, Community Relations Councils, and other local advice centres. Useful help may also be available however from individual Governors or Officers of the Local Education Authority (such as Education Welfare Officers or Parent Partnership Officers), provided that they are able to remain apart from any later stages in the procedure when they might otherwise be called upon to make a judgement on a complainant's disagreement with the school.

Parents raising complaints or concerns will be invited to be accompanied by a friend, a relative, or a representative at any stage of the procedure.

4. Support for a person complained against: Staff who may be questioned as part of a complaints procedure investigation must feel that they are being treated in a fair way, and that they too will have an opportunity to put their case. They will be told about the procedure and be kept informed of progress. Every effort will be used to maintain the crucial balance between supporting the individual so that his/her rights and reputation are protected, and investigating a complaint thoroughly and impartially.

The complaints procedure is distinct from formal disciplinary proceedings for staff and this will be made clear to all concerned. There may be occasions when a complaint launches a disciplinary procedure, which puts the complaints on hold. If so, the complainant will be informed of this and any non-disciplinary aspects of the complaint dealt with by the usual complaints procedure. The complainant will be updated every 3 weeks on the likely further delay. It may be clear after the disciplinary procedures have been completed, that particular responses to the complainant are required, for example, an apology or an explanation of new policies to avoid a similar problem from occurring in the future.

4. Confidentiality: Conversation and correspondence associated with a concern or complaint will be treated with discretion. It is felt to be vitally important that parents feel confident that their complaint will not penalise their child. However from the outset all parties to a complaint will need to be aware that certain information may have to be shared with others involved in the operation of the complaints procedure.

Anonymous complaints are likely to be disregarded unless somebody is prepared to substantiate them. If however the foreseen eventuality occurs, to the detriment of the school, the complainant may subsequently surface and say that she/he alerted the school even though the complaint was not signed. It will therefore be at the Headteacher or Governing Body's discretion to decide whether the gravity of any anonymous complaint warrants an investigation.

5. Redress: If the outcome of the complaints procedure shows that the school has been at fault, it may be sufficient to provide redress in the form of an acknowledgement that the complaint was valid. Alternatively, it may be appropriate to offer one of more or - an apology, an explanation, a promise that the event complained of will not recur, an undertaking to review school policies or practises in the light of the complaint, or even, in appropriate circumstances, financial compensation. The advice of the Local Education Authority will be sought if litigation could be possible.

6. Staff awareness and training: School staff, including non-teaching staff, will be made familiar with the procedures so that they may advise parents about their operation. Potentially a great many staff may be involved in handling complaints, especially at an informal level. The staff's confidence in doing so depends upon their having clear information about the procedures, reassurances that senior staff are committed to the procedures, and some basic training in the practical interpersonal skills needed in dealing with people who are upset or angry (se Appendix B). School staff should have clear information about which staff have which responsibilities at Newtown so that parents do not get passed from one member of staff to another.

7. Record keeping: In order that complaints may be used to raise the quality of education at Newtown, they will need to be recorded and monitored termly by senior staff and Governors.

Recording should begin at the point when a concern or initial complaint has become the kind of complaint that cannot be resolved on the spot but needs investigation and/or consultation with others in the school, and will require a later report to the parent either orally or in writing.

Recording at the earliest stages need only be a very basic record of the complaint, giving the date, name of parent, and general nature of the complaint. A proforma or comments and complaints book may be used.



Stage 1: The first contact - guidelines for dealing with concerns and complaints informally

1.1 The vast majority of complaints can be resolved informally, through the class teacher, or the school Admin Officer, or the Headteacher, depending upon whom the parent first approached.

1.2 Parents must feel able to raise concerns with members of staff without any formality, either in person, by telephone, or by writing. On occasion, it may be appropriate for someone to act on behalf of a parent.

1.3 At first it may be unclear whether a parent is asking a question or expressing an opinion rather than making a complaint. A parent may want a preliminary discussion about an issue to help to decide whether he or she wishes to take the matter further.

Procedure for use at Stage 1:

1.4 Parents should be provided with an opportunity for discussion of their concern with the appropriate member of staff who should clarify with the parent the nature of the concern, and reassure them that the school wants to hear about it. The member of staff may explain to the parent how the situation happened. It can be helpful at this point to identify what sort of outcome the parent is looking for.

1.5 If the member of staff first contacted cannot immediately deal with the matter, she/he makes a clear note of the date, name, contact address or telephone number.

1.6 Any member of staff should know how to refer, if necessary, to the person with responsibility for the particular issue raised by the parent. She/he will later check to make sure the referral has been successful.

1.7 If the concern relates to the Headteacher, the parent is advised to contact the Chairman of the Governing Body.

1.8 The staff member dealing with the concern makes sure that the parent is clear what action, if any, or monitoring of the situation has been agreed, putting this in writing only if doing so seems to be the best way making things clear.

1.9 Where no satisfactory solution has been found within 10 days, parents are to be asked if they wish their concern to be considered further. If they agree, they are to be given clear information, both orally and in writing, about how to proceed and about any independent advice available to them (see Appendix A).

Stage 2: Referral to the Headteacher for investigation

2.1 At this stage it has become clear that the concern is a definite complaint. In some cases the Headteacher has already been involved in looking at the matter; in others it is his first involvement. In either case it is helpful for the Headteacher (or the person delegated to investigate) to use guidelines to ensure consistency among such cases, and to make sure that nothing happens at this stage, which could make it difficult for later stages to proceed smoothly.



2.2 As the Headteacher has responsibility for the day to day running of the school, he has responsibility for the implementation of a complaints system, including decisions about his own involvement at various stages. One of the reasons for having various stages in a complaints procedure is to reassure complainants that their grievance is being heard by more than one person. The Headteacher should make arrangements to ensure that his involvement will not predominate at every stage of a particular complaint. For example, an arrangement may be made for other staff to deal with the parents' concerns at Stage 1, while the Headteacher deals with contact with parents at Stage 2. Even at that stage the Headteacher may designate another member of staff to collect some of the information from the various parties involved. In some cases the Headteacher may be so involved at Stage 1 that Stage 2 has to be carried out by the Chairman of the Governing Body.

Procedure for use at Stage 2:

2.3 The Headteacher (or designate) acknowledges the complaint orally or in writing within 3 working days of receiving a written complaint. The acknowledgment gives a brief explanation of the school's complaint procedure and a target date for providing a response to the complaint. This should normally be within 10 working days; if however this proves impossible, a letter is sent explaining the reason for the delay and giving a revised target date. The Headteacher will also inform the member of staff formally in writing at this stage.

2.4 The Headteacher (or designate) provides an opportunity for the complainant to meet him to supplement any information provided previously. It is made clear to the complainant that if she/he wishes, she/he may be accompanied to any meeting by a friend, relative, representative, or advocate, who may speak on his or her behalf.

2.5 If necessary the Headteacher (or designate) should interview witnesses and take statements from those involved. If the complaint centres around a pupil, the pupil should also be interviewed. Pupils would normally be interviewed with parents/guardians present. In some situations circumstances may prevent this, e.g. where this would seriously delay the investigation of a serious/urgent complaint or where particular circumstances mean that a pupil has specifically said she/he would prefer that parents/guardians were not involved. In such circumstances another member of staff with whom the pupil feels comfortable should be asked to attend. If a member of staff is complained against, the needs of that person should be borne in mind (see paragraph under General Principles).

2.6 The Headteacher (or designate) keeps written records of meetings, telephone conversations, and other documentation.

2.7 Once all relevant facts have been established, the Headteacher (or designate) should then produce a written response to the complainant, or may wish to meet the complainant to discuss/resolve the matter directly.

2.8 A written response includes a full explanation of the decision and the reasons for it. Where appropriate this includes what action the school will take to resolve the complaint. The complainant is advised that should she/he wish to take the complaint further she/he should notify the Chairman of the Governing Body within 5 weeks of receiving he outcome letter.

2.9 If a complaint is against an action of the Headteacher, or if the Headteacher has been closely involved at Stage 1, the Chairman of the Governing Body should carry out all the Stage 2 procedures.




Stage 3: Review by the Governing Body

3.1 Complaints only rarely reach this formal level, but it is considered important that the Governing Body is prepared to deal with them when necessary. At this stage, the school may seek advice from any relevant authority, such as the Local Education Authority or The Diocesan Board Of Education.

3.2 It is important that this review not only be independent and impartial but that it is seen to be so. Individual complaints should not therefore be considered by the full Governing Body as serious conflicts of interest may arise. For example - in exceptional circumstances a complaint may result in disciplinary action against a member of staff, and Governors might be required to give an unprejudiced hearing to an appeal by the member of staff concerned. Similarly some Governors might have previous knowledge of the problem, which led to the complaint and would be unable to give a fair unbiased consideration to the issue.

3.3 Many complaints are inevitably seen by parents as being against a particular member of staff and their actions. However, all complaints, which reach this stage will have done so because the complainant has not been satisfied by the Headteacher's response at the earlier stage of the procedure, and it may be appropriate of the Governing Body to consider that the complaint is against the school rather than against the member of staff whose actions led to the original complaint.

Procedure for review by the Governing Body:

3.4 Upon receipt of a written request by the complainant for the complaint to proceed to Stage 3 the procedures outlined below should be followed:

3.5 The Clerk to the Governing Body should write to the complainant to acknowledge receipt of the written request. The acknowledgement should inform the complainant that the complaint is to be heard by 3 members of the school's Governing Body within 20 working days of receiving the complaint. The letter should also explain that the complainant has the right to submit any further documents relevant to the complaint. These must be received in time for the document to be sent to the 3 members of the Governing Body.

3.6 The Clerk to the Governors should arrange to convene a Governors' Complaints Panel elected from members of the Governing Body. It may be necessary for the Governing Body to appoint reserves to this Panel to ensure that 3 Governors are available to carry out the task within the set time.

3.7 The Panel members should be Governors who have had no prior involvement with the complaint. If he has not previously been involved, the Chairman of the Governing Body should chair the panel; otherwise the Vice Chairman should do so. Generally it not appropriate for the Headteacher to have a place on the Panel. Governors will wish to bear in mind the advantages of having a parent who is also a Governor on the Panel. Governors will also wish to be sensitive to issues of race, gender and religious affiliation.

3.8 The Chairman/Vice Chairman will ensure that the complaint is heard by the Panel within 20 working days of receiving the complainant's letter (mentioned in paragraph 3.5). All relevant correspondence regarding the complaint should be given to the each Panel member as soon as the composition of the Panel is confirmed. If the correspondence is extensive, the Chair of the Panel should prepare a thorough summary for sending to Panel members.


3.9 The Chairman/Vice Chairman will write and inform the complainant, Headteacher and any relevant witnesses, and members of the Panel at least 5 working days in advance, of the date, time and place of the meeting. The notification to the complainant should also inform him/her of the right to be accompanied to the meeting by a friend/advocate/interpreter. The letter will also explain how the meeting will be conducted and the complainant's right to submit further written evidence to the Panel.

3.10 The Chairman/Vice Chairman of the Governing Body should invite the Headteacher to attend the Panel meeting and to prepare a written report for the Panel in response to the complaint. The Headteacher may also invite members of staff directly involved in matters raised by the complainant to respond in writing or in person to the complaint. Any relevant documents including the Headteacher's report should be received by all concerned, including the complainant, at least 5 working days prior to the meeting.

3.11 The involvement of staff other than the Headteacher is subject to the discretion of the Chair of the Panel.

3.12 It is the responsibility of the Chair of the Panel to ensure that the meeting is properly minuted.

3.13 The aim of the meeting should be to resolve the complaint and to achieve reconciliation between the school and the complainant. It has to be recognised however that it may only be possible to establish facts and to make recommendations, which will satisfy the complainant that his or her complaint has at least been taken seriously.

3.14 The Panel must remember that many parents are unused to dealing with groups of people in formal situations and may feel inhibited when speaking to the Panel. It is therefore recommended that the Chair of the Panel ensures that the proceedings are as informal as possible.

3.15 If either party wishes to introduce previously undisclosed evidence or witnesses, it is in the interests of natural justice to adjourn the meeting so that the other side has time to consider and respond to the new evidence.

3.16 The meeting should allow -

- The complainant to explain their complaint and the Headteacher to explain the school's response;
- The Headteacher to question the complainant about the complaint and the complainant to question the Headteacher and /or other members of staff about the school's response;
- Panel members to have the opportunity to question both the complainant and the Headteacher;
- Any party to have the right to call witnesses (subject to the approval of the Chair) and all parties to have the right to question all the witnesses;
- Final statements by both the complainant and the Headteacher.

3.17 The Chair of the Panel will explain to the complainant and the Headteacher that the Panel will consider its decision, and a written decision will be sent to both parties within 15 working days. The complainant, the Headteacher, the other members of staff and the witnesses will then leave.

3.18 The Panel will then consider the complaint and all the evidence presented and

(a) reach a unanimous, or at least a majority decision on the complaint;
(b) decide upon the appropriate action to be taken to resolve the complaint; and
(c) where appropriate, suggest recommended changes to the school's systems or procedures to ensure that problems of a similar nature do not happen again.


3.19 A written statement outlining the decision of the Panel must be sent to the complainant and the Headteacher. The letter to the complainant should explain whether a further appeal can be made, and if, to whom.

3.20 The school should ensure that a copy of all correspondence and notes are kept on file in the schools' records. These records should be kept separately from the pupil's personal records.

Stage 4: Review by the Local Education Authority

4.1 The Hampshire Local Education Authority is willing to become involved in investigating complaints brought by parents of children at County schools. An independent Panel may be used.

4.2 If a parent wishes to go beyond the Governors' Complaints Panel, the Local Education Authority will set up an independent arbitration panel consisting of a Councillor, a Governor and a parent, none of whom would have had a connection with Newtown School or with the complaint. The members of the Arbitration Panel would be advised by a senior officer and would all have received training in, or have previous experience of, the working of appeal committees. Both parties would be encouraged to agree ahead of time to abide by its findings; if not, the Arbitration Panel can only express a view about the complaint and the means of resolving it. The Arbitration Panel has no legal basis for imposing its will.

Stage 5: Beyond the Local Education Authority

5.1 The Secretary of State: Complaints can be taken to the Secretary of State for Education and Employment under section 496 of the Education Act 1996, on the grounds that a Governing Body or a Local Education Authority is acting or proposing to act unreasonably, or under section 497 of the same Act, on the grounds that either the Governing Body or the Local Education Authority has failed to discharge its duties under the Act. The Secretary of State may, in the case of Voluntary Controlled schools like Newtown, contact the Governing Body or the Local Education Authority for more information in order to consider the complaint.

5.2 The Local Government Ombudsman: Complaints about the misadministration of Local Authority services, including the way it operates in any general school complaints procedures, could be made to the Ombudsman. The Ombudsman however does not look at internal school management matters and usually expects that thorough attention has been given to a complaint locally before investigation by the Ombudsman.


This policy was agreed by Governors in October 2006
This policy will next be reviewed by Governors in September 2008


Appendix A

Concerns and Complaints about Newtown Primary School

Guidance Notes for Parents


If you have a concern or complaint: -

We would like you to tell us about it. We welcome suggestions at Newtown for improving our work in the school. Be assured that no matter what you are wanting to tell us, our support and respect for you and your child in the school will not be affected in any way.

Please tell us of your concern as soon as possible. It is difficult for us to investigate properly an incident or problem, which happened some time ago.

What to do first:

Most concerns and complaints can be sorted out quickly by speaking with your child's class teacher. Any school teacher or member of the school admin staff can help you to find the right member of staff.

If you have a complaint, which you think should be looked at by the Headteacher in the first instance, you can contact him straight away if you prefer. It is usually best to discuss the problem face to face. You may need an appointment in order to do this, and can make one by telephoning or calling in to the school office. You can take a friend or relation with you to the appointment if you wish.

All staff will make every effort to resolve your problem informally. They will make sure that they understand what you feel went wrong, and they will explain their own actions to you. They will ask what you would like the school to do put things right. This does not necessarily mean however that in every case they will round to your point of view, but it will help both you and the school understand both sides of the question. It may also help to prevent a similar problem from arising again.

What to do next:

If you are dissatisfied with the teacher's response (or with the Headteacher's initial reaction if he has already been involved) you can make a complaint to the Headteacher. This should be made in writing.

If your complaint is about an action of the Headteacher personally, then you should refer the matter to the Chairman of the Governing Body, which you can do by writing to him/her care of the school.

You may also find it helpful at this stage to have a copy of the full statement of the school's General Complaints Procedure, as this explains in details the procedures that are followed in such cases. The Procedure may be obtained from the school office.

The Headteacher will ask you to meet for a discussion of the problem. Again you may take a friend or someone else with you if you wish. The Headteacher will conduct a full investigation of the complaint and may interview any members of staff or pupils involved. You will receive a written response to your complaint.

If you are still unhappy:

The problem will normally have been solved by this stage. However if you are still not satisfied, you may wish to contact the Chairman of the Governing Body to ask that your complaint be referred to a Governors' Complaints Panel.

The complaint will then be heard by a group of 3 Governors who have no previous knowledge of the problem and so will be able to give the matter a fresh assessment. You will be invited to attend and speak to the Panel at a meeting, which the Headteacher will also attend. The school General Complaints Procedure statement explains how these meetings operate.

Further action:

Complaints about school problems are almost always settled within the school, but in very exceptional cases it may be possible to refer the problem to an outside body such as the Local Education Authority or even the Secretary of State for Education and Employment. Again there is more information about this matter in the school's General Complaints Procedure document.



Appendix B

How to listen to complaints

Guidance for Newtown School Staff and Governors


As soon as you realise that you are listening to a complaint, remember the following points: -

- Do not pass the buck Try not to keep transferring an angry person from one place to another. Make sure that you know the contact person for anything you cannot deal with yourself.

- Do not be flippant First impressions count. Both you and Newtown school may be judged on your immediate reaction.

- Treat all complaints seriously However small or even trivial the presenting problem may appear to you to be, the complaint will be an important one for anyone who takes the trouble to complain.

- Treat every complaint individually Even if you have already received several similar complaints the same day, bear in mind that this may be the first time that the complainant has had the chance to have their say.

- Be courteous and patient Be sympathetic and helpful and do not blame other colleagues.

- Say who you are If you are not known to the person, say who you are.

- Ask for their name and use it Anonymous complaints are acceptable only when there are special circumstances.

- Take the time to find out exactly what the problem is It is easy for someone to forget to tell you an important detail, particularly if they are upset or annoyed.

- Do not take the complaint personally To any angry or upset person, YOU are the school, and the only one they can put their feelings to right now.

- Stay cool and calm Do not argue with the person. Be polite and try to find out exactly what the person thinks is going wrong, or has gone wrong.

- Check that you are being understood Make sure that the person understands what you are saying. Do not use jargon - jargon can cause confusion and annoyance to someone who is not 'in the know'.

- Do not rush Take your time. Let people have their say, and let off steam if they need to. Listen carefully and sympathetically to their problems before replying and attempting to find a solution or offer a next step. Back to top