EXTERNAL COMPLAINTS &APPEALS POLICY(HS6)

APPLIES TO:

All staff, visitors, volunteers, contractors, governors, guests, residents etc.

AISLRESPONSIBILITY:

Chief Operations Officer

LAST UPDATED:

1st August 2023

REVISIONS:(Reviewer to enter
initials and date)

CLC- 30th July 2023

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PURPOSE OF THIS GUIDE
1.1

This document sets out the principles and procedures regarding complaints by external
stakeholders against the school. The audience for this policy includes:•••

Parents making a complaint
External stakeholders making a complaint
Staff managing external complaints

It does not relate to internal complaints between members of staff, for which a separate policy
document exists.
1.2

It is anticipated that this policy, and then only in sections as relevant, will only be shared withstakeholders via the school website and with complainants at the point of formal proceedings.
Senior leaders may wish to share the graphic in APPENDIX 2 after the first contact is madewith the complainant if they feel this is necessary.

1.3

The complaints process is divided into three stages:

STAGE
I. Informal /Concern
II. FormalComplaint
III. Review

2DESCRIPTION
Informal raising of a concern notified orally or in writing to a senior manager.
A formal complaint made in writing to the Head.
An unresolved formal complaint, progressed as a last resort to Chief Education
Officer, Chief Operations Officer or Chief Financial Officer depending on thecontext.

1.4

The Head Master/Mistress and SLT are responsible for ensuring that there is an effectivemeans of recording concerns and complaints, tracking progress in resolving complaints andanalysing trends so that they can be reflected in the risk register, School Self-Evaluation andStrategic Development Plan.

1.5

Complaints against the Head personally (as opposed to against school policy or procedures)are accelerated directly to Stage III. Safeguarding concerns should be notified immediately to
the Designated Safeguarding Lead (see Safeguarding Policy (HS13)).

DEFINITIONS: A CONCERN OR A COMPLAINT
2.1

The school defines a concern as:‘An expression of worry or doubt over an issue considered to be important for whichreassurances are sought’.

2.2

In the first instance, community members are encouraged to raise concerns with their child'sclass teacher/form tutor, the appropriate Phase Leader or Head of School. For other types ofconcern, the school receptionists are on hand to direct concerned persons to the correct
member of staff. In most cases, concerns can be resolved informally, without the need toinvoke formal procedures.

2.3

In the case of complaints, procedures outlined throughout this document should be followed.
The school defines a complaint as:2‘An expression of specific dissatisfaction about particular actions taken or a lack of action’.
Any person, including members of the public, may make a complaint; these procedures apply
to all such potential complainants.

3STAGE I: INFORMAL CONCERNS
3.1

Stage I aims to resolve the complaint informally, through the appropriate senior manager(s).
Examples might include dissatisfaction about some aspect of teaching or pastoral care, about
a timetable clash, a billing error or some other aspect of the school’s systems, equipment oroperational procedures.

Proceduresa) Where a concern (see above) has been made by a complainant who now wishes to raise
the issue with senior management, depending on severity, it should be treated as an
informal complaint. In the event of a direct informal complaint, it should be addressed to
the relevant senior manager and/or the relevant Head of School.
b) The senior manager/Head of School will arrange to meet with (or, where a meeting is
not immediately possible, place a telephone call to) the complainant. It is important to
respond to a complaint (informal in this case) within 48 hours to acknowledge thereceipt of the complaint and the intention of a meeting with the complainant.
c) In the event of a technical complaint better dealt with directly by a senior manager (i.e. aspecific timetabling complaint) the relevant Head of School should be informed (andmay, if appropriate, also attend the meeting).
d) If the complaint relates to a Head of School it will be referred to the Head who will
initially deal with it as an informal complaint.
e) The senior manager(s)/Head of School will normally meet with the complainant within
five working days of notification.
f) The senior manager/Head of School will listen to and record in writing the complaint.
These notes will be kept on file for at least one year. Copies of any written response to
the complaint and related documentation, including copies of all communication
between the senior manager/Head of School and the complainant will also be kept onfile.
g) If possible, the senior manager/Head of School will offer resolution and/or reassurance
at this meeting. If further information is required, the senior manager/Head of School
will investigate, reconvening with the complainant no more than five working days after
the initial meeting. In most cases this second meeting should be face-to-face, though atelephone call may be appropriate for smaller issues with positive resolutions.
h) If the complainant remains dissatisfied following this informal approach, the complaint
should be forwarded to the Head (and becomes a Formal Complaint – Stage II).
i)

All informal complaints and concerns must be recorded and trends tracked by seniorleaders so that strategy and mitigate against them.

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STAGE II: FORMAL COMPLAINT
4.1

In Stage II formal written complaints are considered by the Head.
a) Whether a complainant has previously raised the complaint with a senior manager ornot, progression to Stage II requires a formal written letter of complaint, addressed to theHead.
b) The Head will acknowledge the complaint in writing as soon as possible (within 24hours) after receiving it.
c) The complainant then will be asked to supply as much detail regarding the complaint aspossible, completing the ‘Formal Complaints Form’ (see APPENDIX 1), which will also
accompany the acknowledgement.
d) The complainant will be invited to meet with the Head within ten working (school) daysof receipt of the written complaint. If this is not possible the school will write to explain
the reason for the delay, giving a date by which the Head is available. Whereappropriate, and with due regard to privacy and balance in participant numbers, the Headwill invite relevant members of staff to this meeting (for example, if technical or phasespecific expertise is required).
e) Where necessary the Head will investigate the complaint, reconvening with thecomplainant within ten working days of the original meeting.
f) With the relevant details established, the Head will provide a written response to thecomplainant. This response, presented within 10 working days of the last meeting withthe complainant, will give a full explanation of the Head ’s decision and the reasons forit. If follow-up action is needed, this will also be indicated in the response. If notpresented in person at the outset, the written response will also be accompanied by aninvitation to meet the Head to discuss the response.
g) The Head will keep written/typed, signed and dated records of all meetings andtelephone conversations, and other related documentation, including the formalresponse.
h) If the complainant remains unsatisfied with the outcome of the Stage II investigation andthe school’s findings, the complaint may be progressed to Stage III – Governor Review.
i)

All informal complaints and concerns must be recorded and trends tracked by seniorleaders so that strategy and mitigate against them.

When a formal complaint is raised (and possibly for later legal proceeding), the complainant has
a right to request all forms of communications including but not limited to meeting minutes, email
exchanges, files, records related to the “individual”, “incident”, “complaint” be available to thecomplainant. Schools are advised to be cautious and follow communication protocol for any formsof communications with this individual and among staff for instance.

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STAGE III: GOVERNOR REVIEW
5.1

In Stage III unresolved complaints (or complaints against the Head) are presented to aComplaints Panel, constituted of two members of the Governing Body. Used as a last resort,the purpose of this stage is to give the complaint a fair hearing in front of a panel of governors
who have no prior knowledge of the details of the complaint and who can, therefore, consider
it without prejudice.
Proceduresa) Unless the complaint is made against the Head personally, it will have been throughStage II and received a written response (if this isn’t the case complaints addressed
directly to the Governing Body that have not been Stage 2 will be reverted to the Head).
In the event of the former, or if the complainant is unhappy with the outcome of Stage 2,
a written request for review, clearly stating the reasons that it is being made, should besent to the Chair of Governors.
b) The Chair will acknowledge receipt of the request for review within five working days.
A copy of this document will be enclosed with the acknowledgement.
c) The Chair will convene a Complaints Review Panel, constituted of three members of theGoverning Body (including the Chair). The Head will not be a member of this Panel,
though may be invited to sit as a non-voting member, if appropriate. In addition to thepanel of governors, a member of the school’s administrative staff will act as secretary tothe panel with a full record of the process being recorded.
d) The complainant will be asked to supply as much detail regarding the complaint aspossible, including the original ‘Formal Complaints Form’ (see APPENDIX 1)
submitted during Stage II. The Panel will also ask the School to supply all
corresponding documentation, including a written report detailing procedures followed
and actions taken to date.
e) The complainant will be invited to meet with the Complaints Review Panel within
fifteen working (school) days of receipt of the written complaint. If this is not possible
the school will write to explain the reason for the delay, giving a date by which the Panelis available. In the event that a complainant arrives to the meeting with previously
undisclosed participants the Complaints Review Panel reserves the right to deny thoseparties access to the meeting, or to adjourn the meeting.
f) With the agreement of the Chair of the Panel, and having informed the complainantprior, the Head may invite members of staff directly involved in matters raised by thecomplainant to attend relevant portions of the meeting.
g) As a general rule, no evidence or witnesses previously undisclosed will be introduced
into the meeting by any of the participants. If either party wishes to do so, the meeting
will be adjourned so that the other party has a fair opportunity to consider and respond tothe new evidence.
h) If necessary, the Complaints Review Panel may need to carry out further investigations
prior to reaching a conclusion.
i)

In closing the meeting, the Chair will explain that the Panel will now consider its
decision (or requires further information – see 8) and that written notice of the decision
will be sent to the Head and the complainant within 10 working days.

j)

The Panel will then:5•••reach a majority decision on the complaint;
decide on the appropriate action to be taken to resolve the complaint;
recommend, where appropriate, to the governing body changes to the school’ssystems or procedures to ensure that similar problems do not happen again.

k) With a final decision made, the Complaints Review Panel will provide a written
response to the complainant. This response, presented within 10 working days of thelast meeting with the complainant, will give a full explanation of the Panel’s decisionand the reasons for it. If follow-up action is needed, this will also be indicated in theresponse.
l)

6The Head will keep a copy of the final decision, all notes and correspondence on file inthe school’s records for a period of one year from the date of the Panel’s review.

5.2

The Complaints Review Panel’s decision is to be considered final and binding.

5.3

The Senior Leadership Team will lead a review of the management of the compliant in orderto improve systems and processes in managing complaints and addressing the issue raised aspart of school improvement procedures moving forward.

5.4

Complaints that are raised to Stage III must be reported to the next BOG meeting in the Head’s
Report.

SERIAL AND PERSISTENT COMPLAINANTS
6.1

There may be occasions when, despite all stages of the above procedure having been followed,
the complainant remains dissatisfied. If a complainant tries to re-open the same issue, theChair of Governors can inform them that the procedure is completed and that the matter isclosed.

6.2

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. However, thedecision not to respond must be taken with due consideration of whether:• the school has taken every reasonable step to address the complainant’s needs;• the complainant has been given a clear statement of the school’s position and theiroptions (if any);• they are contacting the school repeatedly but making substantially the same points
each time;• the school has reason to believe the individual is contacting them with the intention of
causing disruption or inconvenience;• their letters/emails/telephone calls are often, always or increasingly abusive oraggressive;• they make insulting personal comments about or threats towards staff.

6Moreover, the school will not stop responding just because an individual is difficult to deal
with or asks complex questions. However, where the complainant has been through all threecomplaint stages the school will consider the matter to be closed.
6.3

A complaint may be regarded as ‘unreasonable’ when the person making the complaint:• refuses to articulate their complaint or specify the grounds of a complaint or theoutcomes sought by raising the complaint, despite offers of assistance;• refuses to co-operate with the complaints investigation process while still wishing
their complaint to be resolved;• refuses to accept that certain issues are not within the scope of a complaints
procedure;• insists on the complaint being dealt with in ways which are incompatible with theadopted complaints procedure or with good practice;• introduces trivial or irrelevant information which the complainant expects to be taken
into account and commented on, or raises large numbers of detailed but unimportantquestions, and insists they are fully answered, often immediately and to their owntimescales;• makes unjustified complaints about staff who are trying to deal with the issues, andseeks to have them replaced;• changes the basis of the complaint as the investigation proceeds;• repeatedly makes the same complaint (despite previous investigations or responses
concluding that the complaint is groundless or has been addressed);• refuses to accept the findings of the investigation into that complaint where theschool’s complaint procedure has been fully and properly implemented and completed
including referral to a Complaints Review Panel;

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••

6.4

seeks an unrealistic outcome;makes excessive demands on school time by frequent, lengthy, complicated andstressful contact with staff regarding the complaint in person, in writing, by email andby telephone while the complaint is being dealt with.

Before concluding that a complaint is ‘unreasonable’, the Head or Chair of Governors will
discuss any concerns with the complainant informally.

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APPENDIX 1
FORMAL COMPLAINTS FORM
I wish to make a complaint about the school; I have already discussed the matter informally, but nowwish to invoke the formal complaints procedure.

NAME OF COMPLAINANT

NAME OF CHILD(if appropriate)

HOUSE/YEAR/
CLASS

MEMBER(S) OF STAFF
PREVIOUSLY SPOKEN TO
IN REGARD THE
COMPLAINTDATE OFMEETING

E-MAIL:CONTACT DETAILSTELEPHONE:

Please give as much detail about the complaint as possible, using additional sheets as necessary. Please
include as many dates, names and specific details as possible. You may also attach to this document any
further materials relating to the complaint.

SIGNED:

DATE:
A copy of this document should be forwarded to the Head ’s office.
We suggest you keep a copy for your own reference.

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APPENDIX 2: Exemplar Complaints Guidance Sheet(This example - Harrow International School, Bangkok)
Graphic to be issued by senior managers, where it is thought it will help, on first receiving acomplaint:

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APPENDIX 3: Exemplar Complaints Poster(This example - Harrow International School, Bangkok)

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